THE PHOENIX FUND ADVISOR LLC
Adviser information for THE PHOENIX FUND ADVISOR LLC last updated from Form ADV on March 21st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Puerto Rico, United States |
Employees
| Total Number of Employees | 15 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1 | $604.0M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $604.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $604.0M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | Performance-based fees |
Principal Office
VILLA CAPARRA, 243 PR STATE ROAD NO. 2GUAYNABO
PR
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 787-510-6600, Fax: 787-781-2612
Websites
Chief Compliance Officer
LUIS JIMENEZ
VILLA CAPARRA, 243 PR STATE ROAD NO. 2
GUAYNABO
PR
United States
Tel:
787-510-6600
Fax:
787-781-2612
L*******@**************M
(Full email address available in API data)
Regulatory Contact
EDGAR J. RIVERA
GENERAL COUNSEL
VILLA CAPARRA, 243 PR STATE ROAD NO. 2
GUAYNABO
PR
United States
Tel:
787-510-6600
Fax:
787-781-2612
E*******@**************M
(Full email address available in API data)
Industry Affiliates
| PARITER SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PARITER WEALTH MANAGEMENT GROUP LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| THE PHOENIX FUND, LLC | Private Equity Fund | $604.0M | $0.5M | 51 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PARITER ADVISORS LLC | Domestic Entity | – | MEMBER | 12/2017 | 50-75% |
| JIMENEZ, LUIS, ANTONIO | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2023 | < 5% |
| Rivera, Edgar, J | Individual | – | GENERAL COUNSEL | 12/2017 | < 5% |
| RIVERA FERNANDEZ, FRANCISCO, JOSE | Individual | PARITER ADVISORS LLC | MEMBER | 04/2017 | > 75% |
| RIVERA FERNANDEZ, FRANCISCO, JOSE | Individual | – | CHAIRMAN & CHIEF EXECUTIVE OFFICER | 12/2017 | < 5% |
| Vina-Toro, Carlos, Andres | Individual | – | FINANCIAL & ADMINISTRATIVE DIRECTOR | 01/2024 | < 5% |