HEIGHTS LLC
Adviser information for HEIGHTS LLC last updated from Form ADV on January 25th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 3 | $43.9M |
| Non-Discretionary | 4 | $108.8M |
| Total | 7 | $152.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | <5 | $108.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 3 | $43.9M |
| 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 individuals and/or small businessesPortfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-128704 |
|---|---|
| SEC ERA File Number | 801-128704 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 315969 |
| Legal Entity Identifier | None |
Principal Office
11111 SANTA MONICA BLVDSUITE 2100
LOS ANGELES
CA
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 310-640-7647, Fax: N/A
Chief Compliance Officer
MICAH A TAYLOR
44 WALL STREET
SUITE 602
NEW YORK
NY
United States
Tel:
212-588-8906
M****@****************M
(Full email address available in API data)
Regulatory Contact
ALEXANDRE COHEN
CHIEF EXECUTIVE OFFICER
1276 BENEDICT DRIVE
BEVERLEY HILLS
CA
United States
Tel:
310-640-7647
A***@**************M
(Full email address available in API data)
Industry Affiliates
| CODU, LLC | Sponsor, GP, manager of pooled investment vehicles |
| HEIGHTS FUND I GP LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| DILL PROJECT LLC | Venture Capital Fund | $2.9M | $0.1M | 40 |
| HEIGHTS FUND I LP | Venture Capital Fund | $36.6M | $1.0M | 15 |
| MINDFUL HEIGHTS LLC | Private Equity Fund | $4.4M | $0.1M | 28 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HEIGHTS CORP. | Domestic Entity | – | HOLDING COMPANY | 05/2021 | > 75% |
| Cohen, Alexandre | Individual | – | CHIEF EXECUTIVE OFFICER | 05/2021 | < 5% |
| COHEN, ALEXANDRE, DAVID | Individual | HEIGHTS CORP. | SHAREHOLDER | 05/2021 | > 75% |
| TAYLOR, MICAH, ANTHONY | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2022 | < 5% |
| ICG ADVISORS, LLC | Domestic Entity | – | OWNER | 12/2021 | 10-25% |
| ASSAF, JOSEPH, JEFFREY | Individual | ICG ADVISORS, LLC | SENIOR MANAGING DIRECTOR | 07/2008 | > 75% |