CONSTELLATION WEALTH CAPITAL
CONSTELLATION WEALTH CAPITAL, LLC Legal Name
Adviser information for CONSTELLATION WEALTH CAPITAL last updated from Form ADV on March 29th, 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 | 13 |
|---|---|
| Investment Advisory/Research | 13 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 4 | $549.7M |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $549.7M |
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 | $549.7M |
| 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 vehiclesPORTFOLIO COMPANY MANAGEMENT SERVICES |
|---|---|
| Compensation | % of AUMPerformance-based feesSEE SCHEDULE D - MISCELLANEOUS |
Identifiers
| SEC RIA File Number | 801-128736 |
|---|---|
| SEC ERA File Number | 801-128736 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 326917 |
| Legal Entity Identifier | None |
Principal Office
609 W. RANDOLPH ST.6TH FLOOR
CHICAGO
IL
United States
Monday - Friday, 8:00 AM - 5:00PM
Tel: 312-626-6067, Fax: None
Chief Compliance Officer
LINDSEY SIMON
1001 GREEN BAY RD.
#243
WINNETKA
IL
United States
Tel:
312-325-7340
L******@******************M
(Full email address available in API data)
Regulatory Contact
JACK YATES
CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR
609 W. RANDOLPH ST.
6TH FLOOR
CHICAGO
IL
United States
Tel:
312-626-6067
J***@*****************************M
(Full email address available in API data)
Industry Affiliates
| CONSTELLATION WEALTH CAPITAL FUND GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CONSTELLATION WEALTH CAPITAL FUND-A, L.P. | Private Equity Fund | $18.3M | $1.0M | 8 |
| CONSTELLATION WEALTH CAPITAL FUND, L.P. | Private Equity Fund | $531.4M | $1.0M | 43 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| YATES, JACK, MICHAEL | Individual | – | CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR | 06/2023 | < 5% |
| CONSTELLATION WEALTH CAPITAL MANAGER HOLDINGS, LP | Domestic Entity | – | SOLE AND MANAGING MEMBER | 06/2023 | > 75% |
| HECKENBERG, KARL, HENRY | Individual | – | PRESIDENT & MANAGING PARTNER | 06/2023 | < 5% |
| CWC MANAGER LLC | Domestic Entity | CONSTELLATION WEALTH CAPITAL MANAGER HOLDINGS, LP | GENERAL PARTNER | 06/2023 | |
| HECKENBERG, KARL, HENRY | Individual | CONSTELLATION WEALTH CAPITAL MANAGER HOLDINGS, LP | LIMITED PARTNER | 06/2023 | 50-75% |
| CWC TRUST INVESTORS LLC | Domestic Entity | CONSTELLATION WEALTH CAPITAL MANAGER HOLDINGS, LP | LIMITED PARTNER | 01/2024 | 25-50% |
| HECKENBERG, KARL, HENRY | Individual | CWC MANAGER LLC | SOLE AND MANAGING MEMBER | 06/2023 | > 75% |
| OSTROVER, DOUGLAS, IRVING | Individual | CWC TRUST INVESTORS LLC | MEMBER | 01/2024 | 50-75% |
| LIPSCHULTZ, MARC, STEVEN | Individual | CWC TRUST INVESTORS LLC | MEMBER | 01/2024 | 50-75% |
| MCHUGH, PATRICK, SHAMUS | Individual | – | MANAGING DIRECTOR, HEAD OF INVESTMENTS | 09/2023 | < 5% |
| SIMON, LINDSEY, HELAINE | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2024 | < 5% |