PRESTON CAPITAL
PRESTON CAPITAL LLC Legal Name
Adviser information for PRESTON 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 | South Dakota, United States |
Employees
| Total Number of Employees | 19 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 2 | $1.0B |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $1.0B |
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 | $1.0B |
| 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 | 50 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-128923 |
|---|---|
| SEC ERA File Number | 801-128923 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 328417 |
| Legal Entity Identifier | None |
Principal Office
120 VANTISSUITE 130
ALISO VIEJO
CA
United States
Monday - Friday, 9AM-5PM
Tel: 949-272-2000, Fax: None
Chief Compliance Officer
CHRISTOPHER CAPUTO JR.
120 VANTIS
SUITE 130
ALISO VIEJO
CA
United States
Tel:
949 272 2000
C*********@*************M
(Full email address available in API data)
Regulatory Contact
COURTNEY WASSEF
ASSOCIATE GENERAL COUNSEL
120 VANTIS SUITE 130
ALISO VIEJO
CA
United States
Tel:
949 272 2000
C******@*************M
(Full email address available in API data)
Industry Affiliates
| MARKET GARDEN ACQUISITION GP (CAYMAN) LTD | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| DOGWOOD II LP | Private Equity Fund | $1,040.0M | $1.0M | 3 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Nelson, Jonathan, James | Individual | – | CEO / CHIEF INVESMENT OFFICER | 08/2023 | < 5% |
| Hogan, William, Jonathan | Individual | – | PRESIDENT / CFO | 08/2023 | < 5% |
| Brooks, Jonathan, Christopher | Individual | – | MANAGING DIRECTOR | 08/2023 | < 5% |
| POSNICK, DAVID, FRANKLIN | Individual | – | CHAIRMAN | 08/2023 | < 5% |
| CAPUTO, CHRISTOPHER, MICHAEL | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2023 | < 5% |
| ALLEN G NELSON FAMILY TRUST | Domestic Entity | – | OWNER | 08/2023 | 50-75% |
| BB FAMILY TRUST | Domestic Entity | – | OWNER | 08/2023 | 25-50% |
| JB FAMILY TRUST | Domestic Entity | – | OWNER | 08/2023 | 10-25% |
| Nelson, Jonathan, James | Individual | ALLEN G NELSON FAMILY TRUST | BENEFICIAL OWNER | 08/2023 | |
| Hogan, William, Jonathan | Individual | BB FAMILY TRUST | BENEFICIAL OWNER | 08/2023 | |
| Brooks, Jonathan, Christopher | Individual | JB FAMILY TRUST | BENEFICIAL OWNER | 08/2023 | |
| ESH PROPERTIES LLC | Domestic Entity | – | OWNER | 08/2023 | 5-10% |
| POSNICK, DAVID, FRANKLIN | Individual | ESH PROPERTIES LLC | MEMBER | 08/2015 |