SIMPLIFY EQLS LLC
Adviser information for SIMPLIFY EQLS LLC last updated from Form ADV on January 17th, 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 | JUNE |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 30 |
|---|---|
| Investment Advisory/Research | 10 |
| 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 | 1 | $114.3M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $114.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $114.3M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| 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 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-129517 |
|---|---|
| SEC ERA File Number | 801-129517 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 327988 |
| Legal Entity Identifier | None |
Principal Office
54 W. 40TH STREETNEW YORK
NY
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 646-585-0476, Fax: None
Chief Compliance Officer
PAUL KIM
222 BROADWAY, FLOOR 22
NEW YORK
NY
United States
Tel:
646-585-0476
Regulatory Contact
SIMPLIFY ASSET MANAGEMENT INC.
222 BROADWAY, FLOOR 22
NEW YORK
NY
United States
Tel:
646-585-0476
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KIM, PAUL, SANG JIN | Individual | – | CO-FOUNDER, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER OF SIMPLIFY ASSET MANAGEMENT INC | 12/2023 | < 5% |
| BERNS, DAVID, MARC | Individual | – | CO-FOUNDER, CHIEF INVESTMENT OFFICER OF SIMPLIFY ASSET MANAGEMENT INC. | 12/2023 | < 5% |
| KELLEHER, BRIAN, CARROLL | Individual | – | CHIEF REVENUE OFFICER OF SIMPLIFY ASSET MANAGEMENT INC. | 12/2023 | < 5% |
| HO, FIONA, CHI YU | Individual | – | CHIEF OPERATING OFFICER OF SIMPLIFY ASSET MANAGEMENT INC. | 12/2023 | < 5% |
| RYU, JOHN | Individual | – | CHIEF FINANCIAL OFFICER OF SIMPLIFY ASSET MANAGEMENT INC. | 12/2023 | < 5% |
| SIMPLIFY ASSET MANAGEMENT INC. | Domestic Entity | – | MEMBER AND MANAGER | 12/2023 | > 75% |
| KIM, PAUL, SANG JIN | Individual | SIMPLIFY ASSET MANAGEMENT INC. | CO-FOUNDER, CHIEF EXECUTIVE OFFICER, & CHIEF COMPLIANCE OFFICER | 02/2020 | 25-50% |
| BERNS, DAVID, MARC | Individual | SIMPLIFY ASSET MANAGEMENT INC. | CO-FOUNDER, CHIEF INFORMATION OFFICER | 02/2020 | 25-50% |