SHORENSTEIN INVESTMENT ADVISERS LLC
Adviser information for SHORENSTEIN INVESTMENT ADVISERS LLC last updated from Form ADV on February 14th, 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 | 47 |
|---|---|
| Investment Advisory/Research | 47 |
| 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 | No |
|---|
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 | 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 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-129686 |
|---|---|
| SEC ERA File Number | 801-129686 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 328584 |
| Legal Entity Identifier | None |
Principal Office
235 MONTGOMERY STREET16TH FLOOR
SAN FRANCISCO
CA
United States
MON. - THURS., 8:00 AM - 5:00 PM
Tel: 415-772-7000, Fax: None
Chief Compliance Officer
LISA LIND
235 MONTGOMERY STREET
16TH FLOOR
SAN FRANCISCO
CA
United States
Tel:
415-772-7037
L****@**************M
(Full email address available in API data)
Regulatory Contact
LINDA JIANG
OPERATIONS MANAGER
235 MONTGOMERY STREET
16TH FLOOR
SAN FRANCISCO
CA
United States
Tel:
415-352-7206
L*****@**************M
(Full email address available in API data)
Industry Affiliates
| SHORENSTEIN MB, INC. | Real estate broker or dealer |
| SRI INVESTORS FOURTEEN LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SHORENSTEIN REALTY SERVICES, L.P. | Domestic Entity | – | MEMBER | 09/2023 | > 75% |
| SHORENSTEIN MANAGEMENT LLC | Domestic Entity | SHORENSTEIN REALTY SERVICES, L.P. | GENERAL PARTNER | 11/1997 | |
| SHORENSTEIN MB INC. | Domestic Entity | SHORENSTEIN REALTY SERVICES, L.P. | GENERAL PARTNER | 01/2017 | |
| SHORENSTEIN PROPERTIES LLC | Domestic Entity | SHORENSTEIN REALTY SERVICES, L.P. | LIMITED PARTNER | 06/2005 | 50-75% |
| THE LYDIA P. SHORENSTEIN MARITAL TRUST | Domestic Entity | SHORENSTEIN PROPERTIES LLC | MEMBER | 01/2017 | 25-50% |
| FIRST REPUBLIC TRUST COMPANY OF DELAWARE LLC | Domestic Entity | THE LYDIA P. SHORENSTEIN MARITAL TRUST | TRUSTEE | 01/2021 | |
| SHORENSTEIN, BRANDON, JONA | Individual | – | CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 11/2023 | < 5% |
| MALET, CHARLES, WILLIAM | Individual | – | PRESIDENT AND CHIEF INVESTMENTS OFFICER | 11/2023 | < 5% |
| PORTNER, MARK, EDWARD | Individual | – | EXECUTIVE VICE PRESIDENT CAPITAL FORMATIONS | 11/2023 | < 5% |
| LIND, LISA, DAWN | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2023 | < 5% |
| DERKSEN, ASHIA, ANN | Individual | – | CHIEF FINANCIAL OFFICER | 01/2024 | < 5% |