CAPZONE MANAGEMENT LLC
Adviser information for CAPZONE MANAGEMENT LLC last updated from Form ADV on March 27th, 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 | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 0 | $0 |
| Non-Discretionary | 0 | $0 |
| Total | 0 | $0 |
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 |
Identifiers
| SEC RIA File Number | 801-130055 |
|---|---|
| SEC ERA File Number | 801-130055 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 330135 |
| Legal Entity Identifier | None |
Principal Office
50 WASHINGTON STREET, 9TH FLOORNORWALK
CT
United States
Monday - Friday, 8:00 A.M .TO 5:00 P.M.
Tel: 646-580-3195, Fax: N/A
Chief Compliance Officer
CHARLES THORNTON LAKE II
PRESIDENT & CHIEF COMPLIANCE OFFICER
50 WASHINGTON STREET, 9TH FLOOR
NORWALK
CT
United States
Tel:
646-580-3195
Fax:
N/A
C***********@***************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| UNITED SUBMARINE ALLIANCE (USA) QUALIFIED OPPORTUNITY FUND LP | Private Equity Fund | $0.0M | $5.0M | 5 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LAKE, KIMBERLY, JOANNE | Individual | – | GENERAL COUNSEL | 04/2019 | < 5% |
| CAPZONE IMPACT INVESTMENTS | Domestic Entity | – | OWNER | 04/2019 | > 75% |
| PUCHALA & CO | Domestic Entity | CAPZONE IMPACT INVESTMENTS | OWNER | 04/2019 | 50-75% |
| RENOVATION CAPITAL, LLC | Domestic Entity | CAPZONE IMPACT INVESTMENTS | OWNER | 04/2019 | 25-50% |
| LAKE, CHARLES, THORNTON | Individual | – | PRESIDENT & CHIEF COMPLIANCE OFFICER | 04/2019 | < 5% |
| LAKE, KIMBERLY, JOANNE | Individual | PUCHALA & CO | OWNER | 05/2018 | 50-75% |
| PUCHALA, ALFRED, JOHN | Individual | PUCHALA & CO | OWNER | 05/2018 | 50-75% |