Hedge Fund Database

POLEN CAPITAL MANAGEMENT, LLC

Adviser information for POLEN CAPITAL 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 173
Investment Advisory/Research 27
Registered Broker-Dealer Representatives 39
Registered State Investment Advisers 14
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 3,397 $43.2B
Non-Discretionary 0 $0
Total 3,397 $43.2B

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 2,723 $2.5B
Banking or thrift institutions 6 $174.7M
Investment companies 18 $9.5B
Business development companies 0 $0
Pooled investment vehicles 21 $6.7B
Pension and profit sharing plans 60 $3.2B
Charitable organizations 113 $1.2B
State or municipal gov entities 72 $2.7B
Other investment advisers 161 $13.3B
Insurance companies 11 $30.8M
Sovereign wealth funds and foreign official institutions 8 $2.2B
Corporations or other businesses 110 $1.6B
Other 0 $0
Type Number
No. of Non-RAUM Clients 36
No. of Non-U.S. Clients 2

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients
Compensation % of AUMPerformance-based fees

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 5.1B
Both for Same 0
Portfolio Manager to Program Sponsor
LOCKWOOD SPONSORED PROGRAM BNY MELLON ADVISORS, INC.
ACCESS UBS FINANCIAL SERVICES INC.
RBC UNIFIED PORTFOLIO RBC CAPITAL MARKETS, LLC
HORIZON PROGRAM STIFEL, NICOLAUS & COMPANY, INCORPORATED
SELECT UMA MORGAN STANLEY
MANAGED ACCOUNTS CONSULTING UBS FINANCIAL SERVICES INC.
OUTSIDE MANAGER PLATFORM RAYMOND JAMES & ASSOCIATES, INC.
CONSULTING AND EVALUATION SERVICES MORGAN STANLEY
MANAGED ACCOUNT LINK BNY MELLON ADVISORS, INC.
STRATIS J.P. MORGAN SECURITIES LLC
MANAGED360 PROGRAM BNY MELLON ADVISORS, INC.
MANAGER ACCESS SELECT LPL FINANCIAL LLC
MANAGED ACCOUNT ACCESS CHARLES SCHWAB & CO., INC.
CONSULTING SERVICES PROGRAM RAYMOND JAMES & ASSOCIATES, INC.
INVESTMENT ADVISORY PROGRAM MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MANAGER SELECTION PROGRAM CITIGROUP GLOBAL MARKETS INC.
STAR PROGRAM OPPENHEIMER ASSET MANAGEMENT
PERSONALIZED UNIFIED MANAGED ACCOUNT WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
STRATEGIC PORTFOLIO ADVISOR MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
PORTFOLIO MANAGER PROGRAM J.P. MORGAN SECURITIES LLC
NBCS PRO AM ASSET MANAGEMENT NBC SECURITIES, INC.
UBS STRATEGIC WEALTH PORTFOLIO UBS FINANCIAL SERVICES INC.
MANAGED ACCOUNT STRATEGIES GOLDMAN SACHS & CO. LLC
FIDUCIARY SERVICES PROGRAM CITIGROUP GLOBAL MARKETS INC.
DYNAMIC ALLOCATION PORTFOLIOS - UMA PROGRAM CITIGROUP GLOBAL MARKETS INC.
MANAGED ACCOUNT (WRAP FEE) PROGRAM JANNEY MONTGOMERY SCOTT LLC
RBC WEALTH MANAGEMENT MANAGED ACCOUNT PROGRAM RBC CAPITAL MARKETS, LLC
MANAGED ACCOUNT COMMAND BNY MELLON ADVISORS, INC.
CONNECT PROGRAM STIFEL, NICOLAUS & COMPANY, INCORPORATED
WELLS FARGO PRIVATE ADVISOR NETWORK PROGRAM WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
J.P. MORGAN CORE ADVISORY PORTFOLIO J.P. MORGAN SECURITIES LLC
FOLIODYNAMIX, FRIM 3RD PARTY INVESTMENT PLATFORM J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
AMPLIFY PLATFORM ASHTON THOMAS PRIVATE WEALTH
CAAP UMA CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
MARKETPLACE CHARLES SCHWAB & CO., INC.
UNIFIED MANAGED ACCOUNT OAM DISCRETION PRGM (UMA FLEX) OPPENHEIMER ASSET MANAGEMENT
VERDENCE VERDENCE CAPITAL ADVISORS, LLC
WRAPMANAGER ASSEMBLY WEALTH
PNC VESTMARK / PNCI ENVESTNET PNC INVESTMENTS
ORION PORTFOLIO SOLUTIONS AND COMMUNITIES ORION PORTFOLIO SOLUTIONS, LLC
SELECT PORTFOLIO SOLUTIONS MANAGED ACCOUNT ADVISORS LLC
FIDELITY SEPARATELY MANAGED ACCOUNTS FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
FIDELITY PERSONALIZED PORTFOLIOS FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
FIDELITY WEALTH MANAGEMENT ADVISORY FIDELITY INSTITUTIONAL WEALTH ADVISER LLC

Identifiers

SEC RIA File Number 801-15180
SEC ERA File Number 801-15180
SEC CIK Numbers 1034524
SEC CRD Numbers 106093
Legal Entity Identifier 549300RDPTGGMLJ6RC07

Principal Office

1825 NW CORPORATE BLVD.
SUITE 300
BOCA RATON
FL
United States
Monday - Friday, 8:30AM - 5:30PM
Tel: 1-561-241-2425, Fax: 1-561-241-2710

Websites

www.glassdoor.com/overview/working-at-polen-capital-ei_ie3242095.11,24.htm www.polencapital.com linkedin.com/company/polen-capital-management vimeo.com/polencapital www.youtube.com/channel/uci9uxi1opfdcxpnealvjeoa

Chief Compliance Officer

BRIAN D. GOLDBERG
1825 NW CORPORATE BOULEVARD
SUITE 300
BOCA RATON
FL
United States
Tel: (561) 241-2425
Fax: (561) 241-2710
(Full email address available in API data)

Industry Affiliates

INCOME PARTNERS ASSET MANAGEMENT (HK) LIMITED Other investment adviser, including financial planners
POLEN CAPITAL CREDIT, LLC Other investment adviser, including financial planners
POLEN CAPITAL HK LIMITED Other investment adviser, including financial planners
POLEN CAPITAL UK LLP Other investment adviser, including financial planners
POLEN/GP STRATEGIC INCOME PLUS, LLC Sponsor, GP, manager of pooled investment vehicles
SUMMIT RIDGE CAPITAL PARTNERS LTD. Other investment adviser, including financial planners

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
POLEN CAPITAL FOCUS GROWTH FUND OPEN-ENDED PRIVATE FUND WITH DAILY CONTRIBUTIONS AND REDEMPTIONS, AND NO PERFORMANCE FEE/ALLOCATION COMPONENT $117.9M $1.0M 11

Control Persons

Name Type Entity Title Since Ownership
MOSS, STANLEY, CHARLES Individual – CHIEF EXECUTIVE OFFICER 07/2007 < 5%
POLEN FAMILY HOLDINGS, INC. Domestic Entity – MEMBER 01/2020 5-10%
DAVIDOWITZ, DANIEL, ADAM Individual – PORTFOLIO MANAGER & ANALYST 07/2007 < 5%
GOLDBERG, BRIAN, DAVID Individual – GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 10/2014 < 5%
IM SQUARE HOLDING 1 LLC Domestic Entity – MEMBER 01/2016 10-25%
IM SQUARE SAS Foreign Entity IM SQUARE PARTNERS HOLDING PARENT 12/2020 > 75%
POLEN, SOLOMON, ENRICO Individual PCMI EXEMPT TRUST F/B/O SOLOMON POLEN CO-TRUSTEE 09/2015
POLEN, DANIEL, (NMN) Individual PCMI EXEMPT TRUST F/B/O DANIEL POLEN CO-TRUSTEE 12/2015
LEGENDRE HOLDING 36 Foreign Entity IM SQUARE SAS HOLDING COMPANY 06/2015 50-75%
EURAZEO SE Foreign Entity LEGENDRE HOLDING 36 HOLDING COMPANY 04/2014 > 75%
POLEN CAPITAL HOLDINGS LP Domestic Entity – MEMBER 01/2020 50-75%
STAN C. MOSS REVOCABLE TRUST Domestic Entity POLEN CAPITAL HOLDINGS LP LIMITED PARTNER 01/2020 25-50%
MOSS, STANLEY, CHARLES Individual STAN C. MOSS REVOCABLE TRUST TRUSTEE 10/2015
POLEN CAPITAL HOLDINGS GP LLC Domestic Entity POLEN CAPITAL HOLDINGS LP GENERAL PARTNER 01/2020
DAVIDOWITZ, DANIEL, ADAM Individual DANIEL A. DAVIDOWITZ REVOCABLE TRUST TRUSTEE 02/2022
STAN C. MOSS REVOCABLE TRUST Domestic Entity POLEN CAPITAL HOLDINGS GP LLC MEMBER 01/2020 50-75%
DOGGETT, JOHN, BLACKMAN Individual – CHIEF ADMINISTRATIVE OFFICER 09/2020 < 5%
FICKLIN, DAMON, ANSON Individual – HEAD OF TEAM, PORTFOLIO MANAGER & ANALYST 01/2021 < 5%
GUARASCI, MICHAEL, ERNEST Individual – CHIEF OPERATING OFFICER 05/2020 < 5%
DOLSEN, KEVIN, M Individual – HEAD OF DISTRIBUTION 06/2020 < 5%
WARD, GRAHAM, MONTGOMERY Individual – CHIEF FINANCIAL OFFICER 04/2019 < 5%
PCMI EXEMPT TRUST F/B/O SOLOMON POLEN Domestic Entity POLEN FAMILY HOLDINGS, INC. CLASS A SHAREHOLDER 01/2020 25-50%
PCMI EXEMPT TRUST F/B/O DANIEL POLEN Domestic Entity POLEN FAMILY HOLDINGS, INC. CLASS A SHAREHOLDER 01/2020 25-50%
CORAL GABLES TRUST Domestic Entity PCMI EXEMPT TRUST F/B/O SOLOMON POLEN CO-TRUSTEE 09/2015
CORAL GABLES TRUST Domestic Entity PCMI EXEMPT TRUST F/B/O DANIEL POLEN CO-TRUSTEE 09/2015
IM SQUARE PARTNERS HOLDING Foreign Entity IM SQUARE HOLDING 1 LLC HOLDING COMPANY 04/2021 > 75%
DASHER, KARL, FRANKLIN Individual – PRESIDENT 07/2022 < 5%
DANIEL A. DAVIDOWITZ REVOCABLE TRUST Domestic Entity POLEN CAPITAL HOLDINGS LP LIMITED PARTNER 05/2022 25-50%
DANIEL A. DAVIDOWITZ REVOCABLE TRUST Domestic Entity POLEN CAPITAL HOLDINGS GP LLC MEMBER 05/2022 50-75%
DOWNEY, DIANA, BETH Individual – CHIEF MARKETING OFFICER 04/2022 < 5%
TROCK, RACHEL, ROTH Individual – CHIEF PEOPLE OFFICER 04/2022 < 5%
JC DECAUX HOLDING SAS Foreign Entity EURAZEO SE SHAREHOLDER 01/2022 25-50%
GRUVER, JAMES, PAUL Individual – HEAD OF EMEA AND APAC 04/2023 < 5%

No. Employees, Historic

200100020202021202220232024202586 on 3/27/202086 on 6/18/202086 on 7/24/202086 on 12/10/2020116 on 3/25/2021142 on 3/25/2022153 on 3/30/2023153 on 4/27/2023153 on 6/6/2023173 on 3/27/2024

RAUM, Historic

70B35B020202021202220232024202527332344241 on 3/27/202027332344241 on 6/18/202027332344241 on 7/24/202027332344241 on 12/10/202046029107670 on 3/25/202163470965574 on 3/25/202236045083867 on 3/30/202336045083867 on 4/27/202336045083867 on 6/6/202343238955480 on 3/27/2024

No. Clients, Historic

4,0002,00002020202120222023202420252064 on 3/27/20202064 on 6/18/20202064 on 7/24/20202064 on 12/10/20203094 on 3/25/20213857 on 3/25/20223515 on 3/30/20233515 on 4/27/20233515 on 6/6/20233303 on 3/27/2024

Holdings

From latest 13F, filed August 12th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
AAON INC COM PAR $0.004 3M 35K –
ABBOTT LABS COM 2B 15M –
ACCENTURE PLC IRELAND SHS CLASS A 1B 4M –
ADOBE INC COM 1B 3M –
AIRBNB INC COM CL A 2B 10M –
ALARM COM HLDGS INC COM 8M 128K –
ALIGHT INC COM CL A 7M 1M –
ALIGN TECHNOLOGY INC COM 5M 20K –
ALPHABET INC CAP STK CL A 381M 2M –
ALPHABET INC CAP STK CL C 3B 17M –
AMAZON COM INC COM 6B 30M –
AMN HEALTHCARE SVCS INC COM 3M 62K –
AON PLC SHS CL A 241M 822K –
APPFOLIO INC COM CL A 4M 18K –
APPLIED INDL TECHNOLOGIES IN COM 1M 8K –
ASML HOLDING N V N Y REGISTRY SHS 52M 51K –
ASPEN TECHNOLOGY INC COM 2M 10K –
AUTODESK INC COM 10M 42K –
AUTOMATIC DATA PROCESSING IN COM 117M 492K –
BIO-TECHNE CORP COM 3M 35K –
BLACKLINE INC COM 5M 104K –
BOWMAN CONSULTING GROUP LTD COM 1M 46K –
CCC INTELLIGENT SOLUTIONS HL COM 9M 854K –
CHARLES RIV LABS INTL INC COM 1M 6K –
CLEARWATER ANALYTICS HLDGS I CL A 11M 572K –
CONSTRUCTION PARTNERS INC COM CL A 1M 26K –
COPA HOLDINGS SA CL A 1M 11K –
CORE & MAIN INC CL A 8M 159K –
DLOCAL LTD CLASS A COM 8M 954K –
DOXIMITY INC CL A 3M 106K –
DYNATRACE INC COM NEW 2M 51K –
ELI LILLY & CO COM 495M 547K –
ENDAVA PLC ADS 554K 19K –
EPAM SYS INC COM 5M 26K –
ETSY INC COM 2M 33K –
EURONET WORLDWIDE INC COM 7M 65K –
EXLSERVICE HOLDINGS INC COM 10M 327K –
FIRSTSERVICE CORP NEW COM 5M 30K –
FIVE BELOW INC COM 2M 21K –
FLOOR & DECOR HLDGS INC CL A 759K 8K –
FOX FACTORY HLDG CORP COM 4M 81K –
FREEPORT-MCMORAN INC CL B 506K 10K –
GARTNER INC COM 741M 2M –
GENERAC HLDGS INC COM 9M 71K –
GLOBAL X FDS S&P 500 CATHOLIC 4M 56K –
GLOBANT S A COM 85M 477K –
GOOSEHEAD INS INC COM CL A 7M 129K –
HAMILTON LANE INC CL A 10M 78K –
HDFC BANK LTD SPONSORED ADS 55M 853K –
HOULIHAN LOKEY INC CL A 11M 82K –
ICON PLC SHS 340M 1M –
INSTALLED BLDG PRODS INC COM 3M 13K –
ISHARES TR MSCI ACWI ETF 20M 176K –
ISHARES TR MSCI ACWI EX US 2M 39K –
ISHARES TR RUSSELL 2000 ETF 2M 10K –
ISHARES TR RUS 1000 GRW ETF 109M 298K –
ISHARES TR 0-3 MNTH TREASRY 1M 10K –
KASPI KZ JSC SPONSORED ADS 1M 10K –
KB FINL GROUP INC SPONSORED ADR 4M 78K –
KINSALE CAP GROUP INC COM 892K 2K –
LAS VEGAS SANDS CORP COM 9M 196K –
LGI HOMES INC COM 2M 20K –
MARKETAXESS HLDGS INC COM 2M 8K –
MASTERCARD INCORPORATED CL A 2B 4M –
MEDPACE HLDGS INC COM 7M 17K –
MEDTRONIC PLC SHS 83M 1M –
MERCADOLIBRE INC COM 51M 31K –
META PLATFORMS INC CL A 407K 808 –
MICROSOFT CORP COM 4B 9M –
MONOLITHIC PWR SYS INC COM 2M 2K –
MORNINGSTAR INC COM 2M 8K –
MSCI INC COM 795M 2M –
NETEASE INC SPONSORED ADS 382K 4K –
NETFLIX INC COM 1B 2M –
NIKE INC CL B 676M 9M –
NOVO-NORDISK A S ADR 1B 7M –
OLLIES BARGAIN OUTLET HLDGS COM 1M 13K –
OPTION CARE HEALTH INC COM NEW 4M 154K –
PAYCOM SOFTWARE INC COM 320M 2M –
PAYPAL HLDGS INC COM 741K 13K –
PDD HOLDINGS INC SPONSORED ADS 7M 55K –
POOL CORP COM 1M 3K –
PROGYNY INC COM 10M 348K –
QUALYS INC COM 4M 26K –
REPLIGEN CORP COM 2M 15K –
REVOLVE GROUP INC CL A 8M 512K –
RH COM 2M 8K –
SALESFORCE INC COM 2B 7M –
SAP SE SPON ADR 253M 1M –
SERVICENOW INC COM 2B 2M –
SHOPIFY INC CL A 972M 15M –
SITEONE LANDSCAPE SUPPLY INC COM 2M 17K –
SITIME CORP COM 6M 46K –
SKILLSOFT CORP CL A 1M 73K –
SPDR SER TR BLOOMBERG 1-3 MO 8M 92K –
TENCENT MUSIC ENTMT GROUP SPON ADS 21M 2M –
TETRA TECH INC NEW COM 677K 3K –
THERMO FISHER SCIENTIFIC INC COM 2B 3M –
TOPGOLF CALLAWAY BRANDS CORP COM 2M 153K –
TREX CO INC COM 399K 5K –
TYLER TECHNOLOGIES INC COM 2M 3K –
UNILEVER PLC SPON ADR NEW 28M 501K –
UNITEDHEALTH GROUP INC COM 1B 2M –
VANGUARD SCOTTSDALE FDS VNG RUS1000GRW 3M 35K –
VISA INC COM CL A 2B 8M –
WARBY PARKER INC CL A COM 7M 464K –
WORKDAY INC CL A 767M 3M –
YETI HLDGS INC COM 5M 121K –
YUM CHINA HLDGS INC COM 6M 201K –
ZOETIS INC CL A 1B 7M –