FELL CAPITAL MANAGEMENT
Adviser information for FELL CAPITAL MANAGEMENT last updated from Form ADV on March 26th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| 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 | 221 | $164.0M |
| Non-Discretionary | 0 | $0 |
| Total | 221 | $164.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 50 | $34.0M |
| HNW Individuals | 25 | $110.0M |
| 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 | 10 | $20.0M |
| 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 individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-34774 |
|---|---|
| SEC ERA File Number | 801-34774 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 104986 |
| Legal Entity Identifier | None |
Principal Office
1001 DOVE STREET, SUITE 230NEWPORT BEACH
CA
United States
Monday - Friday, 8:00 AM TO 6:30 PM
Tel: 949-476-5056, Fax: 949-476-1101
Websites
Chief Compliance Officer
STEVEN PARK
1001 DOVE STREET
SUITE 230
NEWPORT BEACH
CA
United States
Tel:
949-476-5056
Fax:
949-476-1101
S****@**************M
(Full email address available in API data)
Regulatory Contact
FELL, RICHARD MARK
PRESIDENT
1001 DOVE STREET, SUITE 230
NEWPORT BEACH
CA
United States
Tel:
(949) 476-5056
Fax:
(949) 476-1101
R****@**************M
(Full email address available in API data)
Industry Affiliates
| FELL CAPITAL MANAGEMENT | Sponsor, 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 |
|---|---|---|---|---|---|
| FELL, RICHARD, MARK | Individual | – | PRESIDENT | 06/1986 | > 75% |
| PARK, STEVEN, CRAIG | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2004 | < 5% |