R.H. BLUESTEIN & CO LLC
Adviser information for R.H. BLUESTEIN & CO LLC last updated from Form ADV on March 31st, 2023. 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 | 23 |
|---|---|
| Investment Advisory/Research | 11 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 9 |
| 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 | 4 | $223.6M |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $223.6M |
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 | 4 | $223.6M |
| 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 | 1 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUM |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| WFA PRIVATE ADVISOR NETWORK PROGRAM | WELLS FARGO CLEARING SERVICES, LLC |
Identifiers
| SEC RIA File Number | 801-37951 |
|---|---|
| SEC ERA File Number | 801-37951 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 106229 |
| Legal Entity Identifier | 254900KWZIXB5K8X0K64 |
Principal Office
260 EAST BROWN STREETSUITE 100
BIRMINGHAM
MI
United States
Monday - Friday, 8:30AM - 6:00PM
Tel: 248-646-4000, Fax: 248-646-9866
Websites
Chief Compliance Officer
MICHELE PAYMENT CARLSON
260 EAST BROWN STREET
SUITE 100
BIRMINGHAM
MI
United States
Tel:
248-646-4000
Fax:
248-646-9866
M*******@********M
(Full email address available in API data)
Regulatory Contact
JEFFREY N. BLUESTEIN
CHIEF EXECUTIVE OFFICER
260 EAST BROWN STREET
SUITE 100
BIRMINGHAM
MI
United States
Tel:
248-646-4000
Fax:
248-646-9866
J*********@********M
(Full email address available in API data)
Industry Affiliates
| CI PRIVATE WEALTH | Other investment adviser, including financial planners |
| RHB FUNDS GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ATLANTIC FUND I, LP | Hedge Fund | $37.6M | $0.5M | 36 |
| BLUESTEIN CAPITAL OPPORTUNITIES FUND, LP | Hedge Fund | $109.0M | $0.3M | 66 |
| BLUESTEIN PRIVATE PARTNERS II LLC | Private Equity Fund | $0.3M | $0.0M | 23 |
| PACIFIC FUND I, LP | Hedge Fund | $76.8M | $0.1M | 45 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BLUESTEIN, ROBERT, HARRY | Individual | – | PRESIDENT | 02/1991 | < 5% |
| BLUESTEIN, JEFFREY, NEIL | Individual | – | CHIEF EXECUTIVE OFFICER | 01/2022 | < 5% |
| CARLSON, MICHELE, PAYMENT | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2016 | < 5% |
| CI PRIVATE WEALTH US LLC | Domestic Entity | – | OWNER | 01/2022 | > 75% |
| CI PRIVATE WEALTH HOLDINGS, LLC | Domestic Entity | CI PRIVATE WEALTH US LLC | OWNER | 01/2022 | > 75% |
| CI US, LLC | Domestic Entity | CI PRIVATE WEALTH HOLDINGS, LLC | OWNER | 01/2022 | > 75% |
| CI US HOLDINGS INC | Domestic Entity | CI US, LLC | OWNER | 01/2022 | > 75% |
| CI FINANCIAL CORP | Foreign Entity | CI US HOLDINGS INC | OWNER | 01/2022 | > 75% |
| SMITH, KENNETH, ARTHUR | Individual | – | CHIEF FINANCIAL OFFICER | 01/2022 | < 5% |