CARL MARKS MANAGEMENT COMPANY, LLC
Adviser information for CARL MARKS MANAGEMENT COMPANY, LLC last updated from Form ADV on March 28th, 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 | 9 |
|---|---|
| Investment Advisory/Research | 6 |
| 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 | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 3 | $383.3M |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $383.3M |
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 | 3 | $383.3M |
| 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 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-41108 |
|---|---|
| SEC ERA File Number | 801-41108 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 107695 |
| Legal Entity Identifier | 549300P4XZYSJYPSQ763 |
Principal Office
900 THIRD AVENUE - 33RD FLOORNEW YORK
NY
United States
Monday - Friday, 9AM-5PM
Tel: 212-909-8400, Fax: 212-980-2630
Websites
Chief Compliance Officer
ROBERT A. SPEER
CHIEF FINANCIAL OFFICER
900 THIRD AVENUE - 33RD FLOOR
NEW YORK
NY
United States
Tel:
212-909-8432
Fax:
212-980-2630
R*****@************M
(Full email address available in API data)
Regulatory Contact
MARIA RIOS
CONTROLLER
900 THIRD AVENUE - 33RD FLOOR
NEW YORK
NY
United States
Tel:
212-909-8442
Fax:
212-980-2630
M****@************M
(Full email address available in API data)
Industry Affiliates
| CARL MARKS SECURITIES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CARL MARKS STRATEGIC INVESTMENTS, L.P. | Hedge Fund | $185.2M | $5.0M | 40 |
| CARL MARKS STRATEGIC OPPORTUNITIES FUND II, LP | Hedge Fund | $15.7M | $5.0M | 55 |
| CARL MARKS STRATEGIC OPPORTUNITIES FUND III, L.P. | Hedge Fund | $137.8M | $5.0M | 29 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| RUOCCO, ROBERT, C | Individual | – | MANAGING MEMBER | 01/1993 | 10-25% |
| BOAS, ANDREW, MARK | Individual | – | MANAGING MEMBER | 04/1987 | 10-25% |
| WILSON, JAMES, FORBES | Individual | – | MANAGING MEMBER | 01/2001 | 10-25% |
| SPEER, ROBERT, ALAN | Individual | – | CHIEF FINANCIAL OFFICER | 10/1998 | < 5% |
| SPEER, ROBERT, ALAN | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2004 | < 5% |
| RIOS, MARIA, ANNE | Individual | – | CONTROLLER | 09/2008 | < 5% |
| LEE, MICHAEL, SUNGMIN | Individual | – | MANAGING MEMBER/CHIEF INVESTMENT OFFICER | 01/2019 | 10-25% |
| RAKELA, ESTEBAN, JORGE | Individual | – | MANAGING MEMBER | 01/2020 | 10-25% |