STONEBRIDGE CAPITAL MANAGEMENT III LLC
Adviser information for STONEBRIDGE CAPITAL MANAGEMENT III LLC last updated from Form ADV on April 3rd, 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 | New Jersey, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 10 | $3.2M |
| Non-Discretionary | 0 | $0 |
| Total | 10 | $3.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 4 | $597,639 |
| HNW Individuals | 3 | $2.6M |
| 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 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-56956 |
|---|---|
| SEC ERA File Number | 801-56956 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 108077 |
| Legal Entity Identifier | None |
Principal Office
52 FOREST AVENUEPARAMUS
NJ
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 973-244-9696, Fax: 973-244-9441
Websites
Chief Compliance Officer
KAREN DEMARCO
MEMBER / CCO
52 FOREST AVENUE
PARAMUS
NJ
United States
Tel:
973-244-9696
Fax:
973-244-9441
K*******@*******T
(Full email address available in API data)
Industry Affiliates
| STONEBRIDGE CAPITAL MANAGEMENT | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| STONEBRIDGE FINANCIAL INC | Domestic Entity | – | MANAGING MEMBER | 07/1999 | 50-75% |
| KOSTAKIS, KONSTANTINOS | Individual | – | OFFICER/INVESTMENT MANAGER | 07/1999 | < 5% |
| DEMARCO, KAREN, MARIE | Individual | – | OFFICER/ADMIN MANAGER | 07/1999 | < 5% |
| TOPCHE, GARY, ROBERT | Individual | – | MEMBER | 07/1999 | 25-50% |
| TIKKANEN, MARK | Individual | – | MEMBER | 07/1999 | 5-10% |
| LEVITT, JEFFREY, ALAN | Individual | – | OFFICER/INVESTMENT MANAGER | 09/2011 | < 5% |
| KOSTAKIS, KONSTANTINOS | Individual | STONEBRIDGE FINANCIAL, INC. | MEMBER | 07/1999 | 25-50% |
| LEVITT, JEFFREY, ALAN | Individual | STONEBRIDGE FINANCIAL, INC. | MEMBER | 09/2011 | 25-50% |
| DEMARCO, KAREN, MARIE | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2011 | < 5% |