BOREAL CAPITAL MANAGEMENT LLC
Adviser information for BOREAL 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 | 44 |
|---|---|
| Investment Advisory/Research | 26 |
| Registered Broker-Dealer Representatives | 26 |
| Registered State Investment Advisers | 0 |
| 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 | 221 | $418.0M |
| Non-Discretionary | 579 | $959.9M |
| Total | 800 | $1.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 600 | $1.0B |
| HNW Individuals | 160 | $275.6M |
| 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 | 40 | $68.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 90 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Registered representative of a broker-dealerCommodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-57604 |
|---|---|
| SEC ERA File Number | 801-57604 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 112221 |
| Legal Entity Identifier | None |
Principal Office
1450 BRICKELL AVENUESUITE 2900
MIAMI
FL
United States
Monday - Friday, 9:00 AM - 5:30 PM
Tel: 305-459-5400, Fax: 305-459-5401
Websites
Chief Compliance Officer
PETER BOTERO
CHIEF COMPLIANCE OFFICER
1450 BRICKELL AVENUE
SUITE 2900
MIAMI
FL
United States
Tel:
(305) 459-5415
Fax:
(305) 459-5401
P***********@***********M
(Full email address available in API data)
Regulatory Contact
JOAQUIN FRANCES
CHIEF EXECUTIVE OFFICER
1450 BRICKELL AVENUE
SUITE 2900
MIAMI
FL
United States
Tel:
(305)459-5432
Fax:
(305)459-5433
J*******@***********M
(Full email address available in API data)
Industry Affiliates
| BOREAL CAPITAL MANAGEMENT | Other investment adviser, including financial planners |
| BOREAL CAPITAL SECURITIES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| MORA ASSEGURANCES SAU | Banking or thrift institution |
| MORA BANC | Banking or thrift institution |
| MORA GESTI� D'ACTIUS SAU | Banking or thrift institution |
| MORA WEALTH MANAGEMENT ESPA�A, AV, SAU | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| SHIELD CAPITAL FUND SPC - GOBELA SP | SEGREGATED PORTFOLIO COMPANY | $35.2M | $0.1M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BOREAL CAPITAL HOLDINGS USA LLC | Domestic Entity | – | DIRECT OWNER | 09/2009 | > 75% |
| MORA BANC GRUP, SA | Foreign Entity | BOREAL CAPITAL HOLDINGS USA LLC | OWNER | 09/2009 | > 75% |
| FRANCES, JOAQUIN, NMN | Individual | – | CHIEF EXECUTIVE OFFICER | 06/2022 | < 5% |
| BOTERO, PETER | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2023 | < 5% |