POPE ASSET MANAGEMENT, LLC
Adviser information for POPE ASSET MANAGEMENT, LLC last updated from Form ADV on January 31st, 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 | Tennessee, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 59 | $112.0M |
| Non-Discretionary | 0 | $0 |
| Total | 59 | $112.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 57 | $85.2M |
| 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 | 2 | $26.8M |
| 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 businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-60556 |
|---|---|
| SEC ERA File Number | 801-60556 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 113584 |
| Legal Entity Identifier | None |
Principal Office
5100 POPLAR AVENUESUITE 3120
MEMPHIS
TN
United States
Monday - Friday, 8:00 AM TO 5:00 PM CST
Tel: 901-763-4001, Fax: 901-763-4229
Websites
Chief Compliance Officer
CASEY MCCANDLESS
CHIEF COMPLIANCE OFFICER
5100 POPLAR AVENUE
SUITE 3120
MEMPHIS
TN
United States
Tel:
901/ 763-4001
Fax:
901/ 763-4229
C**************@************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WELLS, WILLIAM, PAUL | Individual | – | CHIEF EXECUTIVE OFFICER | 08/2001 | 5-10% |
| MCCANDLESS, CASEY, SCOTT | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2008 | < 5% |
| HILL, ALISON, GUY | Individual | – | CORPORATE SECRETARY | 01/2004 | < 5% |
| WELLS INVESTMENTS LP | Domestic Entity | – | OWNER | 08/2001 | > 75% |