DEEP BLUE INVESTMENT ADVISORS
WERTZ YORK CAPITAL MANAGEMENT GROUP, LLC Legal Name
Adviser information for DEEP BLUE INVESTMENT ADVISORS last updated from Form ADV on March 12th, 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 | Florida, United States |
Employees
| Total Number of Employees | 14 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 3 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 18 | $7.0B |
| Non-Discretionary | 7 | $6.0B |
| Total | 25 | $13.1B |
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 | 8 | $5.7B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 17 | $7.3B |
| 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 | 20 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsEducational seminars/workshopsCONSULTING SERVICES |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-60690 |
|---|---|
| SEC ERA File Number | 801-60690 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 115344 |
| Legal Entity Identifier | None |
Principal Office
5502 NORTH NEBRASKA AVETAMPA
FL
United States
Monday - Friday, 8 AM TO 5 PM
Tel: 813-238-4800, Fax: None
Chief Compliance Officer
SOTH CHIN
CHIEF COMPLIANCE OFFICER
5502 N NEBRASKA AVENUE
TAMPA
FL
United States
Tel:
813-238-4800
S****@****************M
(Full email address available in API data)
Regulatory Contact
M. BRENT WERTZ
MANAGING PARTNER
5502 NORTH NEBRASKA AVE
TAMPA
FL
United States
Tel:
813-238-4800
B****@***************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 |
|---|---|---|---|---|---|
| WERTZ, MICHAEL, BRENT | Individual | – | MANAGING PARTNER | 06/2001 | > 75% |
| JANG, DAVID, MING LEE | Individual | – | PARTNER | 08/2015 | 5-10% |
| CHIN, SOTHARA | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2019 | < 5% |