MILLBURN RIDGEFIELD CORPORATION
Adviser information for MILLBURN RIDGEFIELD CORPORATION last updated from Form ADV on March 25th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 54 |
|---|---|
| Investment Advisory/Research | 22 |
| Registered Broker-Dealer Representatives | 5 |
| 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 | 11 | $6.8B |
| Non-Discretionary | 0 | $0 |
| Total | 11 | $6.8B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | <5 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 3 | $6.3B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 8 | $560.2M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $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 | 4 |
| No. of Non-U.S. Clients | 29 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for investment companiesPortfolio management for pooled investment vehiclesSelection of other advisers (including private fund managers)FINANCIAL PLANNING TO AN INDIVIDUAL AND THAT INDIVIDUAL'S CHARITABLE ENTITIES AND TRUSTS |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Broker-dealerCommodity pool operator or commodity trading advisor |
Principal Office
55 WEST 46TH STREET31ST FLOOR
NEW YORK
NY
United States
Monday - Friday, 9 A.M. - 5 P.M.
Tel: 212-332-7300, Fax: None
Chief Compliance Officer
STEVEN M. FELSENTHAL
GENERAL COUNSEL
55 WEST 46TH STREET
31ST FLOOR
NEW YORK
NY
United States
Tel:
2123327333
S**********@***********M
(Full email address available in API data)
Regulatory Contact
GREGG R. BUCKBINDER
PRESIDENT AND CHIEF OPERATING OFFICER
55 WEST 46TH STREET
31ST FLOOR
NEW YORK
NY
United States
Tel:
2123327350
G**********@***********M
(Full email address available in API data)
Industry Affiliates
| COMMODITY TRADING ADVISOR FOR CHINESE INVESTORS IN CHINESE FUTURES MARKETS | Commodity pool operator or commodity trading advisor |
| MILLBURN ASSET MANAGEMENT LTD. | Other investment adviser, including financial planners |
| MILLBURN INTERNATIONAL (EUROPE) LLP | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| GALAXY PLUS FUND - MILLBURN RESOURCE OPPTY MASTER FUND (557) LTD. | Hedge Fund | $89.9M | $0.1M | 1 |
| MILLBURN EQUITY PARTNERS LLC | LONG ONLY MANAGER OF MANAGERS FUND | $31.0M | $0.1M | 22 |
| MILLBURN MCO PARTNERS LP | Hedge Fund | $91.5M | $0.1M | 26 |
| MILLBURN RESOURCE OPPORTUNITIES TRADING LTD | Hedge Fund | $152.7M | $0.1M | 20 |
| MILLBURN SELECT STRATEGIES LP | Hedge Fund | $42.9M | $0.1M | 15 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LYONS, BRYON HAROLD | Individual | – | CEO & CCO, BROKER DEALER | 05/2016 | < 5% |
| BEKER, HARVEY | Individual | – | CHAIRMAN | 06/1978 | 25-50% |
| RESIDUARY QSST TRUST ESTABLISHED UNDER THE DENNIS BRENNAN NEWTON REVOCABLE TRUST | Domestic Entity | – | SHAREHOLDER | 05/2014 | 5-10% |
| BUCKBINDER, GREGG RICHARD | Individual | – | PRESIDENT, CHIEF OPERATING OFFICER | 11/2015 | 5-10% |
| FELSENTHAL, STEVEN MARC | Individual | – | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 01/2004 | < 5% |
| FITZSIMMONS, MARK BRUCE | Individual | – | SENIOR VICE PRESIDENT | 01/2006 | < 5% |
| WU, ILON | Individual | – | CHIEF FINANCIAL OFFICER | 02/2020 | < 5% |
| NEWTON, JUDITH LONDON | Individual | – | TRUSTEE, RESIDUARY QSST TRUST | 05/2014 | < 5% |
| GOODMAN, BARRY ALAN | Individual | – | CO-CHIEF EXECUTIVE OFFICER, EXECUTIVE DIRECTOR OF TRADING | 11/2015 | 10-25% |
| SMITH, GRANT NORMAN | Individual | – | CO-CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER | 11/2015 | 10-25% |
| BUCKBINDER, GREGG RICHARD | Individual | – | CFO & FINOP, BROKER DEALER | 04/2020 | 5-10% |
| MARITAL TRUST UNDER ARTICLE SIXTH OF THE LAST WILL AND TESTAMENT OF GEORGE E. CRAPPLE | Domestic Entity | – | SHAREHOLDER | 02/2022 | 25-50% |
| BEKER, HARVEY | Individual | – | TRUSTEE, CRAPPLE MARITAL TRUST | 04/2020 | < 5% |
| STAPLETON, STEPHANIE DAWN | Individual | – | TRUSTEE, CRAPPLE MARITAL TRUST | 04/2020 | < 5% |
| FARGIS, HEATHER SHAWN | Individual | – | TRUSTEE, CRAPPLE MARITAL TRUST | 04/2020 | < 5% |
| CRAPPLE, CAROL TUYN | Individual | – | TRUSTEE AND BENEFICIARY, CRAPPLE MARITAL TRUST | 04/2020 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABM INDS INC | COM | 25K | 487 | – |
| ARCOSA INC | COM | 14K | 172 | – |
| ARCHER DANIELS MIDLAND CO | COM | 15K | 256 | – |
| AGCO CORP | COM | 11K | 114 | – |
| ALTUS POWER INC | COM CL A | 10K | 3K | – |
| SMITH A O CORP | COM | 15K | 179 | – |
| AIR PRODS & CHEMS INC | COM | 70K | 270 | – |
| ARIS WATER SOLUTIONS INC | CLASS A COM | 14K | 921 | – |
| ARRAY TECHNOLOGIES INC | COM SHS | 7K | 674 | – |
| ATI INC | COM | 21K | 379 | – |
| AMERICAN WTR WKS CO INC NEW | COM | 15K | 117 | – |
| AMER STATES WTR CO | COM | 16K | 221 | – |
| ATLANTICA SUSTAINABLE INFR P | SHS | 19K | 856 | – |
| BALCHEM CORP | COM | 16K | 103 | – |
| BLOOM ENERGY CORP | COM CL A | 22K | 2K | – |
| BUNGE GLOBAL SA | COM SHS | 21K | 195 | – |
| SIREN ETF TR | NSD NXGN ECO ETF | 13K | 507 | – |
| BADGER METER INC | COM | 15K | 82 | – |
| BWX TECHNOLOGIES INC | COM | 44K | 464 | – |
| BEYOND MEAT INC | COM | 5K | 810 | – |
| CBOE GLOBAL MKTS INC | COM | 157K | 925 | – |
| CECO ENVIRONMENTAL CORP | COM | 20K | 709 | – |
| CF INDS HLDGS INC | COM | 13K | 182 | – |
| INVESCO EXCH TRADED FD TR II | S&P GBL WATER | 81K | 1K | – |
| CLEVELAND-CLIFFS INC NEW | COM | 15K | 988 | – |
| CLEAN HARBORS INC | COM | 27K | 118 | – |
| COMMERCIAL METALS CO | COM | 25K | 453 | – |
| CME GROUP INC | COM | 144K | 730 | – |
| CARPENTER TECHNOLOGY CORP | COM | 21K | 193 | – |
| CANADIAN SOLAR INC | COM | 7K | 505 | – |
| CORTEVA INC | COM | 14K | 265 | – |
| CASELLA WASTE SYS INC | CL A | 25K | 253 | – |
| CALIFORNIA WTR SVC GROUP | COM | 15K | 316 | – |
| DOMINION ENERGY INC | COM | 32K | 647 | – |
| DARLING INGREDIENTS INC | COM | 27K | 726 | – |
| DONALDSON INC | COM | 28K | 398 | – |
| DEERE & CO | COM | 15K | 40 | – |
| DIMENSIONAL ETF TRUST | US CORE EQUITY 2 | 103M | 3M | – |
| DIMENSIONAL ETF TRUST | EMGR CRE EQT MNG | 46M | 2M | – |
| DIMENSIONAL ETF TRUST | INTL CORE EQUITY | 43M | 2M | – |
| DANAHER CORPORATION | COM | 17K | 68 | – |
| DIMENSIONAL ETF TRUST | US HIGH PROFITAB | 33M | 1M | – |
| DUKE ENERGY CORP NEW | COM NEW | 17K | 167 | – |
| ECOLAB INC | COM | 45K | 191 | – |
| ISHARES INC | EM MKT SM-CP ETF | 533K | 9K | – |
| ELANCO ANIMAL HEALTH INC | COM | 8K | 572 | – |
| ENPHASE ENERGY INC | COM | 8K | 85 | – |
| WISDOMTREE TR | INDIA ERNGS FD | 19M | 384K | – |
| ENERGY RECOVERY INC | COM | 24K | 2K | – |
| ISHARES TR | ESG AW MSCI EAFE | 778K | 10K | – |
| ISHARES TR | ESG AWR MSCI USA | 2M | 17K | – |
| ENTERGY CORP NEW | COM | 39K | 364 | – |
| ISHARES INC | MSCI AUST ETF | 19M | 761K | – |
| ISHARES INC | MSCI CDA ETF | 19M | 507K | – |
| ISHARES INC | MSCI HONG KG ETF | 10M | 637K | – |
| ISHARES INC | MSCI JPN ETF NEW | 55M | 804K | – |
| ISHARES INC | MSCI SWITZERLAND | 23M | 483K | – |
| ISHARES INC | MSCI MLY ETF NEW | 5M | 211K | – |
| ISHARES INC | MSCI SPAIN ETF | 9M | 291K | – |
| ISHARES INC | MSCI FRANCE ETF | 9M | 235K | – |
| ISHARES INC | MSCI SINGPOR ETF | 9M | 488K | – |
| ISHARES INC | MSCI TAIWAN ETF | 55M | 1M | – |
| ISHARES TR | MSCI UK ETF NEW | 54M | 2M | – |
| ISHARES INC | MSCI MEXICO ETF | 18M | 323K | – |
| ISHARES INC | MSCI BRAZIL ETF | 18M | 665K | – |
| ISHARES INC | MSCI STH AFR ETF | 5M | 120K | – |
| FIRST TR EXCHANGE-TRADED FD | GBL WND ENRG ETF | 30K | 2K | – |
| FUELCELL ENERGY INC | COM | 16K | 25K | – |
| FRANKLIN ELEC INC | COM | 14K | 148 | – |
| ISHARES INC | FRONTIER AND SEL | 2M | 62K | – |
| FMC CORP | COM NEW | 10K | 174 | – |
| FARMLAND PARTNERS INC | COM | 181K | 16K | – |
| FIRST SOLAR INC | COM | 11K | 51 | – |
| VANECK ETF TRUST | GOLD MINERS ETF | 711K | 21K | – |
| GE AEROSPACE | COM NEW | 20K | 124 | – |
| SPDR INDEX SHS FDS | S&P GBLINF ETF | 47K | 853 | – |
| GORMAN RUPP CO | COM | 13K | 355 | – |
| HANNON ARMSTRONG SUST INFR C | COM | 10K | 343 | – |
| WARRIOR MET COAL INC | COM | 20K | 325 | – |
| HEXCEL CORP NEW | COM | 13K | 211 | – |
| INTERCONTINENTAL EXCHANGE IN | COM | 154K | 1K | – |
| IDEX CORP | COM | 16K | 80 | – |
| ISHARES TR | US INFRASTRUC | 436K | 10K | – |
| ISHARES TR | CORE S&P MCP ETF | 451M | 8M | – |
| ISHARES TR | CORE S&P SCP ETF | 238M | 2M | – |
| ISHARES TR | MSCI INDIA ETF | 120M | 2M | – |
| INTERNATIONAL PAPER CO | COM | 17K | 393 | – |
| ISHARES TR | MSCI INTL QUALTY | 57M | 1M | – |
| ITRON INC | COM | 10K | 106 | – |
| ISHARES TR | RUS 1000 ETF | 484M | 2M | – |
| ISHARES TR | RUSSELL 2000 ETF | 316M | 2M | – |
| ISHARES TR | RUS MID CAP ETF | 59M | 733K | – |
| GLADSTONE LD CORP | COM | 175K | 13K | – |
| LINDE PLC | SHS | 101K | 230 | – |
| LINDSAY CORP | COM | 14K | 117 | – |
| ALLIANT ENERGY CORP | COM | 16K | 305 | – |
| ISHARES TR | MSCI CHINA ETF | 709K | 17K | – |
| MONTROSE ENVIRONMENTAL GROUP | COM | 11K | 256 | – |
| MUELLER INDS INC | COM | 14K | 239 | – |
| VANECK ETF TRUST | AGRIBUSINESS ETF | 421 | 6 | – |
| MOSAIC CO NEW | COM | 9K | 306 | – |
| MP MATERIALS CORP | COM CL A | 17K | 1K | – |
| MIDDLESEX WTR CO | COM | 11K | 220 | – |
| METALLUS INC | COM | 19K | 933 | – |
| MUELLER WTR PRODS INC | COM SER A | 13K | 699 | – |
| NEXTERA ENERGY INC | COM | 12K | 170 | – |
| NEOGEN CORP | COM | 11K | 699 | – |
| FLEXSHARES TR | STOXX GLOBR INF | 126K | 2K | – |
| SUNNOVA ENERGY INTL INC. | COM | 8K | 1K | – |
| NUCOR CORP | COM | 22K | 141 | – |
| OWENS CORNING NEW | COM | 15K | 86 | – |
| PG&E CORP | COM | 38K | 2K | – |
| POTLATCHDELTIC CORPORATION | COM | 19K | 492 | – |
| PURECYCLE TECHNOLOGIES INC | COM | 11K | 2K | – |
| PUBLIC SVC ENTERPRISE GRP IN | COM | 41K | 553 | – |
| INVESCO EXCHANGE TRADED FD T | WATER RES ETF | 185K | 3K | – |
| INVESCO EXCH TRADED FD TR II | GLOBAL WATER | 25K | 618 | – |
| PIEDMONT LITHIUM INC | COM | 13K | 1K | – |
| PLUG POWER INC | COM NEW | 16K | 7K | – |
| PNM RES INC | COM | 46K | 1K | – |
| PENTAIR PLC | SHS | 12K | 160 | – |
| PILGRIMS PRIDE CORP | COM | 23K | 609 | – |
| ISHARES TR | MSCI USA QLT FCT | 38M | 220K | – |
| GIBRALTAR INDS INC | COM | 26K | 377 | – |
| ROPER TECHNOLOGIES INC | COM | 22K | 39 | – |
| RELIANCE INC | COM | 31K | 110 | – |
| REPUBLIC SVCS INC | COM | 42K | 218 | – |
| SUNRUN INC | COM | 7K | 587 | – |
| RYERSON HLDG CORP | COM | 14K | 724 | – |
| RAYONIER INC | COM | 20K | 703 | – |
| SCHWAB STRATEGIC TR | US REIT ETF | 2M | 89K | – |
| RADIUS RECYCLING INC | CL A | 27K | 2K | – |
| SOLAREDGE TECHNOLOGIES INC | COM | 5K | 183 | – |
| SHOALS TECHNOLOGIES GROUP IN | CL A | 8K | 1K | – |
| GLOBAL X FDS | GLOBAL X SILVER | 3K | 108 | – |
| SJW GROUP | COM | 15K | 285 | – |
| SYLVAMO CORP | COMMON STOCK | 18K | 263 | – |
| SUNPOWER CORP | COM | 8K | 3K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 278M | 511K | – |
| STERICYCLE INC | COM | 19K | 323 | – |
| STERIS PLC | SHS USD | 23K | 107 | – |
| STEEL DYNAMICS INC | COM | 23K | 181 | – |
| ISHARES TR | ESG MSCI LEADR | 172K | 2K | – |
| SUNCOKE ENERGY INC | COM | 25K | 3K | – |
| ISHARES INC | MSCI THAILND ETF | 5M | 84K | – |
| TENNANT CO | COM | 22K | 219 | – |
| PROSHARES TR | DJ BRKFLD GLB | 61K | 1K | – |
| TPI COMPOSITES INC | COM | 5K | 1K | – |
| TRONOX HOLDINGS PLC | SHS | 25K | 2K | – |
| TYSON FOODS INC | CL A | 21K | 374 | – |
| TORO CO | COM | 32K | 347 | – |
| TETRA TECH INC NEW | COM | 37K | 179 | – |
| ISHARES INC | MSCI TURKEY ETF | 5M | 117K | – |
| URANIUM ENERGY CORP | COM | 20K | 3K | – |
| ISHARES TR | MSCI USA MIN VOL | 307M | 4M | – |
| DBX ETF TR | XTRCKR MSCI US | 130K | 3K | – |
| VANGUARD INDEX FDS | SMALL CP ETF | 73M | 336K | – |
| VANGUARD INTL EQUITY INDEX F | FTSE EUROPE ETF | 7M | 104K | – |
| VALMONT INDS INC | COM | 14K | 50 | – |
| VANGUARD INDEX FDS | REAL ESTATE ETF | 100M | 1M | – |
| VANGUARD INDEX FDS | MID CAP ETF | 98M | 406K | – |
| VANGUARD INDEX FDS | MCAP VL IDXVIP | 4M | 26K | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 127M | 253K | – |
| VANGUARD INDEX FDS | LARGE CAP ETF | 109M | 436K | – |
| VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 295M | 7M | – |
| WATERS CORP | COM | 13K | 45 | – |
| SPDR SER TR | FTSE INT GVT ETF | 117K | 3K | – |
| WASTE MGMT INC DEL | COM | 42K | 196 | – |
| ADVANCED DRAIN SYS INC DEL | COM | 11K | 66 | – |
| ISHARES TR | GL TIMB FORE ETF | 21K | 263 | – |
| WORTHINGTON ENTERPRISES INC | COM | 24K | 501 | – |
| WESTROCK CO | COM | 18K | 364 | – |
| ESSENTIAL UTILS INC | COM | 16K | 417 | – |
| WATTS WATER TECHNOLOGIES INC | CL A | 12K | 66 | – |
| WEYERHAEUSER CO MTN BE | COM NEW | 21K | 742 | – |
| UNITED STATES STL CORP NEW | COM | 18K | 477 | – |
| SELECT SECTOR SPDR TR | SBI MATERIALS | 11M | 128K | – |
| SELECT SECTOR SPDR TR | ENERGY | 121K | 1K | – |
| SELECT SECTOR SPDR TR | INDL | 3M | 25K | – |
| SPDR SER TR | S&P OILGAS EXP | 396K | 3K | – |
| XYLEM INC | COM | 14K | 104 | – |
| YORK WTR CO | COM | 17K | 456 | – |
| ZOETIS INC | CL A | 15K | 84 | – |
| ZURN ELKAY WATER SOLNS CORP | COM | 12K | 413 | – |