LM CAPITAL GROUP, LLC
Adviser information for LM CAPITAL GROUP, LLC last updated from Form ADV on March 21st, 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 | 20 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 38 | $5.0B |
| Non-Discretionary | 0 | $0 |
| Total | 38 | $5.0B |
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 | 0 | $0 |
| Pension and profit sharing plans | <5 | $51.0M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 27 | $4.7B |
| Other investment advisers | <5 | $4.3M |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $47.0M |
| Other | 8 | $188.1M |
| 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 businesses or institutional clientsPublication of periodicals or newsletters |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-61100 |
|---|---|
| SEC ERA File Number | 801-61100 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 120277 |
| Legal Entity Identifier | 2549006EA6NMW14TWS10 |
Principal Office
750 B STREETSUITE 3010
SAN DIEGO
CA
United States
Monday - Friday, 8:00AM TO 4:00PM
Tel: 619-814-1401, Fax: 619-814-1404
Websites
Chief Compliance Officer
JEFFREY FRANKEL
750 B STREET
STE 3010
SAN DIEGO
CA
United States
Tel:
619-814-1401
Fax:
619-814-1404
J*******@************M
(Full email address available in API data)
Regulatory Contact
DENISE MADRUGA
DIRECTOR OF CLIENT SERVICE
750 B STREET
STE 3010
SAN DIEGO
CA
United States
Tel:
619.814.1401
Fax:
619.814.1404
D*******@************M
(Full email address available in API data)
Industry Affiliates
| LM ADVISORS INC | 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 |
|---|---|---|---|---|---|
| MAIZEL, LUIS | Individual | LM CAPITAL MANAGEMENT INC | SHAREHOLDER | 09/1988 | 25-50% |
| CHALKER, JOHN, EDWARD | Individual | LM CAPITAL MANAGEMENT INC | SHAREHOLDER | 09/1988 | 25-50% |
| MAIZEL, LUIS | Individual | – | SENIOR MANAGING DIRECTOR | 09/1988 | < 5% |
| CHALKER, JOHN, EDWARD | Individual | – | MANAGING DIRECTOR | 09/1988 | < 5% |
| GORODZINSKY, TOBIAS | Individual | – | CHIEF FINANCIAL OFFICER | 10/1996 | < 5% |
| LM CAPITAL MANAGEMENT INC | Domestic Entity | – | HOLDING COMPANY | 04/2002 | > 75% |
| MODIANO, MARIO | Individual | – | PORTFOLIO MANAGER | 10/2004 | < 5% |
| FRANKEL, JEFFREY, MARC | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2010 | < 5% |
| CHALKER, MICHAEL | Individual | – | PORTFOLIO MANAGER | 05/2022 | 5-10% |