PAUL CAPITAL
3000 MANAGEMENT, INC. Legal Name
Adviser information for PAUL CAPITAL last updated from Form ADV on March 22nd, 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 | California, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 7 |
| 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 | 7 | $558.1M |
| Non-Discretionary | 0 | $0 |
| Total | 7 | $558.1M |
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 | 7 | $558.1M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 29 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMPerformance-based feesREIMBURSEMENT OF CERTAIN COSTS |
Identifiers
| SEC RIA File Number | 801-61603 |
|---|---|
| SEC ERA File Number | 801-61603 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 121168 |
| Legal Entity Identifier | None |
Principal Office
2269 CHESTNUT STREET #621SAN FRANCISCO
CA
United States
Monday - Friday, 9AM-5PM
Tel: 415-283-4300, Fax: 415-283-4301
Chief Compliance Officer
RANDALL SCHWED
CHIEF COMPLIANCE OFFICER
2269 CHESTNUT STREET #621
SAN FRANCISCO
CA
United States
Tel:
(415) 283-4300
Fax:
(415) 283-4301
R******@**********M
(Full email address available in API data)
Regulatory Contact
JOHNSON YUE
CONTROLLER
2269 CHESTNUT STREET #621
SAN FRANCISCO
CA
United States
Tel:
415-283-4300
J***@**********M
(Full email address available in API data)
Industry Affiliates
| PAUL CAPITAL | Other investment adviser, including financial planners |
| PAUL CAPITAL IX MANAGEMENT, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| PAUL CAPITAL VIII MANAGEMENT, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| PAUL CAPITAL PARTNERS IX, LP | Private Equity Fund | $511.9M | $10.0M | 104 |
| PAUL CAPITAL PARTNERS VIII-A, LP | Private Equity Fund | $10.4M | $10.0M | 60 |
| PAUL CAPITAL PARTNERS VIII-B, LP | Private Equity Fund | $2.2M | $10.0M | 3 |
| PAUL CAPITAL PARTNERS VIII-C, LP | Private Equity Fund | $19.3M | $10.0M | 46 |
| PAUL CAPITAL TOWN STREET PARTNERS LP | Private Equity Fund | $14.2M | $0.0M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| JENSEN, PHILIP, J | Individual | PAUL CAPITAL ADVISORS, L.L.C. | ELECTED MANAGER | 09/2004 | |
| DE WEESE, DAVID, H | Individual | PAUL CAPITAL ADVISORS, L.L.C. | ELECTED MANAGER | 09/2004 | |
| PAUL CAPITAL ADVISORS, L.L.C. | Domestic Entity | – | SHAREHOLDER | 09/2004 | > 75% |
| RICO, GUY | Individual | PAUL CAPITAL ADVISORS, L.L.C. | ELECTED MANAGER | 09/2004 | |
| MULDERRY, DANIEL, PATRICK | Individual | PAUL CAPITAL ADVISORS, L.L.C. | ELECTED MANAGER | 01/2013 | |
| SMALL, ELAINE, LUCHAK | Individual | PAUL CAPITAL ADVISORS, L.L.C. | ELECTED MANAGER | 01/2013 | |
| SCHWED, RANDALL, CLAY | Individual | PAUL CAPITAL ADVISORS, L.L.C. | ELECTED MANAGER | 10/2014 | |
| WONG, DEBBIE, AU | Individual | PAUL CAPITAL ADVISORS, L.L.C. | ELECTED MANAGER | 10/2014 | |
| SCHWED, RANDALL, CLAY | Individual | – | CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, PRESIDENT, CHIEF COMPLIANCE OFFICER, SECRETARY AND DIRECTOR | 03/2018 | < 5% |