PRINCIPIUM INVESTMENTS LLC
Adviser information for PRINCIPIUM INVESTMENTS LLC last updated from Form ADV on March 28th, 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 | Colorado, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 487 | $150.9M |
| Non-Discretionary | 2 | $2.2M |
| Total | 489 | $153.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 173 | $37.3M |
| HNW Individuals | 45 | $104.0M |
| 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 | $1.9M |
| Charitable organizations | 2 | $951,586 |
| 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 | <5 | $8.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-61768 |
|---|---|
| SEC ERA File Number | 801-61768 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 124989 |
| Legal Entity Identifier | None |
Principal Office
1200 PEARL STSUITE 314
BOULDER
CO
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: (303) 351-5353, Fax: (720) 302-1434
Chief Compliance Officer
MICHAEL PATRICK TRACY
1200 PEARL ST
SUITE 314
BOULDER
CO
United States
Tel:
303-351-5353 EXT. 1
Fax:
720-302-1434
M************@************************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 |
|---|---|---|---|---|---|
| TRACY, MICHAEL, PATRICK | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2008 | < 5% |
| THE MICHAEL P. TRACY REVOCABLE TRUST | Domestic Entity | – | OWNER | 09/2019 | > 75% |
| TRACY, MICHAEL, PATRICK | Individual | THE MICHAEL P. TRACY REVOCABLE TRUST | PRIMARY TRUSTEE | 09/2019 |