M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC
Adviser information for M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, 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 | Delaware, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 4 |
| 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 | 2 | $25.0M |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $25.0M |
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 | 2 | $25.0M |
| 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 | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-62585 |
|---|---|
| SEC ERA File Number | 801-62585 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 124506 |
| Legal Entity Identifier | None |
Principal Office
55 WEST 46TH STREETSUITE 2801
NEW YORK
NY
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 212-730-2000, Fax: 212-764-0381
Chief Compliance Officer
BOBBY LIU
CHIEF OPERATING OFFICER, GENERAL COUNSEL
55 WEST 46TH STREET
SUITE 2801
NEW YORK
NY
United States
Tel:
212-730-2000
Fax:
2127640381
B***@*********M
(Full email address available in API data)
Industry Affiliates
| AMERRA CAPITAL MANAGEMENT, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| CLADRIUS PARTNERS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| M.D. SASS SECURITIES, L.L.C. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| M.D. SASS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| MACQUARIE BANK INTERNATIONAL LIMITED | Other investment adviser, including financial planners |
| MACQUARIE CAPITAL (USA) INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| M.D. SASS-MACQUARIE FINANCIAL STRATEGIES INVESTMENT VEHICLE, LLC | Private Equity Fund | $9.6M | $0.3M | 5 |
| M.D. SASS-MACQUARIE FINANCIAL STRATEGIES, LP | Private Equity Fund | $21.3M | $5.0M | 86 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SASS, MARTIN, DOUGLAS | Individual | – | CHAIRMAN, CHIEF EXECUTIVE OFFICER, DIRECTOR | 04/2002 | < 5% |
| M.D. SASS, INC. | Domestic Entity | M.D. SASS FINANCIAL HOLDINGS, LLC | MANAGING MEMBER | 04/2002 | |
| SASS, MARTIN, DOUGLAS | Individual | M.D. SASS FINANCIAL HOLDINGS, LLC | MEMBER | 04/2002 | 50-75% |
| LAMLE, HUGH, ROY | Individual | M.D. SASS FINANCIAL HOLDINGS, LLC | MEMBER | 04/2002 | 50-75% |
| SHENFELD, STEVEN, ALAN | Individual | WEATHERVANE CAPITAL PARTNERS, LLC | MEMBER | 04/2002 | > 75% |
| M.D. SASS FINANCIAL HOLDINGS, LLC | Domestic Entity | – | MEMBER | 04/2002 | 25-50% |
| WEATHERVANE CAPITAL PARTNERS, LLC | Domestic Entity | – | MEMBER | 04/2002 | 10-25% |
| LIU, BOBBY | Individual | – | CHIEF OPERATING OFFICER, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | 08/2006 | < 5% |
| MACQUARIE HOLDINGS (USA), INC. | Domestic Entity | – | MEMBER | 08/2006 | 25-50% |
| MACQUARIE GROUP LIMITED | Foreign Entity | MACQUARIE FINANCIAL HOLDINGS PTY LIMITED | OWNER | 02/2007 | > 75% |
| MACQUARIE EQUITIES (US) HOLDING PTY LIMITED | Foreign Entity | MACQUARIE HOLDINGS (USA) INC. | OWNER | 01/2014 | > 75% |
| MACQUARIE CORPORATE INTERNATIONAL HOLDINGS PTY LIMITED | Foreign Entity | MACQUARIE GROUP (US) HOLDINGS NO.1 PTY LIMITED | OWNER | 02/2007 | > 75% |
| FRIEDMAN, SAM, HARRIS | Individual | – | CHIEF FINANCIAL OFFICER & DIRECTOR | 12/2019 | < 5% |
| MACQUARIE GROUP (US) HOLDINGS NO.1 PTY LTD. | Foreign Entity | MACQUARIE EQUITIES (US) HOLDINGS PTY LIMITED | OWNER | 04/2007 | > 75% |
| MACQUARIE FINANCIAL HOLDINGS PTY LIMITED | Foreign Entity | MACQUARIE CORPORATE HOLDINGS PTY LIMITED | OWNER | 11/2007 | > 75% |
| MACQUARIE CORPORATE HOLDINGS PTY LIMITED | Foreign Entity | MACQUARIE CORPORATE INTERNATIONAL HOLDINGS PTY LTD | OWNER | 11/2007 | > 75% |
| HOOKE, JAMES, ROYCE MURRAY | Individual | – | DIRECTOR | 08/2022 | < 5% |
| CONWAY, GRAEME | Individual | – | DIRECTOR | 08/2022 | < 5% |