ARLEN CAPITAL, LLC
Adviser information for ARLEN CAPITAL, LLC last updated from Form ADV on February 8th, 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 | Rhode Island, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 681 | $298.8M |
| Non-Discretionary | 6 | $8.1M |
| Total | 687 | $306.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 142 | $58.9M |
| HNW Individuals | 74 | $238.3M |
| 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 | 0 | $0 |
| Charitable organizations | <5 | $7.0M |
| 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 | $2.7M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-63038 |
|---|---|
| SEC ERA File Number | 801-63038 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 118113 |
| Legal Entity Identifier | None |
Principal Office
117 METRO CENTER BOULEVARDSUITE 2006
WARWICK
RI
United States
Monday - Friday, 8:30 A.M. - 5:00 P.M. (ET)
Tel: 401-854-3500, Fax: 401-854-3509
Websites
Chief Compliance Officer
FRANK MCGOFF
EXECUTIVE VICE PRESIDENT
117 METRO CENTER BOULEVARD
SUITE 2006
WARWICK
RI
United States
Tel:
401-854-3500
Fax:
401-854-3509
F******@****************M
(Full email address available in API data)
Regulatory Contact
ADAM SULLIVAN
EXECUTIVE VICE PRESIDENT
117 METRO CENTER BOULEVARD
SUITE 2006
WARWICK
RI
United States
Tel:
401-854-3500
Fax:
401-854-3509
A********@****************M
(Full email address available in API data)
Industry Affiliates
| ARLEN CORPORATION | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ARLEN CORPORATION | Domestic Entity | – | OWNER | 03/2001 | > 75% |
| SULLIVAN, PETER, ANTHONY | Individual | ARLEN CORPORATION | OWNER | 03/2001 | > 75% |
| MCGOFF, FRANK, PETER | Individual | – | CHIEF COMPLIANCE OFFICER/EXECUTIVE VICE PRESIDENT | 03/2001 | < 5% |
| SULLIVAN, PETER, ANTHONY | Individual | – | PRESIDENT AND MANAGER | 04/2001 | < 5% |
| SULLIVAN, ADAM, MCCRYSTAL | Individual | – | EXECUTIVE VICE PRESIDENT | 06/2004 | < 5% |