NORCAP INVESTMENT MANAGEMENT, L.P.
Adviser information for NORCAP INVESTMENT MANAGEMENT, L.P. 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 Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| 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 | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 8 | $204.4M |
| Non-Discretionary | 0 | $0 |
| Total | 8 | $204.4M |
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 | 8 | $204.4M |
| 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 | 38 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-64155 |
|---|---|
| SEC ERA File Number | 801-64155 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 132975 |
| Legal Entity Identifier | None |
Principal Office
15100 GEBRON DRIVEAUSTIN
TX
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M.
Tel: 972-701-8813, Fax: None
Chief Compliance Officer
JAMES BOLTON WALTERS
CHAIRMAN, CHIEF EXECUTIVE OFFICER
15100 GEBRON DRIVE
AUSTIN
TX
United States
Tel:
512-485-7583
B*******@**************M
(Full email address available in API data)
Industry Affiliates
| NORCAP MANAGEMENT, L.P. | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| GOVPLUS FUND AI, L.P. | Hedge Fund | $31.0M | $0.3M | 61 |
| NORCAP DIVERSIFIED PREMIUM FUND, L.P. | Hedge Fund | $124.6M | $1.0M | 70 |
| NORCAP PREMIUM PLUS FUND, L.P. | Hedge Fund | $46.8M | $0.5M | 49 |
| NORCAP SECURITIES FUND, L.P. | Hedge Fund | $0.0M | $0.5M | 0 |
| SERIES A: NORCAP REAL ESTATE SECURITIES FUND | Hedge Fund | $2.0M | $0.5M | 4 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NORCAP ADVISORS, LLC | Domestic Entity | – | GENERAL PARTNER | 09/2004 | < 5% |
| NORCOM, DAVID, RUSSELL | Individual | – | LIMITED PARTNER | 09/2004 | 25-50% |
| NORCOM, DAVID, RUSSELL | Individual | NORCAP ADVISORS, LLC | MANAGER AND MEMBER | 09/2004 | 25-50% |
| WALTERS, JAMES, BOLTON | Individual | – | CHAIRMAN, CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | 09/2020 | < 5% |
| BAG SECURITIES, L.L.C. | Domestic Entity | NORCAP ADVISORS, LLC | MANAGER AND MEMBER | 09/2020 | 50-75% |
| BAG SECURITIES, L.L.C. | Domestic Entity | – | LIMITED PARTNER | 09/2020 | 50-75% |
| TANANBAUM, KENNETH, LEWIS | Individual | – | SECRETARY; PORTFOLIO MANAGER | 12/2022 | < 5% |
| WALTERS, ROBERT, LEONARD | Individual | – | EXECUTIVE VICE PRESIDENT | 12/2022 | < 5% |