OPEN FIELD CAPITAL LLC
Adviser information for OPEN FIELD CAPITAL 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 | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 12 | $135.4M |
| Non-Discretionary | 0 | $0 |
| Total | 12 | $135.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | <5 | $9.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 5 | $63.8M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | <5 | $1.8M |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | <5 | $60.0M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 17 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-64621 |
|---|---|
| SEC ERA File Number | 801-64621 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 136313 |
| Legal Entity Identifier | None |
Principal Office
1140 AVENUE OF THE AMERICAS, 9TH FLOORNEW YORK
NY
United States
Monday - Friday, 9 AM TO 5 PM
Tel: 646-380-6611, Fax: None
Chief Compliance Officer
JAMES STABLEFORD
DIRECTOR OF PORTFOLIOS
1140 AVENUE OF THE AMERICAS, 9 FLR
NEW YORK
NY
United States
Tel:
+44 (0)7916261156
J***************@********M
(Full email address available in API data)
Industry Affiliates
| OFPP MANAGEMENT LLC | Sponsor, GP, manager of pooled investment vehicles |
| OPEN FIELD CAPITAL II LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| EMERGING TECHNOLOGIES FUND II LLC | Private Equity Fund | $6.6M | $1.0M | 11 |
| EMERGING TECHNOLOGIES FUND II LP | Private Equity Fund | $1.8M | $1.0M | 6 |
| EMERGING TECHNOLOGIES FUND III LLC | Private Equity Fund | $30.6M | $1.0M | 23 |
| EMERGING TECHNOLOGIES FUND III LP | Private Equity Fund | $6.4M | $1.0M | 9 |
| OFPP LLC | Private Equity Fund | $26.6M | $0.0M | 48 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WEISS, MARC, JAY | Individual | – | CHIEF INVESTMENT OFFICER | 08/2003 | < 5% |
| STABLEFORD, JAMES, PATRICK FRANCIS | Individual | – | DIRECTOR OF PORTFOLIOS, CHIEF COMPLIANCE OFFICER | 08/2003 | < 5% |
| OPEN FIELD CAPITAL (CAYMAN) L.P. | Foreign Entity | – | MEMBER | 03/2006 | > 75% |
| WEISS, MARC, JAY | Individual | OPEN FIELD CAPITAL (CAYMAN) L.P. | LIMITED PARTNER | 08/2005 | 25-50% |
| STABLEFORD, JAMES, PATRICK FRANCIS | Individual | OPEN FIELD CAPITAL (CAYMAN) L.P. FUNDED UNAPPROVED RETIREMENT BENEFIT SCHEME | BENEFICIAL OWNER | 08/2005 | 25-50% |
| OPEN FIELD CAPITAL (CAYMAN) L.P. FURBS, SUBACCOUNT JAMES STABLEFORD | Foreign Entity | OPEN FIELD CAPITAL (CAYMAN) L.P. | LIMITED PARTNER | 08/2005 | 25-50% |
| OPEN FIELD CAPITAL LLC | Domestic Entity | OPEN FIELD CAYMAN GP LLC | SOLE MEMBER | 03/2021 | |
| OPEN FIELD CAYMAN GP LLC | Foreign Entity | OPEN FIELD CAPITAL (CAYMAN) L.P. | GENERAL PARTNER | 10/2021 |