STEBEN & COMPANY, LLC
Adviser information for STEBEN & COMPANY, LLC last updated from Form ADV on March 11th, 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 | Maryland, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 5 |
| 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 | 1 | $119.4M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $119.4M |
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 | 1 | $119.4M |
| 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 | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
687 EXCELSIOR BLVD.EXCELSIOR
MN
United States
Monday - Friday, 8:00AM - 5:00PM
Tel: 952-767-6900, Fax: 952-767-2926
Websites
Chief Compliance Officer
BRIAN F HULL
CHIEF COMPLIANCE OFFICER
687 EXCELSIOR BLVD.
EXCELSIOR
MN
United States
Tel:
952-767-6905
B****@**************M
(Full email address available in API data)
Regulatory Contact
JON ESSEN
CFO
687 EXCELSIOR BLVD.
EXCELSIOR
MN
United States
Tel:
952-767-6903
J*****@**************M
(Full email address available in API data)
Industry Affiliates
| LOCORR DISTRIBUTORS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| LOCORR FUND MANAGEMENT, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HULL, BRIAN F | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2012 | < 5% |
| OCTAVUS GROUP, LLC | Domestic Entity | – | OWNER | 10/2019 | > 75% |
| KINZIE, KEVIN MICHAEL | Individual | – | CHIEF EXECUTIVE OFFICER | 11/2019 | < 5% |
| ESSEN, JON CHADWICK | Individual | – | CHIEF FINANCIAL OFFICER | 03/2020 | < 5% |
| KINZIE, KEVIN, MICHAEL | Individual | OCTAVUS GROUP, LLC | MANAGER | 08/2002 | 25-50% |