RIMROCK CAPITAL MANAGEMENT LLC
Adviser information for RIMROCK CAPITAL MANAGEMENT LLC last updated from Form ADV on March 26th, 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 | California, United States |
Employees
| Total Number of Employees | 28 |
|---|---|
| Investment Advisory/Research | 12 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 6 |
| 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 | 20 | $3.1B |
| Non-Discretionary | 0 | $0 |
| Total | 20 | $3.1B |
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 | 14 | $2.2B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 6 | $907.2M |
| 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 | 50 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-65109 |
|---|---|
| SEC ERA File Number | 801-65109 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 120410 |
| Legal Entity Identifier | WBUJYYH7ZD81ZPZ6UK98 |
Principal Office
100 INNOVATION DRIVESUITE 200
IRVINE
CA
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 949-381-7800, Fax: 949-272-5154
Websites
Chief Compliance Officer
ROBERT S. DE LEON
GENERAL COUNSEL
100 INNOVATION DR
SUITE 200
IRVINE
CA
United States
Tel:
949-381-7840
Fax:
949-272-5154
R******@*****************M
(Full email address available in API data)
Regulatory Contact
AYODEJI KAYODE
COMPLIANCE ANALYST
100 INNOVATION DR
SUITE 200
IRVINE
CA
United States
Tel:
949-381-7834
A******@*****************M
(Full email address available in API data)
Industry Affiliates
| RIMROCK REAL ESTATE VENTURES LP | Real estate broker or dealer |
| VIMVI CALIFORNIA CORPORATION | Real estate broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| RIMROCK HIGH INCOME PLUS (MASTER) FUND, LTD. | Hedge Fund | $1,165.6M | $1.0M | 186 |
| RIMROCK LOW VOLATILITY (MASTER) FUND, LTD. | Hedge Fund | $429.9M | $1.0M | 44 |
| RIMROCK STRATEGIC INCOME FUND, LTD. | Hedge Fund | $510.0M | $1.0M | 1 |
| RIMROCK STRUCTURED PRODUCT (MASTER) FUND, LTD | Hedge Fund | $99.4M | $1.0M | 50 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| EDINGTON, DAVID, HANIBAL | Individual | – | FOUNDER | 12/1999 | < 5% |
| CHESTER, CHRISTOPHER, LEE | Individual | – | CHIEF INVESTMENT OFFICER, MANAGING DIRECTOR | 06/2001 | < 5% |
| FOULKE, STEPHEN, ANDREW | Individual | – | CHIEF RISK OFFICER, MANAGING DIRECTOR | 06/2002 | < 5% |
| WESTHEAD, PAUL, CYRIL | Individual | – | CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR | 07/2004 | < 5% |
| DE LEON, ROBERT, S | Individual | – | CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL | 01/2014 | < 5% |
| RIMROCK CAPITAL MANAGEMENT, L.P. | Domestic Entity | – | MEMBER OF RIMROCK CAPITAL MANAGEMENT, LLC | 12/2012 | > 75% |
| RIMROCK GP, LLC | Domestic Entity | – | MANAGING MEMBER OF RIMROCK CAPITAL MANAGEMENT, LLC, GENERAL PARTNER OF RIMROCK CAPITAL MANAGEMENT L.P. | 12/2012 | < 5% |
| EDINGTON, DAVID, HANIBAL | Individual | EDINGTON LIVING TRUST | TRUSTEE | 12/1999 | 25-50% |
| CHESTER, CHRISTOPHER, LEE | Individual | RIMROCK GP, LLC, RIMROCK CAPITAL MANAGEMENT, L.P. | PARTNER | 06/2001 | |
| FOULKE, STEPHEN, ANDREW | Individual | RIMROCK GP, LLC, RIMROCK CAPITAL MANAGEMENT, L.P. | PARTNER | 06/2002 | |
| WESTHEAD, PAUL, CYRIL | Individual | RIMROCK GP, LLC, RIMROCK CAPITAL MANAGEMENT, L.P. | PARTNER | 07/2006 | |
| EDINGTON LIVING TRUST | Domestic Entity | RIMROCK GP, LLC | PARTNER | 12/1999 | 25-50% |
| CROWELL, BARBARA, ANNA | Individual | – | CHIEF FINANCIAL OFFICER | 12/2014 | < 5% |