PARKS CAPITAL
RALPH PARKS INVESTMENT GROUP LLC Legal Name
Adviser information for PARKS CAPITAL last updated from Form ADV on March 31st, 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 | New York, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 309 | $76.0M |
| Non-Discretionary | 15 | $1.1M |
| Total | 324 | $77.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 87 | $18.8M |
| HNW Individuals | 30 | $54.6M |
| 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 | 19 | $3.2M |
| Charitable organizations | <5 | $257,589 |
| 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 | $208,180 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-65169 |
|---|---|
| SEC ERA File Number | 801-65169 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 138121 |
| Legal Entity Identifier | None |
Principal Office
145 SULLY'S TRAILSUITE 5
PITTSFORD
NY
United States
Monday - Friday, 8:30AM - 4:30PM
Tel: 585-248-5700, Fax: 585-248-5703
Chief Compliance Officer
GINA M GRIFFO
CHIEF EXECUTIVE OFFICER
145 SULLY'S TRAIL
SUITE 5
PITTSFORD
NY
United States
Tel:
585-248-5701
Fax:
585-248-5703
G******@**********M
(Full email address available in API data)
Regulatory Contact
RAJIV DIXIT
CHIEF INVESTMENT OFFICER
145 SULLY'S TRAIL
SUITE 5
PITTSFORD
NY
United States
Tel:
585-248-5700
Fax:
585-248-5703
R*****@**********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DIXIT, RAJIV, NATH | Individual | – | CHIEF INVESTMENT OFFICER-12/2011, CHIEF OPERATING OFFICER-02/2006 | 01/2006 | < 5% |
| GRIFFO, GINA, M | Individual | – | CHIEF EXECUTIVE OFFICER-12/2011, CHIEF COMPLIANCE OFFICER-11/2005 | 11/2005 | < 5% |
| ASPIRE CAPITAL MANAGEMENT INC. | Domestic Entity | – | OWNER | 12/2011 | > 75% |
| GRIFFO, GINA, M | Individual | ASPIRE CAPITAL MANAGEMENT INC. | CO-OWNER-PRESIDENT-SECRETARY | 12/2011 | 50-75% |
| DIXIT, RAJIV, NATH | Individual | ASPIRE CAPITAL MANAGEMENT INC. | CO-OWNER-VICE PRESIDENT-TREASURER | 12/2011 | 50-75% |