IMPERIAL CAPITAL ASSET MANAGEMENT LLC
Adviser information for IMPERIAL CAPITAL ASSET MANAGEMENT LLC last updated from Form ADV on June 5th, 2023. 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 | 13 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 8 |
| 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 | $108.3M |
| Non-Discretionary | 2 | $285.4M |
| Total | 3 | $393.7M |
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 | $108.3M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 49 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 2 | $285.4M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 49 |
| No. of Non-U.S. Clients | 82 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsICAM PROVIDES DEBT AND EQUITY INVESTMENT RESEARCH REPORTS TO INSTITUTIONAL CLIENTS. |
|---|---|
| Compensation | % of AUMSubscription feesPerformance-based feesOPTIONAL PAYMENT FOR DEBT AND EQUITY RESEARCH REPORTS TO CLIENTS |
Identifiers
| SEC RIA File Number | 801-67961 |
|---|---|
| SEC ERA File Number | 801-67961 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 108258 |
| Legal Entity Identifier | 549300URT9YM0NKFO073 |
Principal Office
3801 PGA BOULEVARD, SUITE 603PALM BEACH GARDENS
FL
United States
Monday - Friday, 6:00A.M. TO 4:00 P.M.
Tel: 310-246-3793, Fax: 561-214-7998
Chief Compliance Officer
TODD WIENCH
CCO & GENERAL COUNSEL
10100 SANTA MONICA BLVD.
SUITE 2400
LOS ANGELES
CA
United States
Tel:
310-246-3644
Fax:
310-777-3075
T******@******************M
(Full email address available in API data)
Regulatory Contact
CHRISTOPHER LOCICERO
SENIOR VICE PRESIDENT
277 PARK AVENUE
SUITE 2004
NEW YORK
NY
United States
Tel:
212-351-9416
Fax:
212-351-9743
C********@******************M
(Full email address available in API data)
Industry Affiliates
| IMPERIAL CAPITAL (INTERNATIONAL), LLP | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| IMPERIAL CAPITAL SOCIETA' DI INTERMEDIAZIONE MOBILIARE | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| IMPERIAL CAPITAL, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| LONG BALL PARTNERS, LLC | Hedge Fund | $108.3M | $1.0M | 68 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ICAM HOLDINGS, LLC. | Domestic Entity | – | MEMBER | 01/2014 | > 75% |
| REESE, JASON, WALTER | Individual | – | CHAIRMAN AND CEO | 09/1997 | < 5% |
| MARTIS, MARK, CHRISTOPHER | Individual | – | COO AND CFO | 09/1997 | < 5% |
| WOOSTER, RANDALL, EVAN | Individual | IMPERIAL CAPITAL GROUP HOLDINGS, LLC | MEMBER | 06/2001 | 50-75% |
| REESE, JASON, WALTER | Individual | IMPERIAL CAPITAL GROUP HOLDINGS, LLC | MEMBER | 06/2001 | 50-75% |
| IMPERIAL CAPITAL GROUP HOLDINGS, LLC | Domestic Entity | ICAM HOLDINGS, LLC | MEMBER | 01/2014 | > 75% |
| WIENCH, TODD, EDMUND | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2014 | < 5% |