LIZARD INVESTORS LLC
Adviser information for LIZARD INVESTORS 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 | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 5 | $268.0M |
| Non-Discretionary | 0 | $0 |
| Total | 5 | $268.0M |
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 | 3 | $167.3M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | <5 | $85.6M |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $15.0M |
| 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 | 40 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-69277 |
|---|---|
| SEC ERA File Number | 801-69277 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 147284 |
| Legal Entity Identifier | 549300COZ1H30TOSV315 |
Principal Office
110 NORTH WACKER DRIVESUITE 2500
CHICAGO
IL
United States
Monday - Friday, 8:00 A.M. TO 5:00 P.M.
Tel: (312) 803-7311, Fax: None
Chief Compliance Officer
THOMAS HARTER
909 ROSE AVENUE
NORTH BETHESDA
MD
United States
Tel:
(949) 625-6008
T******@******************M
(Full email address available in API data)
Regulatory Contact
JONATHAN MOOG
CIO AND PORTFOLIO MANAGER
110 NORTH WACKER DRIVE
SUITE 2500
CHICAGO
IL
United States
Tel:
(312) 803-7282
J**@******************M
(Full email address available in API data)
Industry Affiliates
| LIZARD INTERNATIONAL GP, LTD. | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| LIZARD INTERNATIONAL MASTER FUND L.P. | Hedge Fund | $29.5M | $1.0M | 24 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LJZ REVOCABLE TRUST | Domestic Entity | – | MEMBER | 10/2007 | < 5% |
| MOOG, JONATHAN, DOUGLAS | Individual | – | CHIEF INVESTMENT OFFICER AND PORTFOLIO MANAGER | 06/2017 | > 75% |
| LEAH'S TRUST | Domestic Entity | – | MEMBER | 01/2020 | < 5% |
| HARTER, THOMAS, LOWELL | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2022 | < 5% |
| KING, THOMAS, EDWARD | Individual | – | OUTSOURCED CHIEF FINANCIAL OFFICER | 09/2022 | < 5% |
| ZELL, LEAH, JOY | Individual | – | TRUSTEE OF LJZ REVOCABLE TRUST | 07/1995 | < 5% |
| ZELL, LEAH, JOY | Individual | – | TRUSTEE OF LEAH'S TRUST | 12/1953 | < 5% |