LOOP CAPITAL ASSET MANAGEMENT
LOOP CAPITAL ASSET MANAGEMENT - TCH LLC Legal Name
Adviser information for LOOP CAPITAL ASSET MANAGEMENT last updated from Form ADV on March 21st, 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 | 31 |
|---|---|
| Investment Advisory/Research | 25 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 4 |
| 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 | 84 | $8.5B |
| Non-Discretionary | 0 | $0 |
| Total | 84 | $8.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | <5 | $591.8M |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 4 | $193.4M |
| Pension and profit sharing plans | 24 | $4.1B |
| Charitable organizations | <5 | $260.8M |
| State or municipal gov entities | 23 | $1.6B |
| Other investment advisers | 7 | $839.0M |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $21.9M |
| Corporations or other businesses | 21 | $870.5M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
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 | 801-69873 |
|---|---|
| SEC ERA File Number | 801-69873 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 149280 |
| Legal Entity Identifier | 254900NGR141GVTEX240 |
Principal Office
1001 BRICKELL BAY DRIVESUITE 2100
MIAMI
FL
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 305-379-2100, Fax: 305-379-4452
Websites
Chief Compliance Officer
STEPHEN BERKELEY
CHIEF COMPLIANCE OFFICER
425 S. FINANCIAL PLACE
STE 2700
CHICAGO
IL
United States
Tel:
312-913-2225
S***************@**************M
(Full email address available in API data)
Regulatory Contact
RON MAHAFFY
SENIOR VICE PRESIDENT
1001 BRICKELL BAY DRIVE
SUITE 2100
MIAMI
FL
United States
Tel:
305-379-2100
Fax:
305-379-4452
R**********@**************M
(Full email address available in API data)
Industry Affiliates
| JLC GP 1 LLC | Sponsor, GP, manager of pooled investment vehicles |
| JLC GP II, LLC | Sponsor, GP, manager of pooled investment vehicles |
| JLC INFRASTRUCTURE | Other investment adviser, including financial planners |
| LOOP CAPITAL MARKETS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CORE FIXED INCOME, LLC | FIXED INCOME | $33.7M | $2.0M | 2 |
| CORE PLUS FIXED INCOME, LLC | FIXED INCOME | $73.2M | $2.0M | 1 |
| SHORT-TERM BOND, LLC | FIXED INCOME | $24.1M | $2.0M | 1 |
| SUSTAINABLE FIXED INCOME, LLC | FIXED INCOME | $19.8M | $2.0M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KIMBALL, SCOTT, M | Individual | – | CIO LOOP CAPITAL ASSET MANAGEMENT - TCH, LLC | 03/2023 | < 5% |
| PHILLIPS, ADAM, MICHAEL | Individual | – | MANAGING DIRECTOR LOOP CAPITAL ASSET MANAGEMENT - TCH, LLC | 09/2020 | < 5% |
| BERKELEY, STEPHEN, SIDNEY | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2022 | < 5% |
| LOOP CAPITAL LLC | Domestic Entity | LOOP CAPITAL ASSET MANAGEMENT LLC | SOLE SHAREHOLDER OF LOOP CAPITAL ASSET MANAGEMENT LLC | 01/2022 | > 75% |
| LOOP CAPITAL HOLDINGS LLC | Domestic Entity | LOOP CAPITAL LLC | SHAREHOLDER OF LOOP CAPITAL, LLC | 10/2013 | 50-75% |
| REYNOLDS, JAMES | Individual | LOOP CAPITAL HOLDINGS LLC | MEMBER OF LOOP CAPITAL HOLDINGS LLC | 01/2004 | > 75% |
| LOOP CAPITAL ASSET MANAGEMENT LLC | Domestic Entity | – | SOLE MEMBER OF LOOP CAPITAL ASSET MANAGEMENT -TCH LLC | 01/2022 | > 75% |
| REYNOLDS, JAMES | Individual | – | CHIEF EXECUTIVE OFFICER | 01/2022 | < 5% |
| LUPKIN, IRA, ADAM | Individual | – | CHIEF FINANCIAL OFFICER | 01/2022 | < 5% |