TRAUB CAPITAL MANAGEMENT
TRAUB CAPITAL MANAGEMENT, LLC Legal Name
Adviser information for TRAUB CAPITAL MANAGEMENT last updated from Form ADV on February 12th, 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 | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 121 | $149.5M |
| Non-Discretionary | 0 | $0 |
| Total | 121 | $149.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 72 | $25.4M |
| HNW Individuals | 47 | $120.7M |
| 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 | 1 | $2.1M |
| Charitable organizations | 0 | $0 |
| 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 | 2 | $1.3M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-70068 |
|---|---|
| SEC ERA File Number | 801-70068 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 136851 |
| Legal Entity Identifier | None |
Principal Office
97 CHAPEL STSUITE 7
NEEDHAM
MA
United States
Monday - Friday, 8:30-5:30
Tel: 781-453-3929, Fax: 781-898-7647
Websites
Chief Compliance Officer
HEYDON TRAUB
CEO
97 CHAPEL ST.
SUITE 7
NEEDHAM
MA
United States
Tel:
781-453-3929
Fax:
781-898-7647
H******@***************M
(Full email address available in API data)
Regulatory Contact
CLIFFORD LEWIS
RESEARCH ANALYST
97 CHAPEL ST.
SUITE 7
NEEDHAM
MA
United States
Tel:
781-453-3929
Fax:
781-898-7647
C******@***************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 |
|---|---|---|---|---|---|
| TRAUB, HEYDON, DAVID | Individual | – | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | 10/2003 | > 75% |