ARIN RISK ADVISORS LLC
Adviser information for ARIN RISK ADVISORS LLC last updated from Form ADV on March 29th, 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 | 5 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 13 | $987.8M |
| Non-Discretionary | 0 | $0 |
| Total | 13 | $987.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 6 | $8.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 2 | $860.8M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $1.9M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 4 | $104.9M |
| Insurance companies | 1 | $11.4M |
| 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 | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)SUB-ADVISORY SERVICES |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-70598 |
|---|---|
| SEC ERA File Number | 801-70598 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 151491 |
| Legal Entity Identifier | None |
Principal Office
1100 EAST HECTOR STREETSUITE 215
CONSHOHOCKEN
PA
United States
Monday - Friday, 9:30AM - 4:00PM
Tel: 610.822.3400, Fax: None
Chief Compliance Officer
LAWRENCE LEMPERT
TRADING DIRECTOR
1100 EAST HECTOR STREET
SUITE 215
CONSHOHOCKEN
PA
United States
Tel:
610.822.3400
L*******@**********M
(Full email address available in API data)
Regulatory Contact
JOSEPH DESIPIO
LEAD STRATEGIST
1100 EAST HECTOR STREET
SUITE 215
CONSHOHOCKEN
PA
United States
Tel:
610-822-3400
J*******@**********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| VEGAEX, LP | Hedge Fund | $2.6M | $0.1M | 7 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LEMPERT, LAWRENCE, HOWARD | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2011 | < 5% |
| ARIN HOLDINGS LLC | Domestic Entity | – | MEMBER | 04/2010 | > 75% |
| DESIPIO, JOSEPH, JOHN | Individual | ARIN HOLDINGS LLC | MANAGING MEMBER | 04/2010 | 25-50% |
| LEMPERT, LAWRENCE, HOWARD | Individual | ARIN HOLDINGS LLC | MANAGING MEMBER | 01/2012 | 25-50% |
| DESIPIO, JOSEPH, JOHN | Individual | – | MANAGER | 08/2009 | < 5% |