LIVIAN & CO.
LIVIAN & CO., LLC Legal Name
Adviser information for LIVIAN & CO. 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 | New York, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 114 | $108.8M |
| Non-Discretionary | 8 | $14.8M |
| Total | 122 | $123.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 47 | $87.6M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 3 | $4.6M |
| Pension and profit sharing plans | 0 | $0 |
| 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 | 17 | $31.3M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 24 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsCONSULTING SERVICES, FINANCIAL CONSULTING FOR OTHER INVESTMENT ADVISERS |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-71406 |
|---|---|
| SEC ERA File Number | 801-71406 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 153771 |
| Legal Entity Identifier | None |
Principal Office
450 7TH AVENUESUITE 801
NEW YORK
NY
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: (212) 319-8900, Fax: (212) 319-8905
Chief Compliance Officer
MICHAEL M. LIVIAN, CFA
CHIEF EXECUTIVE OFFICER
450 7TH AVENUE
SUITE 801
NEW YORK
NY
United States
Tel:
(212) 319-8900
Fax:
(212) 319-8900
M******@***********M
(Full email address available in API data)
Regulatory Contact
ROSA ROMAN
HEAD OF OPERATIONS, COMPLIANCE MANAGER
4507TH AVENUE
SUITE 801
NEW YORK
NY
United States
Tel:
(212) 319-8900
Fax:
(212) 319-8905
R*****@***********M
(Full email address available in API data)
Industry Affiliates
| LEHMANN, LIVIAN, FRIDSON ADVISORS, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| LIVIAN EQUITY OPPORTUNITY FUND | Hedge Fund | $2.6M | $0.1M | 9 |
| LIVIAN HIGH INCOME OPPORTUNITY FUND | Hedge Fund | $1.0M | $0.1M | 4 |
| LIVIAN SETASI VENTURES SPV I LLC | Venture Capital Fund | $1.1M | $0.0M | 14 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LIVIAN, MICHAEL, MOSHE | Individual | – | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, CLASS B | 04/2010 | > 75% |
| GRS CHILDREN, LLC | Domestic Entity | – | MEMBER, CLASS A | 11/2010 | 10-25% |
| GORJIAN CAPITAL GROUP, LLC | Domestic Entity | – | MEMBER, CLASS A | 11/2010 | 25-50% |
| DANROY, LLC | Domestic Entity | – | MEMBER, CLASS A | 11/2010 | 25-50% |
| SAFDI�, DAVID, MAURICE | Individual | GRS CHILDREN, LLC | MANAGING MEMBER | 11/2008 | 25-50% |
| HAKIMIAN, DANNY, PEDRAM | Individual | DANROY, LLC | MANAGING MEMBER | 11/2010 | 50-75% |
| GORJIAN, JUSTIN, JOSEPH | Individual | GORJIAN CAPITAL GROUP, LLC | MANAGING MEMBER | 09/2010 | 25-50% |
| GORJIAN, COBBY | Individual | GORJIAN CAPITAL GROUP, LLC | MANAGING MEMBER | 09/2010 | 25-50% |
| SAFDIE, RAQUEL, HELENE | Individual | GRS CHILDREN, LLC | MEMBER | 11/2008 | 25-50% |
| SAFDIE, RUTH, DIANE | Individual | GRS CHILDREN, LLC | MEMBER | 11/2008 | 25-50% |
| GORJIAN, GUIDAON | Individual | GORJIAN CAPITAL GROUP | MEMBER | 09/2010 | 25-50% |
| SAFDIE, GABRIEL, ROLANDO | Individual | GRS CHILDREN, LLC | MANAGING MEMBER | 11/2008 | |
| GORJIAN, MYRON | Individual | GORJIAN CAPITAL GROUP, LLC | MEMBER | 09/2010 | 25-50% |
| KAMKHAJI, ALBERTO, ISAAC | Individual | – | MEMBER, CLASS A | 11/2010 | 5-10% |
| HAKIMIAN, ROY, AHRON | Individual | DANROY, LLC | MANAGING MEMBER | 11/2010 | 50-75% |
| LIVIAN, MICHAEL, MOSHE | Individual | – | MANAGING MEMBER, CLASS A | 04/2010 | 10-25% |
| SAFDIE, EDMOND, DANIEL | Individual | – | MEMBER, CLASS A | 08/2014 | 5-10% |