DARA CAPITAL US, INC.
Adviser information for DARA CAPITAL US, INC. last updated from Form ADV on February 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 3 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2 | $81.9M |
| Non-Discretionary | 63 | $459.8M |
| Total | 65 | $541.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 13 | $7.1M |
| HNW Individuals | 44 | $433.1M |
| 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 | 0 | $0 |
| Charitable organizations | <5 | $6.0M |
| 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 | 7 | $95.4M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 8 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Publication of periodicals or newsletters |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
Principal Office
1395 BRICKELL AVESUITE 800
MIAMI
FL
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 646-779-9760, Fax: 646-779-9758
Chief Compliance Officer
BARTHELEMY, LAURENT RENE, HELG
1395 BRICKELL AVE
SUITE 800
MIAMI
FL
United States
Tel:
646-779-9760
Fax:
646-779-9758
C*********@**************M
(Full email address available in API data)
Regulatory Contact
DAVID ADRIAN SIGG
CHIEF INVESTMENT OFFICER
1395 BRICKELL AVE
SUITE 800
MIAMI
FL
United States
Tel:
646-779-9760
Fax:
646-779-9758
D*********@**************M
(Full email address available in API data)
Industry Affiliates
| DARA CAPITAL AG | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SIGG, DAVID, ADRIAN | Individual | – | DIRECTOR OF INVESTMENTS, DIRECTOR | 01/2010 | < 5% |
| DARA CAPITAL AG | Foreign Entity | – | FOREIGN ENTITY | 02/2009 | > 75% |
| KNECHT, ANTON, JOSEF | Individual | – | CHIEF EXECUTIVE OFFICER, DIRECTOR | 02/2009 | < 5% |
| KNECHT, ANTON, JOSEF | Individual | DARA CAPITAL AG | SHAREHOLDER | 04/2007 | 50-75% |
| SIGG, DAVID, ADRIAN | Individual | DARA CAPITAL AG | SHAREHOLDER | 01/2018 | 25-50% |
| HELG, BARTHELEMY, LAURENT RENE | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2020 | < 5% |