HALIFAX INVESTMENT MANAGEMENT, L.L.C.
Adviser information for HALIFAX INVESTMENT MANAGEMENT, L.L.C. last updated from Form ADV on March 22nd, 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 | 16 |
|---|---|
| Investment Advisory/Research | 14 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 6 | $1.6B |
| Non-Discretionary | 0 | $0 |
| Total | 6 | $1.6B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 6 | $1.6B |
| 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 | 0 | $0 |
| 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 vehicles |
|---|---|
| Compensation | % of AUMPerformance-based feesCONSULTING |
Identifiers
| SEC RIA File Number | 801-71683 |
|---|---|
| SEC ERA File Number | 801-71683 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 152789 |
| Legal Entity Identifier | None |
Principal Office
3605 GLENWOOD AVENUESUITE 490
RALEIGH
NC
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 919-786-4420, Fax: 919-786-4428
Chief Compliance Officer
A. THOMAS HIGH, JR
CHIEF FINANCIAL OFFICER
3605 GLENWOOD AVENUE
SUITE 490
RALEIGH
NC
United States
Tel:
(919) 786-4412
Fax:
(919) 786-4428
T****@******************M
(Full email address available in API data)
Industry Affiliates
| HALIFAX GENPAR II, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| HALIFAX GENPAR IV, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| HALIFAX GENPAR V, LP | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| HALIFAX CAPITAL PARTNERS II, L.P. | Private Equity Fund | $3.0M | $5.0M | 35 |
| HALIFAX CAPITAL PARTNERS IV, L.P. | Private Equity Fund | $1,000.8M | $5.0M | 83 |
| HALIFAX CAPITAL PARTNERS V, LP | Private Equity Fund | $219.0M | $5.0M | 81 |
| HCP IV CDL CO-INVESTORS, LP | Private Equity Fund | $14.2M | $5.0M | 2 |
| HCP IV NPPI CO-INVESTORS LP | Private Equity Fund | $61.4M | $5.0M | 12 |
| HCP V CK CO-INVESTORS, LP | Private Equity Fund | $5.0M | $5.0M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| THE HALIFAX GROUP, L.L.C. | Domestic Entity | – | SOLE MEMBER | 03/2004 | > 75% |
| PLUMRIDGE, SCOTT | Individual | – | MANAGING PARTNER | 02/2016 | < 5% |
| CATHCART, CHRISTOPHER, CHARLES | Individual | – | MANAGING PARTNER | 02/2016 | < 5% |
| CATHCART, CHRISTOPHER, CHARLES | Individual | THE HALIFAX GROUP, L.L.C. | OWNER, MEMBER OF THE MANAGEMENT BOARD | 02/2016 | 50-75% |
| PLUMRIDGE, SCOTT | Individual | THE HALIFAX GROUP, L.L.C. | OWNER, MEMBER OF THE MANAGEMENT BOARD | 02/2016 | 50-75% |
| HIGH, JR., A., THOMAS | Individual | – | CHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER | 03/2021 | < 5% |
| HILL, DOUGLAS, CHARLES | Individual | – | SR. PARTNER | 09/2019 | < 5% |
| BARD, DAVID, YOSSI | Individual | – | PARTNER | 03/2018 | < 5% |