DEARBORN CAPITAL MANAGEMENT, LLC
Adviser information for DEARBORN CAPITAL MANAGEMENT, LLC last updated from Form ADV on March 8th, 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 | Illinois, United States |
Employees
| Total Number of Employees | 12 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 8 |
| 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 | 0 | $0 |
| Non-Discretionary | 1 | $457.1M |
| Total | 1 | $457.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $457.1M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| 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 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-72068 |
|---|---|
| SEC ERA File Number | 801-72068 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 155473 |
| Legal Entity Identifier | 5493005TWIZA6C16A155 |
Principal Office
566 W. ADAMSSUITE 300
CHICAGO
IL
United States
Monday - Friday, 8:00-5:00
Tel: 312-756-4450, Fax: 312-756-4452
Chief Compliance Officer
LAUREN PERKAUS
CHIEF COMPLIANCE OFFICER
566 W ADAMS
SUITE 300
CHICAGO
IL
United States
Tel:
312-527-6816
Fax:
312-756-4452
L*****@******************M
(Full email address available in API data)
Regulatory Contact
WILLIAM WILKIE
COMPLIANCE
566 W ADAMS
SUITE 300
CHICAGO
IL
United States
Tel:
312-788-2485
Fax:
312-756-4452
B***@******************M
(Full email address available in API data)
Industry Affiliates
| DCM BROKERS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| EMC CAPITAL ADVISORS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KAVANAGH, DAVID, MICHAEL | Individual | – | CHIEF INVESTMENT OFFICER | 12/1995 | < 5% |
| MEEHAN, PATRICK, JOSEPH | Individual | – | CHIEF OPERATING OFFICER | 04/2008 | < 5% |
| OROURKE, MAUREEN, ANNE | Individual | – | CHIEF FINANCIAL OFFICER | 05/2003 | < 5% |
| DEARBORN CAPITAL MANAGEMENT, LTD. | Domestic Entity | – | MEMBER | 12/1995 | 50-75% |
| KAVANAGH, DAVID, MICHAEL | Individual | DEARBORN CAPITAL MANAGEMENT LTD. | SHAREHOLDER | 07/1988 | > 75% |
| CENTUM PRATA HOLDING AG | Foreign Entity | DCMI HOLDINGS INC | SHAREHOLDER | 03/2012 | > 75% |
| AL-RAYES, ABDULLAH, M.A | Individual | CENTUM PRATA HOLDING AG | SHAREHOLDER | 12/2003 | > 75% |
| DCMI HOLDINGS INC | Domestic Entity | – | MEMBER | 03/2012 | 25-50% |
| DAVID M KAVANAGH 2010 TRUST | Domestic Entity | DEARBORN CAPITAL MANAGEMENT, LTD. | OWNER | 02/2013 | 25-50% |
| TAGLIA, GERALD, J | Individual | DAVID M KAVANAGH 2010 TRUST | TRUSTEE | 02/2013 | 25-50% |
| PERKAUS, LAUREN, KAVANAGH | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2017 | < 5% |
| DAVID M. KAVANAGH TRUST | Domestic Entity | DEARBORN CAPITAL MANAGEMENT, LTD. | INDIRECT OWNER | 03/2019 | 25-50% |