FIDUS INVESTMENT ADVISORS, LLC
Adviser information for FIDUS INVESTMENT ADVISORS, LLC last updated from Form ADV on March 27th, 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 | 34 |
|---|---|
| Investment Advisory/Research | 24 |
| Registered Broker-Dealer Representatives | 3 |
| 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 | 3 | $1.0B |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $1.0B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 1 | $957.9M |
| Pooled investment vehicles | 2 | $73.7M |
| 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 investment companiesPortfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-72285 |
|---|---|
| SEC ERA File Number | 801-72285 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 156981 |
| Legal Entity Identifier | None |
Principal Office
1603 ORRINGTON AVESUITE 1005
EVANSTON
IL
United States
Monday - Friday, 8:30AM - 5:30PM CT
Tel: 847-859-3940, Fax: 847-859-3953
Chief Compliance Officer
DIANE P. LIND
1603 ORRINGTON AVENUE
SUITE 1005
EVANSTON
IL
United States
Tel:
847-859-3951
Fax:
847-859-3953
C*********@***********M
(Full email address available in API data)
Regulatory Contact
EDWARD H. ROSS
CEO, PRESIDENT, ASSISTANT SECRETARY, ASSISTANT TREASURER, MANAGER
1603 ORRINGTON AVENUE
SUITE 1005
EVANSTON
IL
United States
Tel:
847-859-3941
Fax:
847-859-3953
E****@***********M
(Full email address available in API data)
Industry Affiliates
| FIDUS CAPITAL ADVISORS, LLC | Other investment adviser, including financial planners |
| FIDUS CREDIT OPPORTUNITIES GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| FIDUS EQUITY OPPORTUNITIES GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| FIDUS SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| FIDUS CREDIT OPPORTUNITIES, L.P. | PRIVATE CREDIT FUND | $60.4M | $0.0M | 34 |
| FIDUS EQUITY OPPORTUNITIES FUND, L.P. | Private Equity Fund | $13.3M | $0.5M | 55 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ROSS, EDWARD, HENNESSY | Individual | – | CHIEF EXECUTIVE OFFICER, PRESIDENT, ASSISTANT SECRETARY, ASSISTANT TREASURER, MANAGER | 03/2011 | < 5% |
| LAUER, THOMAS, CHARLES | Individual | – | MANAGER | 03/2011 | < 5% |
| WORTH, WILLIAM, ANDREW | Individual | – | ASSISTANT SECRETARY, ASSISTANT TREASURER AND MANAGER | 03/2011 | < 5% |
| ROSS, JOHN, JOSEPH | Individual | – | CHAIR OF BOARD OF MANAGERS, MANAGER | 03/2011 | < 5% |
| FIDUS GROUP HOLDINGS, LLC | Domestic Entity | – | MEMBER | 05/2015 | > 75% |
| GRIGG, JOHN, HUMPHREY | Individual | – | MANAGER | 01/2015 | < 5% |
| ROSS, EDWARD, HENNESSY | Individual | FIDUS GROUP HOLDINGS, LLC | MANAGER | 05/2015 | |
| GRIGG, JOHN, HUMPHREY | Individual | FIDUS GROUP HOLDINGS, LLC | MANAGER | 05/2015 | |
| LAUER, THOMAS, CHARLES | Individual | FIDUS GROUP HOLDINGS, LLC | MANAGER | 05/2015 | |
| WORTH, WILLIAM, ANDREW | Individual | FIDUS GROUP HOLDINGS, LLC | MANAGER | 05/2015 | |
| ROSS, JOHN, JOSEPH | Individual | FIDUS GROUP HOLDINGS, LLC | MANAGER | 05/2015 | |
| LIND, DIANE, PAULA | Individual | – | CHIEF COMPLIANCE OFFICER AND ASSISTANT SECRETARY | 08/2015 | < 5% |
| SHERARD, SHELBY, ELIZABETH | Individual | – | CHIEF FINANCIAL OFFICER, VICE PRESIDENT, TREASURER AND SECRETARY | 12/2017 | < 5% |
| HERRING, JOHN, MCPHAIL | Individual | – | CHIEF OPERATING OFFICER, CHIEF LEGAL OFFICER, VICE PRESIDENT, ASSISTANT SECRETARY, ASSISTANT TREASURER | 08/2023 | < 5% |