FIGURE INVESTMENT ADVISORS, LLC
Adviser information for FIGURE INVESTMENT ADVISORS, LLC 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 | Delaware, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 1 |
| 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 | 1 | $70.8M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $70.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $70.8M |
| 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 | 801-72508 |
|---|---|
| SEC ERA File Number | 801-72508 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 158307 |
| Legal Entity Identifier | XMFDDPMTNPQLNHQ9ED34 |
Principal Office
650 CALIFORNIA STREETSUITE 2700
SAN FRANCISCO
CA
United States
Monday - Friday, 6:30 A.M. - 5 P.M.
Tel: 628-236-5823, Fax: 415-449-3462
Websites
Chief Compliance Officer
JASON RIVES
650 CALIFORNIA STREET
SUITE 2700
SAN FRANCISCO
CA
United States
Tel:
6282365823
J*****@***************M
(Full email address available in API data)
Regulatory Contact
CLARK PIETROMONACO
COMPLIANCE
650 CALIFORNIA STREET
SUITE 2700
SAN FRANCISCO
CA
United States
Tel:
6282365823
C************@***************M
(Full email address available in API data)
Industry Affiliates
| FAM GP 1, LLC | Sponsor, GP, manager of pooled investment vehicles |
| FIGURE SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| FIGURE HELOC ACCESS FUND, LLC | SECURED BY HELOCS | $8.1M | $0.1M | 8 |
| FIGURE WORLD EQUITY FUND, LP | Hedge Fund | $0.0M | $0.1M | 11 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FIGURE ASSET MANAGEMENT, LLC | Domestic Entity | – | MEMBER | 02/2018 | > 75% |
| FIGURE TECHNOLOGIES, INC. | Domestic Entity | FIGURE ASSET MANAGEMENT, LLC | MEMBER | 02/2018 | > 75% |
| RIVES, JASON, ASBURY | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2023 | < 5% |
| ABBATE, MICHAEL, ANTHONY | Individual | – | CHIEF EXECUTIVE OFFICER | 12/2023 | < 5% |