SAYBROOK FUND ADVISORS, LLC
Adviser information for SAYBROOK FUND ADVISORS, LLC 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 | 8 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 4 | $164.6M |
| Non-Discretionary | 1 | $84.3M |
| Total | 5 | $248.9M |
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 | 5 | $248.9M |
| 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 fees |
Identifiers
| SEC RIA File Number | 801-72671 |
|---|---|
| SEC ERA File Number | 801-72671 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 158634 |
| Legal Entity Identifier | None |
Principal Office
501 SANTA MONICA BLVDSUITE 607
SANTA MONICA
CA
United States
Monday - Friday, 7:00AM TO 5:00PM PST
Tel: (310) 601-3710, Fax: None
Chief Compliance Officer
SUK HOON LEE
OPERATIONS MANAGER
501 SANTA MONICA BLVD
SUITE 607
SANTA MONICA
CA
United States
Tel:
310-601-3712
S***@***********************M
(Full email address available in API data)
Regulatory Contact
JEFFREY MICHAEL WILSON
MEMBER, MANAGING MEMBER
303 TWIN DOLPHIN DRIVE
SUITE 600
REDWOOD SHORES
CA
United States
Tel:
650-632-4522
J******@***********************M
(Full email address available in API data)
Industry Affiliates
| SAYBROOK FUND INVESTORS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SAYBROOK TAX-EXEMPT INVESTORS, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| LATHROP2 LP | Private Equity Fund | $7.6M | $1.0M | 30 |
| SAYBROOK MUNICIPAL OPPORTUNITY FUND IV LP | Private Equity Fund | $34.5M | $1.0M | 51 |
| SAYBROOK MUNICIPAL OPPORTUNITY FUND VI LP | Private Equity Fund | $53.2M | $1.0M | 58 |
| SAYBROOK MUNICPAL OPPORTUNITY FUND VII LP | Private Equity Fund | $6.9M | $1.0M | 44 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SCHOTZ, JON, PETER | Individual | – | MEMBER, MANAGING MEMBER | 02/2011 | < 5% |
| WILSON, JEFFREY, MICHAEL | Individual | – | MEMBER, MANAGING MEMBER | 02/2011 | < 5% |
| LEE, SUK, HOON | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2016 | < 5% |
| SAYBROOK FUND MANAGERS, LLC | Domestic Entity | – | MEMBER | 07/2012 | > 75% |
| SCHOTZ, JON, PETER | Individual | SAYBROOK FUND MANAGERS, LLC | MEMBER AND OWNER | 07/2012 | 50-75% |
| WILSON, JEFFREY, MICHAEL | Individual | SAYBROOK FUND MANAGERS, LLC | MEMBER AND OWNER | 07/2012 | 50-75% |
| Schotz, Katherine, Wheeler | Individual | – | CHIEF OPERATING OFFICER | 10/2023 | < 5% |