EMERGENT CAPITAL ADVISORS, LLC
Adviser information for EMERGENT CAPITAL ADVISORS, LLC last updated from Form ADV on March 28th, 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 | Texas, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1 | $102.9M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $102.9M |
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 | 1 | $102.9M |
| 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 vehiclesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
520 POST OAK BOULEVARDSUITE 457
HOUSTON
TX
United States
Monday - Friday, 8:00 AM - 5:00 PM (CT)
Tel: (713) 965-0371, Fax: (713) 583-2475
Websites
Chief Compliance Officer
SEAN M. NIMMO
MANAGING DIRECTOR
520 POST OAK BOULEVARD
SUITE 457
HOUSTON
TX
United States
Tel:
(713) 622-5790
Fax:
(713) 583-2475
S**@********M
(Full email address available in API data)
Regulatory Contact
IQ-EQ U.S.
COMPLIANCE CONSULTANT
2777 NORTH STEMMONS FREEWAY
SUITE 1425
DALLAS
TX
United States
Tel:
(469) 802-8981
E******************@*******M
(Full email address available in API data)
Industry Affiliates
| ECA FUND GP II, LLC | Sponsor, GP, manager of pooled investment vehicles |
| ECA FUND GP, LP | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ECA FUND, LP | Hedge Fund | $102.9M | $0.5M | 47 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KNAPP, ALFRED, JOHN | Individual | – | MANAGING MEMBER | 12/2010 | 25-50% |
| NIMMO, SEAN, MICHAEL | Individual | – | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | 12/2010 | < 5% |
| ECA STRATEGIC PARTNERS, LLC | Domestic Entity | – | MEMBER | 12/2011 | 50-75% |
| KNAPP CHILDREN'S TRUST | Domestic Entity | – | MEMBER | 12/2011 | 10-25% |
| KNAPP, ALFRED, JOHN | Individual | KNAPP CHILDREN'S TRUST | TRUSTEE | 12/2011 | |
| KNAPP, CHRISTOPHER, LYKES | Individual | KNAPP CHILDREN'S TRUST | TRUSTEE | 12/2011 | |
| NIMMO, SEAN, MICHAEL | Individual | ECA STRATEGIC PARTNERS, LLC | MANAGING MEMBER | 08/2013 | |
| SPRAGUE, JOHN, ABBOTT | Individual | ECA STRATEGIC PARTNERS, LLC | MANAGING MEMBER | 12/2011 |