GROUND SWELL CAPITAL, LLC
Adviser information for GROUND SWELL CAPITAL, LLC last updated from Form ADV on March 11th, 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 | South Carolina, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| 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 | $1.5B |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $1.5B |
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 | $1.5B |
| 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 | Performance-based feesEXPENSE REIMBURSEMENT |
Principal Office
105 WEST HURON AVENUEFOLLY BEACH
SC
United States
Monday - Friday, 8AM TO 5PM
Tel: 843-588-5169, Fax: 843-410-5696
Chief Compliance Officer
JOEY FOXHALL
GENERAL COUNSEL
105 WEST HURON AVENUE
SUITE 205
FOLLY BEACH
SC
United States
Tel:
843-588-5169
Fax:
843-410-5696
J***@*****************M
(Full email address available in API data)
Regulatory Contact
SCOTT HOWELL
CHIEF OPERATIONS OFFICER
105 WEST HURON AVENUE
SUITE 205
FOLLY BEACH
SC
United States
Tel:
843-588-5169
Fax:
843-410-5696
S****@*****************M
(Full email address available in API data)
Industry Affiliates
| GROUND SWELL CISTERN FUND GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| GS CAPITAL PARTNERS AU PTY LTD | Other investment adviser, including financial planners |
| GS CAPITAL PARTNERS UK LLP | Other investment adviser, including financial planners |
| GSC EUROPE LIMITED | Sponsor or syndicator of limited partnerships |
| GSC GLOBAL LIMITED | Sponsor or syndicator of limited partnerships |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| GROUND SWELL CISTERN FUND, LP | Hedge Fund | $1,456.9M | $1.0M | 14 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FOXHALL, JOEY, HOWARD | Individual | – | MEMBER, CHIEF COMPLIANCE OFFICER | 06/2010 | 10-25% |
| HOWELL, SCOTT, SCHUMACHER | Individual | – | MEMEBER | 06/2010 | 10-25% |
| COONEY, KELLEN, LEE | Individual | – | MEMBER | 06/2010 | 10-25% |
| HOWELL, JOHN, TRAVIS | Individual | – | MEMBER | 06/2010 | 10-25% |
| STREET, BENJAMIN, CLIFFORD | Individual | – | MEMBER | 08/2011 | 5-10% |
| KLUMP, BRIAN | Individual | – | LEAD DEVELOPER | 09/2010 | 5-10% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 7th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ACLARION INC | COM NEW | 4K | 13K | – |
| ADICET BIO INC | COM | 17K | 14K | – |
| AGM GROUP HOLDINGS INC | SHS CL A | 6K | 11K | – |
| ALIGN TECHNOLOGY INC | COM | 276K | 1K | – |
| AMARIN CORP PLC | SPONS ADR NEW | 11K | 16K | – |
| AMERICAN ELEC PWR CO INC | COM | 505K | 6K | – |
| AMERICAN WELL CORP | CL A | 4K | 11K | – |
| AMERIPRISE FINL INC | COM | 223K | 523 | – |
| ANALOG DEVICES INC | COM | 347K | 2K | – |
| ANNALY CAPITAL MANAGEMENT IN | COM NEW | 206K | 11K | – |
| APPLE INC | COM | 666K | 3K | – |
| APPLIED DNA SCIENCES INC | COM NEW | 6K | 15K | – |
| APPLIED MATLS INC | COM | 459K | 2K | – |
| ARB IOT GROUP LTD | ORD SHS | 16K | 29K | – |
| ARBE ROBOTICS LTD | ORDINARY SHARES | 34K | 18K | – |
| ARGO BLOCKCHAIN PLC | ADS | 24K | 21K | – |
| ARHAUS INC | COM CL A | 183K | 11K | – |
| ASTERA LABS INC | COM | 524K | 9K | – |
| ATA CREATIVITY GLOBAL | SPONSORED ADS | 13K | 16K | – |
| ATOSSA THERAPEUTICS INC | COM | 17K | 14K | – |
| AURORA INNOVATION INC | CLASS A COM | 112K | 40K | – |
| AVINO SILVER & GOLD MINES LT | COM | 16K | 17K | – |
| AXON ENTERPRISE INC | COM | 728K | 2K | – |
| BABCOCK & WILCOX ENTERPRISES | COM | 17K | 12K | – |
| BENSON HILL INC | COMMON STOCK | 2K | 12K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 241K | 593 | – |
| BIG LOTS INC | COM | 26K | 15K | – |
| BIOAFFINITY TECHNOLOGIES INC | COMMON STOCK | 49K | 23K | – |
| BIOATLA INC | COM | 33K | 24K | – |
| BIODEXA PHARMACEUTICALS PLC | SPON ADS NEW | 12K | 13K | – |
| BIOXCEL THERAPEUTICS INC | COM | 14K | 11K | – |
| BLUE RIDGE BANKSHARES INC VA | COM | 36K | 14K | – |
| BURLINGTON STORES INC | COM | 221K | 921 | – |
| BUTTERFLY NETWORK INC | COM CL A | 14K | 17K | – |
| CAMDEN PPTY TR | SH BEN INT | 305K | 3K | – |
| CARDIFF ONCOLOGY INC | COM | 38K | 17K | – |
| CHEVRON CORP NEW | COM | 200K | 1K | – |
| CHIPOTLE MEXICAN GRILL INC | COM | 940K | 15K | – |
| CHUBB LIMITED | COM | 277K | 1K | – |
| COGENT COMMUNICATIONS HLDGS | COM NEW | 241K | 4K | – |
| COMPASS INC | CL A | 44K | 12K | – |
| COMPASS THERAPEUTICS INC | COM | 124K | 124K | – |
| COPART INC | COM | 479K | 9K | – |
| COSTAR GROUP INC | COM | 268K | 4K | – |
| COSTCO WHSL CORP NEW | COM | 2M | 2K | – |
| CROWDSTRIKE HLDGS INC | CL A | 1M | 3K | – |
| CUE BIOPHARMA INC | COM | 23K | 18K | – |
| CUTERA INC | COM | 37K | 25K | – |
| DANIMER SCIENTIFIC INC | COM CL A | 7K | 11K | – |
| DIAMONDBACK ENERGY INC | COM | 342K | 2K | – |
| DICKS SPORTING GOODS INC | COM | 338K | 2K | – |
| DIREXION SHS ETF TR | DLY FTS BUL 3X | 392K | 16K | – |
| DIREXION SHS ETF TR | DAILY SEMICONDUC | 483K | 21K | – |
| DRAGONFLY ENERGY HOLDINGS CO | COM | 13K | 15K | – |
| DURECT CORP | COM NEW | 18K | 14K | – |
| EOS ENERGY ENTERPRISES INC | COM CL A | 34K | 27K | – |
| ESS TECH INC | COMMON STOCK | 9K | 11K | – |
| EURONET WORLDWIDE INC | COM | 260K | 3K | – |
| EXACT SCIENCES CORP | COM | 220K | 5K | – |
| EYENOVIA INC | COM | 27K | 45K | – |
| FINANCE OF AMERICA COMPAN | COM CL A | 5K | 11K | – |
| FINGERMOTION INC | COM | 35K | 14K | – |
| FREIGHTOS LTD | ORD SHS | 24K | 10K | – |
| GE HEALTHCARE TECHNOLOGIES I | COMMON STOCK | 940K | 12K | – |
| GENELUX CORPORATION | COM | 21K | 11K | – |
| GLATFELTER CORPORATION | COM | 38K | 27K | – |
| GRANITESHARES ETF TR | 2X SHORT NVDA DA | 48K | 22K | – |
| GRYPHON DIGITAL MNG INC | COM | 22K | 18K | – |
| GUARDANT HEALTH INC | COM | 270K | 9K | – |
| GUIDEWIRE SOFTWARE INC | COM | 268K | 2K | – |
| HASBRO INC | COM | 251K | 4K | – |
| HOOKIPA PHARMA INC | COM | 7K | 12K | – |
| HYCROFT MINING HOLDING CORP | *W EXP 05/29/202 | 2K | 105K | – |
| ICON PLC | SHS | 2M | 5K | – |
| IMMUNEERING CORP | CLASS A COM | 15K | 12K | – |
| INNOVATE CORP | COM | 6K | 10K | – |
| INNOVIZ TECHNOLOGIES LTD | SHS | 26K | 29K | – |
| INSULET CORP | COM | 271K | 1K | – |
| INTERNATIONAL TOWER HILL MIN | COM | 6K | 12K | – |
| INTEST CORP | COM | 112K | 11K | – |
| INTUIT | COM | 599K | 911 | – |
| ISHARES TR | GLOB HLTHCRE ETF | 299K | 3K | – |
| ISHARES TR | 20 YR TR BD ETF | 21M | 224K | – |
| ISHARES TR | RUS MD CP GR ETF | 225K | 2K | – |
| ISHARES TR | RUS 1000 GRW ETF | 1M | 3K | – |
| ISHARES TR | RUS 1000 ETF | 2M | 5K | – |
| ISHARES TR | RUSSELL 2000 ETF | 25M | 123K | – |
| ISHARES TR | RUSSELL 3000 ETF | 1M | 4K | – |
| ISHARES TR | 10+ YR INVST GRD | 245K | 5K | – |
| ISHARES TR | 20 YR TR BD ETF | 23M | 250K | – |
| KNIGHTSCOPE INC | CLASS A COM | 4K | 14K | – |
| KRANESHARES TRUST | CSI CHI INTERNET | 405K | 15K | – |
| LEAFLY HOLDINGS INC | COM NEW | 21K | 10K | – |
| LI-CYCLE HOLDINGS CORP | COM NEW | 89K | 14K | – |
| LIBERTY LATIN AMERICA LTD | COM CL A | 122K | 13K | – |
| LIBERTY MEDIA CORP DEL | COM LBTY ONE S C | 542K | 8K | – |
| LIBERTY MEDIA CORP DEL | COM LBTY SRM S A | 485K | 22K | – |
| LOOP MEDIA INC | COM NEW | 4K | 42K | – |
| LULULEMON ATHLETICA INC | COM | 576K | 2K | – |
| LUMINAR TECHNOLOGIES INC | COM CL A | 20K | 14K | – |
| MACOM TECH SOLUTIONS HLDGS I | COM | 225K | 2K | – |
| MAIA BIOTECHNOLOGY INC | COM | 56K | 16K | – |
| MANHATTAN ASSOCIATES INC | COM | 549K | 2K | – |
| MAPLEBEAR INC | COM | 617K | 19K | – |
| MARINUS PHARMACEUTICALS INC | COM NEW | 23K | 19K | – |
| MARRIOTT INTL INC NEW | CL A | 965K | 4K | – |
| MAXEON SOLAR TECHNOLOGIES LT | SHS | 15K | 18K | – |
| MERCK & CO INC | COM | 257K | 2K | – |
| METTLER TOLEDO INTERNATIONAL | COM | 288K | 206 | – |
| MIRUM PHARMACEUTICALS INC | COM | 369K | 11K | – |
| MONDELEZ INTL INC | CL A | 339K | 5K | – |
| MULTIMETAVERSE HOLDINGS LTD | *W EXP 01/04/202 | 4K | 146K | – |
| MULTIPLAN CORPORATION | COM | 6K | 14K | – |
| NEWEGG COMMERCE INC | COMMON SHARES | 10K | 11K | – |
| NEWPARK RES INC | COM PAR $.01NEW | 91K | 11K | – |
| NEWS CORP NEW | CL B | 278K | 10K | – |
| NEXTDOOR HOLDINGS INC | COM CL A | 30K | 11K | – |
| NORDSON CORP | COM | 240K | 1K | – |
| NOVAGOLD RES INC | COM NEW | 124K | 36K | – |
| OLD DOMINION FREIGHT LINE IN | COM | 326K | 2K | – |
| OMEGA THERAPEUTICS INC | COMMON STOCK | 40K | 19K | – |
| OUTSET MED INC | COM | 49K | 13K | – |
| PAYLOCITY HLDG CORP | COM | 464K | 4K | – |
| PDS BIOTECHNOLOGY CORP | COM | 67K | 23K | – |
| PEPSICO INC | COM | 1M | 7K | – |
| PINEAPPLE ENERGY INC | COM NEW | 47K | 35K | – |
| PRINCIPAL FINANCIAL GROUP IN | COM | 333K | 4K | – |
| PROTALIX BIOTHERAPEUTICS INC | COM | 73K | 62K | – |
| PTC INC | COM | 913K | 5K | – |
| QUANTUMSCAPE CORP | COM CL A | 95K | 19K | – |
| RELIANCE INC | COM | 208K | 727 | – |
| RICHTECH ROBOTICS INC | CL B | 15K | 12K | – |
| RIGEL PHARMACEUTICALS INC | COM | 141K | 17K | – |
| RIGETTI COMPUTING INC | COMMON STOCK | 11K | 10K | – |
| ROSS STORES INC | COM | 413K | 3K | – |
| SAGIMET BIOSCIENCES INC | COM SER A | 78K | 23K | – |
| SATELLOGIC INC | CLASS A ORD SHS | 26K | 25K | – |
| SEER INC | COM CL A | 21K | 12K | – |
| SES AI CORPORATION | CL A COM | 24K | 19K | – |
| SM ENERGY CO | COM | 221K | 5K | – |
| SOLID BIOSCIENCES INC | COM NEW | 76K | 13K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 18M | 33K | – |
| SPDR SER TR | PORTFOLIO SHORT | 334K | 11K | – |
| SPDR SER TR | S&P OILGAS EXP | 934K | 6K | – |
| STANDARD BIOTOOLS INC | COM | 21K | 12K | – |
| TANDEM DIABETES CARE INC | COM NEW | 391K | 10K | – |
| TELA BIO INC | COM | 53K | 11K | – |
| TELLURIAN INC NEW | COM | 106K | 154K | – |
| TERADYNE INC | COM | 436K | 3K | – |
| TESLA INC | COM | 2M | 10K | – |
| TEXAS INSTRS INC | COM | 289K | 1K | – |
| THE TRADE DESK INC | COM CL A | 423K | 4K | – |
| TRAWS PHARMA INC | COM NEW | 6K | 14K | – |
| TRINSEO PLC | SHS | 29K | 12K | – |
| TRX GOLD CORPORATION | COM | 9K | 24K | – |
| UNDER ARMOUR INC | CL A | 113K | 17K | – |
| VANGUARD INDEX FDS | MCAP VL IDXVIP | 390K | 3K | – |
| VANGUARD WHITEHALL FDS | HIGH DIV YLD | 266K | 2K | – |
| VEEVA SYS INC | CL A COM | 201K | 1K | – |
| VERISIGN INC | COM | 421K | 2K | – |
| VERISK ANALYTICS INC | COM | 608K | 2K | – |
| VERITONE INC | COM | 43K | 19K | – |
| VICTORY CAP HLDGS INC | COM CL A | 323K | 7K | – |
| VIPER ENERGY INC | CL A | 470K | 13K | – |
| VISTA GOLD CORP | COM NEW | 7K | 15K | – |
| VIVAKOR INC | COM NEW | 27K | 14K | – |
| VIVANI MEDICAL INC | COMMON STOCK | 16K | 13K | – |
| VOLITIONRX LTD | COM | 16K | 26K | – |
| VOR BIOPHARMA INC | COM | 21K | 21K | – |
| WORKDAY INC | CL A | 721K | 3K | – |
| XCEL ENERGY INC | COM | 311K | 6K | – |
| ZEVIA PBC | CL A | 7K | 11K | – |
| ZOMEDICA CORP | COM | 6K | 42K | – |