SIDUS INVESTMENT MANAGEMENT, LLC
Adviser information for SIDUS INVESTMENT MANAGEMENT, 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 | Delaware, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 5 | $89.1M |
| Non-Discretionary | 0 | $0 |
| Total | 5 | $89.1M |
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 | $89.1M |
| 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 | 5 |
| No. of Non-U.S. Clients | 20 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Principal Office
767 THIRD AVENUE15TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9AM-5PM
Tel: 212-751-6644, Fax: 212-751-6647
Chief Compliance Officer
MARK C. SCHALLES
CHIEF FINANCIAL OFFICER
767 THIRD AVENUE
15TH FLOOR
NEW YORK
NY
United States
Tel:
212-751-6644
Fax:
212-751-6647
M********@*************M
(Full email address available in API data)
Regulatory Contact
MICHAEL BARONE
MANAGING MANAGER
767 THIRD AVENUE
15TH FLOOR
NEW YORK
NY
United States
Tel:
212-751-6644
Fax:
212-751-6647
M******@*************M
(Full email address available in API data)
Industry Affiliates
| SIDUS ADVISORS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SIDUS IV GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| SIDUS DOUBLE ALPHA FUND, L.P. | Hedge Fund | $19.4M | $1.0M | 11 |
| SIDUS DOUBLE ALPHA FUND, LTD. | Hedge Fund | $11.9M | $1.0M | 2 |
| SIDUS INVESTMENT PARTNERS, L.P. | Hedge Fund | $7.0M | $1.0M | 8 |
| SIDUS IV CREDIT OPPORTUNITY FUND, LP | Hedge Fund | $39.6M | $1.0M | 11 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| TOBIA, ALFRED, VICTOR | Individual | – | PASSIVE MEMBER (SIDUS INVESTMENT MANAGEMENT, LLC) | 09/2019 | 50-75% |
| BARONE, MICHAEL, JOSEPH | Individual | – | MANAGING MEMBER (SIDUS INVESTMENT MANAGEMENT, LLC) | 02/2000 | 50-75% |
| MILLNER, STEVEN, CAREY | Individual | – | PASSIVE OWNER (SIDUS IV CAPITAL MANAGEMENT, LLC) | 03/2015 | 10-25% |
| HACKETT, PAUL, CARROLL | Individual | – | MANAGING MEMBER (SIDUS IV CAPITAL MANAGEMENT, LLC) | 04/2009 | 50-75% |
| TOBIA, ALFRED, VICTOR | Individual | – | PASSIVE MEMBER (SIDUS IV CAPITAL MANAGEMENT, LLC) | 09/2019 | 10-25% |
| BARONE, MICHAEL, JOSEPH | Individual | – | MANAGING MEMBER (SIDUS IV CAPITAL MANAGEMENT, LLC) | 04/2009 | 10-25% |
| SCHALLES, MARK, CHARLES | Individual | – | CHIEF COMPLIANCE OFFICER (SIDUS INVESTMENT MANAGEMENT, LLC AND SIDUS IV CAPITAL MANAGEMENT, LLC) | 04/2016 | < 5% |