RFE MANAGEMENT CORPORATION
Adviser information for RFE MANAGEMENT CORPORATION 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 16 |
|---|---|
| Investment Advisory/Research | 13 |
| 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 | 6 | $761.5M |
| Non-Discretionary | 0 | $0 |
| Total | 6 | $761.5M |
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 | 6 | $761.5M |
| 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 | 801-73601 |
|---|---|
| SEC ERA File Number | 801-73601 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 160360 |
| Legal Entity Identifier | None |
Principal Office
10 WRIGHT STREETWESTPORT
CT
United States
Monday - Friday, 8:30 A.M. TO 5:00 P.M.
Tel: 203-966-2800, Fax: None
Chief Compliance Officer
MICHAEL J. FOSTER
VICE PRESIDENT & SECRETARY; MANAGING DIRECTOR
10 WRIGHT STREET
WESTPORT
CT
United States
Tel:
203-966-2800
M******@********M
(Full email address available in API data)
Regulatory Contact
DONALD A. JURICIC
VICE PRESIDENT & TREASURER; MANAGING DIRECTOR & CHIEF FINANCIAL OFFICER
10 WRIGHT STREET
WESTPORT
CT
United States
Tel:
203-966-2800
D*******@********M
(Full email address available in API data)
Industry Affiliates
| RFE ASSOCIATES IX PARALLEL, LLC | Sponsor, GP, manager of pooled investment vehicles |
| RFE ASSOCIATES IX, LLC | Sponsor, GP, manager of pooled investment vehicles |
| RFE ASSOCIATES VII, LLC | Sponsor, GP, manager of pooled investment vehicles |
| RFE ASSOCIATES VIII, LLC | Sponsor, GP, manager of pooled investment vehicles |
| RFE TBP SPV GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| RFE INVESTMENT PARTNERS IX, L.P. | Private Equity Fund | $295.6M | $5.0M | 58 |
| RFE INVESTMENT PARTNERS VII, L.P. | Private Equity Fund | $54.5M | $5.0M | 38 |
| RFE INVESTMENT PARTNERS VIII, L.P. | Private Equity Fund | $251.1M | $5.0M | 44 |
| RFE IX PARALLEL, L.P. | Private Equity Fund | $37.4M | $5.0M | 6 |
| RFE TBP SPV, LP | Private Equity Fund | $122.8M | $5.0M | 12 |
| RFE VIII-A, L.P. | Private Equity Fund | $38.9M | $5.0M | 3 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FOSTER, MICHAEL, JEFFREY | Individual | – | RFE MGT. CORP. - MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, VP & SECRETARY, COMMON STOCK SHAREHOLDER, BOARD MEMBER | 05/1991 | 10-25% |
| JURICIC, DONALD, ALBIN | Individual | – | RFE MGT. CORP. - MANAGING DIRECTOR & CHIEF FINANCIAL OFFICER, VICE PRESIDENT & TREASURER, COMMON STOCK SHAREHOLDER | 10/2000 | < 5% |
| PARSONS, JAMES, ANGELL | Individual | – | RFE MGT. CORP. - MANAGING DIRECTOR, PRESIDENT, COMMON STOCK SHAREHOLDER, BOARD MEMBER | 05/1991 | 10-25% |
| REITER, RICHARD, PETER | Individual | – | RFE MGT. CORP. - MANAGING DIRECTOR, BUSINESS DEVELOPMENT, VICE PRESIDENT, COMMON STOCK SHAREHOLDER | 10/2004 | 10-25% |
| RUBEL, MICHAEL, WILLIAM | Individual | – | RFE MGT. CORP. - MANAGING DIRECTOR, COMMON STOCK SHAREHOLDER, BOARD MEMBER | 01/2016 | 10-25% |
| SCHILPP, PAUL, RONALD | Individual | – | RFE MGT. CORP. - MANAGING DIRECTOR, COMMON STOCK SHAREHOLDER, BOARD MEMBER | 01/2016 | 10-25% |