RESOURCE CAPITAL FUNDS
RCF MANAGEMENT, LLC Legal Name
Adviser information for RESOURCE CAPITAL FUNDS 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 93 |
|---|---|
| Investment Advisory/Research | 51 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 3 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 11 | $2.3B |
| Non-Discretionary | 0 | $0 |
| Total | 11 | $2.3B |
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 | 10 | $2.3B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 1 | $37.8M |
| 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 | 86 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesADVICE RELATED TO DIRECT CO-INVESTMENTS |
|---|---|
| Compensation | % of AUMPerformance-based feesGENERAL PARTNER PROFITS ALLOCATION |
Identifiers
| SEC RIA File Number | 801-73699 |
|---|---|
| SEC ERA File Number | 801-73699 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 161007 |
| Legal Entity Identifier | 549300XIFVTT3M2J4Y11 |
Principal Office
1400 WEWATTA STREETSUITE 850
DENVER
CO
United States
Monday - Friday, 8:00A.M.- 5:00P.M.
Tel: 720-946-1444, Fax: 720-946-1450
Chief Compliance Officer
SUSAN K. KIM
1400 WEWATTA STREET
SUITE 850
DENVER
CO
United States
Tel:
917-714-6138
S***@********M
(Full email address available in API data)
Regulatory Contact
SHARI LAMSTEIN
STAFF COUNSEL
2 JERICHO PLAZA
SUITE 103
JERICHO
NY
United States
Tel:
516-384-5489
S********@********M
(Full email address available in API data)
Industry Affiliates
| RCA OPPORTUNITIES II L.P. | Sponsor, GP, manager of pooled investment vehicles |
| RCA OPPORTUNITIES L.P. | Sponsor, GP, manager of pooled investment vehicles |
| RCF INNOVATION ASSOCIATES II L.P. | Sponsor, GP, manager of pooled investment vehicles |
| RCF INNOVATION ASSOCIATES II-A L.P. | Sponsor, GP, manager of pooled investment vehicles |
| RCF MANAGEMENT (CHILE) SPA | Other investment adviser, including financial planners |
| RCF MANAGEMENT (UK) LTD. | Other investment adviser, including financial planners |
| RESOURCE CAPITAL ASSOCIATES IV L.P. | Sponsor, GP, manager of pooled investment vehicles |
| RESOURCE CAPITAL ASSOCIATES V L.P. | Sponsor, GP, manager of pooled investment vehicles |
| RESOURCE CAPITAL ASSOCIATES VI L.P. | Sponsor, GP, manager of pooled investment vehicles |
| RESOURCE CAPITAL ASSOCIATES VII L.P. | Sponsor, GP, manager of pooled investment vehicles |
| RESOURCE CAPITAL FUNDS (TORONTO) INC | Other investment adviser, including financial planners |
| RESOURCE CAPITAL FUNDS MANAGEMENT PTY LTD | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| RCF JOLIMONT MINING INNOVATION FUND II L.P. | Private Equity Fund | $88.1M | $1.0M | 33 |
| RCF JOLIMONT MINING INNOVATION FUND II-A L.P. | Private Equity Fund | $88.1M | $1.0M | 33 |
| RCF OPPORTUNITIES FUND II L.P. | Private Equity Fund | $8.6M | $1.0M | 5 |
| RCF OPPORTUNITIES FUND L.P. | Private Equity Fund | $90.5M | $1.0M | 24 |
| RCF V ANNEX FUND L.P. | Private Equity Fund | $1.6M | $0.0M | 27 |
| RCF VI TA L.P. | Private Equity Fund | $44.1M | $0.0M | 4 |
| RESOURCE CAPITAL FUND IV L.P. | Private Equity Fund | $37.3M | $10.0M | 75 |
| RESOURCE CAPITAL FUND V L.P. | Private Equity Fund | $46.7M | $10.0M | 137 |
| RESOURCE CAPITAL FUND VI L.P. | Private Equity Fund | $1,089.6M | $10.0M | 180 |
| RESOURCE CAPITAL FUND VII L.P. | Private Equity Fund | $664.1M | $10.0M | 86 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MCCLEMENTS, JAMES, TIMOTHY | Individual | JARRAH, LLC | MANAGING MEMBER | 06/2009 | 25-50% |
| VALENTI, MICHELE, NMN | Individual | – | CHIEF OPERATING OFFICER | 12/2016 | < 5% |
| RCFM-EU HOLDINGS L.P. | Domestic Entity | – | MEMBER | 09/2016 | > 75% |
| RCFM GP L.L.C. | Domestic Entity | – | MANAGING MEMBER | 09/2016 | < 5% |
| MCCLEMENTS, JAMES, TIMOTHY | Individual | – | MANAGING PARTNER | 05/2016 | < 5% |
| MCCLEMENTS, JAMES, TIMOTHY | Individual | RCFM GP L.L.C. | MANAGING MEMBER | 09/2016 | |
| JARRAH, LLC | Domestic Entity | RCFM-EU HOLDINGS L.P. | LIMITED PARTNER | 09/2016 | 25-50% |
| HILLS, MASON, GORDON | Individual | – | GENERAL COUNSEL | 02/2019 | < 5% |
| BECZAK, JOHN, MICHAEL | Individual | – | CHIEF FINANCIAL OFFICER | 01/2021 | < 5% |
| KIM, SUSAN, KRISTEN | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2022 | < 5% |
| BEATTY, BRETT, MICHAEL | Individual | RCFM GP L.L.C. | CAPITAL MEMBER | 01/2023 | > 75% |