PARALLEL49 EQUITY
PARALLEL49 EQUITY, ULC Legal Name
Adviser information for PARALLEL49 EQUITY last updated from Form ADV on February 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 | Corporation |
|---|---|
| Fiscal Year End | NOVEMBER |
| Legal Location | Canada |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 5 |
| 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 | 4 | $310.9M |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $310.9M |
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 | 4 | $310.9M |
| 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 | 50 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-74029 |
|---|---|
| SEC ERA File Number | 801-74029 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 160077 |
| Legal Entity Identifier | None |
Principal Office
225 EAST DEERPATH ROAD, SUITE 200LAKE FOREST
IL
United States
Monday - Friday, 8:30 AM - 5:00 PM CST
Tel: 847-295-4410, Fax: 847-295-4243
Chief Compliance Officer
JOHN L. WESTERMAN
MANAGING DIRECTOR
225 EAST DEERPATH ROAD, SUITE 200
LAKE FOREST
IL
United States
Tel:
(847) 295-4402
Fax:
(847) 295-4243
J*********@************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| PARALLEL49 EQUITY (FUND V) BC, LIMITED PARTNERSHIP | Private Equity Fund | $41.5M | $2.0M | 8 |
| PARALLEL49 EQUITY (FUND V), LIMITED PARTNERSHIP | Private Equity Fund | $139.3M | $2.0M | 11 |
| TRICOR PACIFIC CAPITAL PARTNERS (FUND IV) US, LIMITED PARTNERSHIP | Private Equity Fund | $48.3M | $10.0M | 8 |
| TRICOR PACIFIC CAPITAL PARTNERS (FUND IV), LIMITED PARTNERSHIP | Private Equity Fund | $81.8M | $10.0M | 11 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SENFT, RODERICK, RILEY | Individual | – | INVESTMENT COMMITTEE MEMBER/DIRECTOR | 03/2006 | < 5% |
| JOHNSTONE, JAMES, TREVOR | Individual | – | INVESTMENT COMMITTEE MEMBER/DIRECTOR | 03/2006 | < 5% |
| SEAMAN, BRADLEY, SCOTT | Individual | – | MANAGING PARTNER/DIRECTOR | 01/2012 | < 5% |
| WESTERMAN, JOHN, L. | Individual | – | MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER | 12/2011 | < 5% |
| BLACK TUSK CAPITAL, INC. | Foreign Entity | TPCP CND (FUND IV), INC. | SHAREHOLDER | 06/2006 | 25-50% |
| SEAMAN, BRADLEY, SCOTT | Individual | TPCP USA (FUND IV), INC. | SHAREHOLDER | 07/2006 | > 75% |
| SENFT, RODERICK, RILEY | Individual | BLACK TUSK CAPITAL, INC. | SHAREHOLDER | 06/2006 | > 75% |
| PETERS, NICHOLAS, ANDREW | Individual | – | MANAGING DIRECTOR/CHIEF FINANCIAL OFFICER | 12/2011 | < 5% |
| DAUM, SCOTT, ANTHONY | Individual | – | MANAGING DIRECTOR | 12/2011 | < 5% |
| ROWNTREE, DAVID, JAMES | Individual | – | DIRECTOR | 03/2006 | < 5% |
| PARALLEL49 HOLDINGS, ULC | Foreign Entity | – | SHAREHOLDER | 03/2006 | > 75% |
| TPCP CND (FUND IV), INC. | Foreign Entity | PARALLEL49 HOLDINGS, ULC | SHAREHOLDER | 03/2017 | > 75% |
| TPCP USA (FUND IV), INC. | Domestic Entity | PARALLEL49 HOLDINGS, ULC | SHAREHOLDER | 03/2017 | 25-50% |