S GOLDMAN ASSET MANAGEMENT LLC
AURORA CAPITAL MANAGEMENT LLC Legal Name
Adviser information for S GOLDMAN ASSET MANAGEMENT LLC last updated from Form ADV on March 28th, 2023. 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 | 3 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 2 |
| 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 | 2 | $27.2M |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $27.2M |
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 | 0 | $0 |
| 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 | <5 | $5.4M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $21.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-74106 |
|---|---|
| SEC ERA File Number | 801-74106 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 161746 |
| Legal Entity Identifier | None |
Principal Office
599 LEXINGTON AVENUE35TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 8:00 AM TO 6:00 PM
Tel: 212-404-5732, Fax: 212-404-5745
Chief Compliance Officer
GERALD JAEGER
CHIEF FINANCIAL OFFICER
599 LEXINGTON AVENUE
35TH FLOOR
NEW YORK
NY
United States
Tel:
212-404-5732
Fax:
212-404-5745
G***********@************M
(Full email address available in API data)
Regulatory Contact
SHELDON GOLDMAN
CHIEF INVESTMENT OFFICER
599 LEXINGTON AVENUE
35TH FLOOR
NEW YORK
NY
United States
Tel:
212-404-5740
Fax:
212-404-5745
S**************@************M
(Full email address available in API data)
Industry Affiliates
| ARMONIA INSURANCE COMPANY, INC. | Insurance company or agency |
| S. GOLDMAN ADVISORS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GOLDMAN, SHELDON, MYLES | Individual | – | CHIEF INVESTMENT OFFICER | 01/2010 | < 5% |
| JAEGER, GERALD, WAYNE | Individual | – | CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER | 01/2010 | < 5% |
| THE GOLDMAN GROUP LLC | Domestic Entity | – | OWNER | 04/2013 | > 75% |
| GOLDMAN, SHELDON, MYLES | Individual | THE GOLDMAN GROUP LLC | SOLE MEMBER | 04/2013 | > 75% |