SEAF
SMALL ENTERPRISE ASSISTANCE FUNDS Legal Name
Adviser information for SEAF last updated from Form ADV on June 24th, 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 | Other (specify) |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 48 |
|---|---|
| Investment Advisory/Research | 43 |
| 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 | 15 | $120.0M |
| Non-Discretionary | 0 | $0 |
| Total | 15 | $120.0M |
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 | 15 | $120.0M |
| 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 | 67 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | BUSINESS DEVELOPMENT TRAINING AND PEER-TO-PEER LEA |
Identifiers
| SEC RIA File Number | 801-74158 |
|---|---|
| SEC ERA File Number | 801-74158 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 161539 |
| Legal Entity Identifier | None |
Principal Office
1500 K STREET NWSUITE 375
WASHINGTON
DC
United States
Monday - Friday, 9AM TO 5PM
Tel: 202-450-1630, Fax: None
Chief Compliance Officer
PAUL SHEEHAN
CHIEF EXECUTIVE OFFICER
1500 K STREET NW, SUITE 375
WASHINGTON
DC
United States
Tel:
202-450-1630
P*******@*******M
(Full email address available in API data)
Regulatory Contact
ROBERT VODICKA
TREASURER
1500 K STREET NW, SUITE 375
WASHINGTON
DC
United States
Tel:
630-514-1081
R*******@*******M
(Full email address available in API data)
Industry Affiliates
| SEAF ADVISORY SERVICES BV | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| FONDO DE CAPITAL PRIVADO AGROEMPRESAS COLOMBIA DE SEAF | Private Equity Fund | $2.8M | $0.0M | 6 |
| SEAF BANGLADESH VENTURES LLC | Private Equity Fund | $10.3M | $0.0M | 3 |
| SEAF BANGLADESH VENTURES LTD. | Private Equity Fund | $4.0M | $0.0M | 2 |
| SEAF CARIBBEAN SME GROWTH INVESTMENTS LTD. | Private Equity Fund | $36.5M | $0.0M | 7 |
| SEAF CARIBBEAN SME INTERNATIONAL LP | Private Equity Fund | $22.1M | $0.0M | 3 |
| SEAF CAUCASUS GROWTH FUND COOP | Private Equity Fund | $0.0M | $0.0M | 6 |
| SEAF CAUCASUS GROWTH FUND CV | Private Equity Fund | $0.0M | $0.0M | 6 |
| SEAF CAUCASUS GROWTH FUND L.P. | Private Equity Fund | $20.3M | $0.0M | 6 |
| SEAF COLOMBIA AGRIBUSINESS FUND LLC | Private Equity Fund | $2.8M | $0.0M | 4 |
| SEAF MACEDONIA II FUND LP | Private Equity Fund | $0.4M | $0.0M | 1 |
| SEAF SERBIA IMPACT FUND BV | Private Equity Fund | $2.0M | $0.0M | 2 |
| SEAF SICHUAN SME INVESTMENT FUND LLC | Private Equity Fund | $0.0M | $0.0M | 1 |
| SEAF SINGLE VINTAGE FLEX FUND LP | Private Equity Fund | $1.3M | $0.0M | 5 |
| SEAF SOUTH BALKAN FUND B.V. | Private Equity Fund | $2.2M | $0.0M | 5 |
| WISE VENTURE CAPITAL SARL | Private Equity Fund | $18.0M | $0.0M | 5 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| VAN DER VAART, HUBERTUS, JAN | Individual | – | DIRECTOR | 01/1995 | < 5% |
| SMALL ENTERPRISE ASSISTANCE FUNDS | Domestic Entity | – | OWNER (SEE SCHEDULE R FOR LIMITED EXCEPTIONS TO RELYING ADVISERS) | 02/1989 | > 75% |
| PASTERNAK, ARTHUR, DAVID | Individual | – | N/A | 08/2016 | < 5% |
| HAMID, JAVED | Individual | – | DIRECTOR, CHAIRMAN | 11/2015 | < 5% |
| MARCELIS, ALPHONSUS | Individual | – | DIRECTOR | 06/2020 | < 5% |
| SADAAT, YASMIN | Individual | – | DIRECTOR | 01/2020 | < 5% |
| CASTANEDA, OSCAR, ROLANDO | Individual | – | DIRECTOR | 06/2021 | < 5% |
| WYER, TERRY, E | Individual | – | DIRECTOR | 06/2021 | < 5% |
| PHILLPOTTS, CHRISTINE | Individual | – | DIRECTOR | 01/2021 | < 5% |
| SHEEHAN, PAUL | Individual | – | DIRECTOR, CEO, CHIEF COMPLIANCE OFFICER | 03/2022 | < 5% |
| MONACO, THOMAS, JOHN | Individual | – | DIRECTOR, PRESIDENT | 03/2022 | < 5% |