MISTRAL CAPITAL MANAGEMENT, LLC
Adviser information for MISTRAL CAPITAL MANAGEMENT, LLC last updated from Form ADV on March 31st, 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 | 2 |
| 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 | 3 | $40.1M |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $40.1M |
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 | 2 | $37.7M |
| 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 | 1 | $2.4M |
| 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 | 801-74204 |
|---|---|
| SEC ERA File Number | 801-74204 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 160013 |
| Legal Entity Identifier | None |
Principal Office
501 MADISON AVENUE5TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9AM TO 5PM
Tel: 212-616-9600, Fax: 212-616-9618
Websites
Chief Compliance Officer
CHRISTOPHER BRADLEY
MANAGING DIRECTOR
501 MADISON AVENUE
5TH FLOOR
NEW YORK
NY
United States
Tel:
212-616-9625
Fax:
212-616-9618
C*******@****************M
(Full email address available in API data)
Industry Affiliates
| MISTRAL EQUITY GP, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| MISTRAL EQUITY PARTNERS QP, LP | Private Equity Fund | $10.9M | $0.5M | 71 |
| MISTRAL EQUITY PARTNERS, LP | Private Equity Fund | $26.8M | $0.5M | 86 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HEYER, ANDREW, ROBERT | Individual | – | MANAGING MEMBER AND CHIEF EXECUTIVE OFFICER | 09/2007 | > 75% |
| BRADLEY, CHRISTOPHER, NMN | Individual | – | MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER | 01/2021 | < 5% |