PROBABILITIES FUND MANAGEMENT, LLC
Adviser information for PROBABILITIES FUND MANAGEMENT, LLC last updated from Form ADV on March 29th, 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 | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | $18.9M |
| Non-Discretionary | 0 | $0 |
| Total | 15 | $18.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 7 | $337,060 |
| HNW Individuals | <5 | $7.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 2 | $9.1M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $59,204 |
| 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 | <5 | $2.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companies |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-77947 |
|---|---|
| SEC ERA File Number | 801-77947 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 144313 |
| Legal Entity Identifier | None |
Principal Office
10655 MAIN STREET, SUITE 612BELLEVUE
WA
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 800-519-0438, Fax: 888-564-1376
Chief Compliance Officer
SIDNEY HARDEE
PARTNER
10655 MAIN STREET, SUITE 612
BELLEVUE
WA
United States
Tel:
800-519-0438
Fax:
888-564-1376
S******@********************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CHILDREY, JOSEPH, BRIAN | Individual | – | MANAGING MEMBER | 04/2007 | > 75% |
| AUSDAL, ROBERT, BURNS | Individual | – | OWNER | 03/2017 | < 5% |
| SHEPARD, ALLEN, DUDLEY | Individual | – | OWNER | 03/2017 | < 5% |
| Foster, W., Reed | Individual | – | OWNER | 03/2017 | < 5% |
| HARDEE, SIDNEY | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2022 | < 5% |