BANYAN TREE ASSET MANAGEMENT, LLC
Adviser information for BANYAN TREE ASSET MANAGEMENT, LLC last updated from Form ADV on March 27th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 2 |
| 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 | 94 | $1.1B |
| Non-Discretionary | 0 | $0 |
| Total | 94 | $1.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 47 | $977.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $81.9M |
| 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 | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMPERCENTAGE OF PAR/FACE AMOUNT |
Identifiers
| SEC RIA File Number | 801-78480 |
|---|---|
| SEC ERA File Number | 801-78480 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 168384 |
| Legal Entity Identifier | None |
Principal Office
21250 HAWTHORNE BLVDSUITE 550
TORRANCE
CA
United States
Monday - Friday, 6:00 AM TO 3:00 PM
Tel: 310-477-0111, Fax: 310-477-0188
Websites
Chief Compliance Officer
KENNETH NAEHU
MANAGING DIRECTOR
21250 HAWTHORNE BLVD
SUITE 550
TORRANCE
CA
United States
Tel:
310-477-0111
Fax:
310-477-0188
I***@*****************M
(Full email address available in API data)
Regulatory Contact
YULIA KALK
COMPLIANCE CONSULTANT
125 MAIDEN LANE
SUITE 15C
NEW YORK
NY
United States
Tel:
415-762-2858
Y****@********************M
(Full email address available in API data)
Industry Affiliates
| BANYAN TREE SECURITIES, 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 |
|---|---|---|---|---|---|
| NAEHU, KENNETH, NMN | Individual | – | MANAGING DIRECTOR, ELECTED MANAGER, CHIEF COMPLIANCE OFFICER | 07/2013 | < 5% |
| KENNETH NAEHU & CYNTHIA NAEHU TRUST | Domestic Entity | – | MEMBER | 07/2013 | > 75% |
| NAEHU, KENNETH, NMN | Individual | KENNETH NAEHU AND CYNTHIA NAEHU TRUST | CO-TRUSTEE | 07/2013 | 50-75% |
| NAEHU, CYNTHIA, MAYUMI | Individual | KENNETH NAEHU AND CYNTHIA NAEHU TRUST | CO-TRUSTEE | 07/2013 | 50-75% |
| GOLDBERG, BRIAN, RICHARD | Individual | – | MANAGING DIRECTOR, MEMBER | 09/2013 | 10-25% |
| CHOE, ANNY, HYUN-JUNG | Individual | – | CHIEF OPERATING OFFICER | 01/2020 | < 5% |