EMC CAPITAL ADVISORS, LLC
Adviser information for EMC CAPITAL ADVISORS, LLC last updated from Form ADV on March 11th, 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 | Illinois, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 4 |
| 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 | 1 | $457.8M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $457.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $457.8M |
| 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 | 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 investment companies |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
2201 WAUKEGAN ROADSUITE W240
BANNOCKBURN
IL
United States
Monday - Friday, 8:00AM - 4:00PM
Tel: 847-267-8700, Fax: None
Websites
Chief Compliance Officer
ROBIN GERTH
DIR OF OPERATIONS
2201 WAUKEGAN ROAD
SUITE W240
BANNOCKBURN
IL
United States
Tel:
847-267-8700
R****@*********M
(Full email address available in API data)
Regulatory Contact
JOHN KRAUTSACK
PRESIDENT
2201 WAUKEGAN ROAD
SUITE W240
BANNOCKBURN
IL
United States
Tel:
847-267-8700
K****@*********M
(Full email address available in API data)
Industry Affiliates
| DEARBORN CAPITAL MANAGEMENT, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KRAUTSACK, JOHN, CHARLES | Individual | – | PRESIDENT | 10/2013 | 50-75% |
| EMC CAPITAL MANAGEMENT, INC. | Domestic Entity | – | MEMBER | 10/2013 | 50-75% |
| KAVANAGH, DAVID, MICHAEL | Individual | – | SECRETARY | 10/2013 | 25-50% |
| GERTH, ROBIN, ANN | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2013 | < 5% |
| KNOLLWOOD INVESTMENT ADVISORS LLC | Domestic Entity | – | MEMBER | 10/2013 | 25-50% |
| SMBC VENTURES, LLC | Domestic Entity | – | MEMBER | 10/2013 | < 5% |
| AL-RAYES, ABDULLAH, M.A | Individual | CENTUM PRATA HOLDING AG | SHAREHOLDER | 12/2003 | > 75% |
| CENTUM PRATA HOLDING AG | Foreign Entity | KIA HOLDINGS INC | SHAREHOLDER | 05/2012 | > 75% |
| JOHN KRAUTSACK TRUST UA 01/23/2007 | Domestic Entity | EMC CAPITAL MANAGEMENT, INC. | SHAREHOLDER | 09/2013 | > 75% |
| KRAUTSACK, JOHN, CHARLES | Individual | JOHN KRAUTSACK TRUST UA 01/23/2007 | TRUSTEE | 01/2007 | > 75% |
| KIA HOLDINGS, INC. | Domestic Entity | KNOLLWOOD INVESTMENT ADVISORS, LLC | MEMBER | 03/2012 | 25-50% |
| MEEHAN, PATRICK, JOSEPH | Individual | SMBC VENTURES, LLC | MANAGING MEMBER | 04/2009 | |
| KAVANAGH, DAVID, MICHAEL | Individual | DEARBORN CAPITAL MANAGEMENT, LTD | SHAREHOLDER | 07/1988 | > 75% |
| DEARBORN CAPITAL MANAGEMENT, LTD | Domestic Entity | KNOLLWOOD INVESTMENT ADVISORS, LLC | MANAGING MEMBER | 12/2010 | 50-75% |
| PROCTOR, BRIAN, DOUGLAS | Individual | – | MANAGING DIRECTOR | 10/2013 | < 5% |
| POLLI, DAVID, F | Individual | – | MANAGING DIRECTOR | 10/2013 | < 5% |