ELIZABETH PARK CAPITAL MANAGEMENT, LTD

ELIZABETH PARK CAPITAL ADVISORS, LTD Legal Name

Adviser information for ELIZABETH PARK CAPITAL MANAGEMENT, LTD last updated from Form ADV on March 29th, 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 Ohio, United States

Employees

Total Number of Employees 10
Investment Advisory/Research 10
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 9 $341.3M
Non-Discretionary 0 $0
Total 9 $341.3M

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 7 $341.3M
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 29

Services

Advisory Services Portfolio management for pooled investment vehicles
Compensation % of AUMPerformance-based fees
Other Business Activities Commodity pool operator or commodity trading advisor

Identifiers

SEC RIA File Number 801-79370
SEC ERA File Number 801-79370
SEC CIK Numbers 1600583
SEC CRD Numbers 158416
Legal Entity Identifier None

Principal Office

30100 CHAGRIN BLVD.
SUITE 250
PEPPER PIKE
OH
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: (216) 292-5711, Fax: (216) 206-4448

Chief Compliance Officer

ERNEST C. PELAIA
CHIEF OPERATING OFFICER
30100 CHAGRIN BLVD.
SUITE 250
PEPPER PIKE
OH
United States
Tel: (216) 292-5711
Fax: (216) 206-4448
(Full email address available in API data)

Regulatory Contact

FRED CUMMINGS
PRESIDENT
30100 CHAGRIN BLVD.
SUITE 250
PEPPER PIKE
OH
United States
Tel: (216) 292-5755
Fax: (216) 206-4448
(Full email address available in API data)

Industry Affiliates

BTECH CONSORTIUM GP I, LLC Sponsor, GP, manager of pooled investment vehicles
ELIZABETH PARK CAPITAL MANAGEMENT, LTD. Sponsor, GP, manager of pooled investment vehicles
MDBF GP, LLC Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
ELIZABETH PARK CAPITAL MASTER FUND, LTD Hedge Fund $65.1M $0.3M 57
ELIZABETH PARK EVENT DRIVEN MASTER FUND, LTD. Hedge Fund $109.2M $0.3M 47
ELIZABETH PARK INVESTMENT FUND, LP Hedge Fund $34.6M $0.0M 1
MISSION DRIVEN FINANCIAL INSTITUTIONS FUND, LP Private Equity Fund $111.3M $5.0M 9

Control Persons

Name Type Entity Title Since Ownership
BARSKY, NEIL, STEVEN Individual EQUITY HOLDER 09/2008 10-25%
CUMMINGS, FRED, ANTHONY Individual PRESIDENT 02/2008 > 75%
PELAIA, ERNEST, CHARLES Individual CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER 03/2013 < 5%

No. Employees, Historic

10502020202120222023202420258 on 3/29/20207 on 3/31/20217 on 3/31/20229 on 3/31/20239 on 2/8/202410 on 3/29/2024

RAUM, Historic

400M200M0202020212022202320242025399941328 on 3/29/2020305319180 on 3/31/2021398449374 on 3/31/2022347583666 on 3/31/2023347583666 on 2/8/2024341321695 on 3/29/2024

No. Clients, Historic

10502020202120222023202420256 on 3/29/20206 on 3/31/20217 on 3/31/20227 on 3/31/20237 on 2/8/20247 on 3/29/2024

Holdings

From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
AMERIS BANCORP COM 2M 37K
BLUE RIDGE BANKSHARES INC VA COM 2M 803K
CAPITAL BANCORP INC MD COM 2M 103K
CF BANKSHARES INC COM 2M 111K
CITIZENS FINL GROUP INC COM 3M 80K
CIVISTA BANCSHARES INC COM NO PAR 1M 79K
CNB FINL CORP PA COM 1M 66K
CUSTOMERS BANCORP INC COM 2M 49K
EAST WEST BANCORP INC COM 3M 45K
ENTERPRISE FINL SVCS CORP COM 2M 51K
ESQUIRE FINL HLDGS INC COM 3M 60K
EVANS BANCORP INC COM NEW 2M 78K
FIFTH THIRD BANCORP COM 3M 90K
FIRST BANCSHARES INC MS COM 5M 175K
FIRST CMNTY CORP S C COM 2M 144K
FIRST FNDTN INC COM 3M 464K
FIRST MERCHANTS CORP COM 832K 25K
FIRST SEACOAST BANCORP INC COM 1M 125K
JOHN MARSHALL BANCORP INC COM 3M 164K
KEYCORP COM 3M 217K
MAINSTREET BANCSHARES INC COM 3M 145K
MERCHANTS BANCORP IND COM 2M 53K
NATIONAL BK HLDGS CORP CL A 2M 44K
NORTHRIM BANCORP INC COM 3M 46K
OFG BANCORP COM 3M 72K
OLD NATL BANCORP IND COM 3M 185K
PEAPACK-GLADSTONE FINL CORP COM 2M 87K
PEOPLES BANCORP INC COM 3M 88K
PINNACLE FINL PARTNERS INC COM 3M 39K
PLUMAS BANCORP COM 1M 35K
PREMIER FINANCIAL CORP COM 4M 187K
PROSPERITY BANCSHARES INC COM 2M 32K
QCR HOLDINGS INC COM 7M 119K
RED RIVER BANCSHARES INC COM 2M 52K
SANDY SPRING BANCORP INC COM 5M 196K
SMARTFINANCIAL INC COM NEW 3M 128K
STELLAR BANCORP INC COM 4M 186K
TEXAS CAP BANCSHARES INC COM 3M 47K
TRUSTMARK CORP COM 2M 62K
USCB FINANCIAL HOLDINGS INC CLASS A COM 2M 119K
VILLAGE BK & TR FINL CORP COM NEW 2M 54K
VIRGINIA NATL BANKSHARES COR COM 3M 98K
WEBSTER FINL CORP COM 3M 57K
WINTRUST FINL CORP COM 2M 21K