RIDGEBACK CAPITAL MANAGEMENT
MANDALAY FINANCIAL, L.L.C. Legal Name
Adviser information for RIDGEBACK CAPITAL MANAGEMENT last updated from Form ADV on March 28th, 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 | Texas, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 401 | $186.8M |
| Total | 401 | $186.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 35 | $3.1M |
| HNW Individuals | 133 | $183.7M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| 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 | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-79515 |
|---|---|
| SEC ERA File Number | 801-79515 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 113848 |
| Legal Entity Identifier | None |
Principal Office
6750 WEST LOOP SOUTHSUITE 1080
BELLAIRE
TX
United States
Monday - Friday, BY APPOINTMENT ONLY
Tel: 713-667-4026, Fax: 713-667-4138
Chief Compliance Officer
MICHAEL C. KUZNICKI
PRESIDENT/CCO
6750 WEST LOOP SOUTH
SUITE 1080
BELLAIRE
TX
United States
Tel:
713-667-4026
Fax:
713-667-4138
M********@**************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 |
|---|---|---|---|---|---|
| KUZNICKI, MICHAEL, CHARLES | Individual | – | PRESIDENT & CHIEF COMPLIANCE OFFICER | 01/1999 | > 75% |