SBB RESEARCH GROUP LLC
Adviser information for SBB RESEARCH GROUP 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 | Illinois, United States |
Employees
| Total Number of Employees | 27 |
|---|---|
| Investment Advisory/Research | 11 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| 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 | 19 | $2.4B |
| Non-Discretionary | 4 | $40.6M |
| Total | 23 | $2.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 8 | $81.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 11 | $2.3B |
| 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 | <5 | $30.3M |
| 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 businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Principal Office
450 SKOKIE BLVD.BUILDING 600
NORTHBROOK
IL
United States
Monday - Friday, 9AM-5PM CST
Tel: 847-656-1111, Fax: None
Chief Compliance Officer
WALTER M. KELLY
CORPORATE COUNSEL
450 SKOKIE BLVD.
BUILDING 600
NORTHBROOK
IL
United States
Tel:
847-656-1111
W*****@********M
(Full email address available in API data)
Regulatory Contact
MATTHEW LAWRENCE AVEN
CHIEF OPERATING OFFICER
450 SKOKIE BLVD.
BUILDING 600
NORTHBROOK
IL
United States
Tel:
847-656-1111
M****@********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| SBB RESEARCH GROUP CPS I LLC | Hedge Fund | $78.4M | $1.0M | 2 |
| SBB RESEARCH GROUP FUND CPS XI LLC SERIES A | Hedge Fund | $29.1M | $1.0M | 5 |
| SBB RESEARCH GROUP FUND CPS XI LLC SERIES B | Hedge Fund | $1.7M | $1.0M | 1 |
| SBB RESEARCH GROUP FUND CPS XI LLC SERIES C | Hedge Fund | $1,091.2M | $1.0M | 2 |
| SBB RESEARCH GROUP INVESTORS II LLC | Hedge Fund | $27.4M | $1.0M | 10 |
| SBB RESEARCH GROUP INVESTORS III LLC | Hedge Fund | $23.6M | $1.0M | 17 |
| SBB RESEARCH GROUP INVESTORS IV LLC | Hedge Fund | $11.6M | $1.0M | 4 |
| SBB RESEARCH GROUP POLYSIGHT I LLC | Hedge Fund | $212.2M | $1.0M | 36 |
| SBB RESEARCH GROUP POLYSIGHT II LLC | Hedge Fund | $66.0M | $1.0M | 4 |
| SBB RESEARCH GROUP POLYSIGHT III LLC | Hedge Fund | $751.7M | $50.0M | 6 |
| SBB RESEARCH GROUP POLYSIGHT ODIN LLC | Hedge Fund | $50.3M | $1.0M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BARNETT, SAMUEL, BENJAMIN | Individual | – | CHIEF EXECUTIVE OFFICER | 12/2010 | < 5% |
| AVEN, MATTHEW, LAWRENCE | Individual | – | CHIEF OPERATING OFFICER | 02/2011 | < 5% |
| KELLY, WALTER, M | Individual | – | CORPORATE COUNSEL AND CHIEF COMPLIANCE OFFICER | 11/2021 | < 5% |
| GREENSTEIN, BRADLEY, ALAN | Individual | – | CHIEF FINANCIAL OFFICER | 11/2021 | < 5% |
| SBB RESEARCH GROUP ENTERPRISES LLC | Domestic Entity | – | SOLE MEMBER | 01/2017 | > 75% |
| BARNETT, SAMUEL, BENJAMIN | Individual | SBB RESEARCH GROUP ENTERPRISES LLC | SOLE MEMBER | 01/2017 | > 75% |
| NAVALGUND, SANDEEP, DILIP | Individual | – | DIRECTOR OF RESEARCH OF THE MANAGER OF THE ISSUER | 03/2021 | < 5% |