COLLER CAPITAL INC
Adviser information for COLLER CAPITAL INC last updated from Form ADV on June 29th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | MARCH |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 50 |
|---|---|
| Investment Advisory/Research | 25 |
| 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 | 0 | $0 |
| Non-Discretionary | 20 | $6.3B |
| Total | 20 | $6.3B |
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 | 20 | $6.3B |
| 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 | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 100 |
Services
| Advisory Services | NON-DISCRETIONARY SUB-ADVISER TO A NON-DISCRETIONARY, NON-US ADVISER TO A NON-US ADVISER OF PRIVATE FUNDS |
|---|---|
| Compensation | COST PLUS FEE |
Identifiers
| SEC RIA File Number | 801-80195 |
|---|---|
| SEC ERA File Number | 801-80195 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 158102 |
| Legal Entity Identifier | None |
Principal Office
950 THIRD AVENUENEW YORK
NY
United States
Monday - Friday, 09:00-17:30
Tel: 1 212 644 8500, Fax: 1 212 644 9133
Chief Compliance Officer
FRANK OCHSENFELD
116 PARK STREET
LONDON
United Kingdom
Tel:
44 20 7079 9401
Fax:
44 20 7631 8555
F***************@****************M
(Full email address available in API data)
Regulatory Contact
BRENDAN SIHKSNEL
LEGAL COUNSEL AND COMPLIANCE MANAGER
950 THIRD AVENUE
NEW YORK
NY
United States
Tel:
212 822 4267
Fax:
212 644 9133
B***************@****************M
(Full email address available in API data)
Industry Affiliates
| COLLER CAPITAL (HONG KONG) LIMITED | Other investment adviser, including financial planners |
| COLLER CAPITAL LIMITED | Other investment adviser, including financial planners |
| COLLER CREDIT OPPORTUNITIES I - ANNEX I GP, S.A R.L. | Sponsor, GP, manager of pooled investment vehicles |
| COLLER CREDIT OPPORTUNITIES I GP, S.A R.L. | Sponsor, GP, manager of pooled investment vehicles |
| COLLER CREDIT SECONDARIES INVESTMENT MANAGEMENT LIMITED | Other investment adviser, including financial planners |
| COLLER INTERNATIONAL GENERAL PARTNER V, L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| COLLER INTERNATIONAL GENERAL PARTNER VI, L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| COLLER INTERNATIONAL GENERAL PARTNER VII, L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| COLLER INTERNATIONAL GENERAL PARTNER VIII, L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| COLLER INTERNATIONAL PARTNERS VI LUXEMBOURG S.A R.L. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| COLLER INTERNATIONAL PARTNERS VII LUXEMBOURG GP, S.A R.L. | Sponsor, GP, manager of pooled investment vehicles |
| COLLER INTERNATIONAL PARTNERS VIII LUXEMBOURG GP, S.A R.L. | Sponsor, GP, manager of pooled investment vehicles |
| COLLER INVESTMENT MANAGEMENT LTD | Other investment adviser, including financial plannersSponsor, 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 |
|---|---|---|---|---|---|
| LAMB, HELEN, LOUISE | Individual | – | DIRECTOR | 11/2013 | < 5% |
| COLLER CAPITAL LIMITED | Foreign Entity | – | OWNER | 04/2003 | > 75% |
| OCHSENFELD, FRANK | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2013 | < 5% |
| CICAP LIMITED | Foreign Entity | COLLER CAPITAL LIMITED | OWNER | 02/1995 | > 75% |
| COLLER, JEREMY, JOSEPH | Individual | CICAP LIMITED | OWNER | 10/1993 | > 75% |
| LAMB, HELEN, LOUISE | Individual | – | VICE PRESIDENT | 11/2013 | < 5% |
| LEE, JOSE, SANTIAGO | Individual | – | DIRECTOR | 03/2021 | < 5% |
| RESNICK, BRANDON | Individual | – | DIRECTOR | 01/2022 | < 5% |