FORMATION CAPITAL
FORMATION CAPITAL, LLC Legal Name
Adviser information for FORMATION CAPITAL last updated from Form ADV on March 31st, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Georgia, United States |
Employees
| Total Number of Employees | 14 |
|---|---|
| Investment Advisory/Research | 12 |
| 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 | 2 | $496.4M |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $496.4M |
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 | 2 | $496.4M |
| 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 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-80200 |
|---|---|
| SEC ERA File Number | 801-80200 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 160400 |
| Legal Entity Identifier | None |
Principal Office
3550 LENOX ROAD NEFL 21 #6345
ATLANTA
GA
United States
Monday - Friday, 9AM-5PM
Tel: 770-754-9660, Fax: None
Chief Compliance Officer
NELA POWELL
CCO, SVP
3550 LENOX ROAD NE
FL 21 #6345
ATLANTA
GA
United States
Tel:
770-754-5099
N******@*******************M
(Full email address available in API data)
Regulatory Contact
JOE MCDURMONT
CHIEF FINANCIAL OFFICER
3550 LENOX ROAD NE
FL 21 #6345
ATLANTA
GA
United States
Tel:
678-578-8417
J*********@*******************M
(Full email address available in API data)
Industry Affiliates
| FC DOMINO GENERAL PARTNER, LLC | Sponsor, GP, manager of pooled investment vehicles |
| FC ECLIPSE INVESTMENT, LLC | Sponsor, GP, manager of pooled investment vehicles |
| FORMATION CAPITAL ASSET MANAGEMENT III, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ECLIPSE INVESTMENT, LLC | Real Estate Fund | $357.4M | $0.0M | 16 |
| SAFANAD SENIOR CARE INVESTMENT PARTNERSHIP VI, LP | Real Estate Fund | $139.0M | $0.0M | 35 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HCCF MANAGEMENT GROUP, INC. | Domestic Entity | – | MEMBER | 01/1999 | > 75% |
| WHITMAN, ARNOLD, MILLS | Individual | – | CHAIRMAN, BOARD MEMBER | 01/1999 | < 5% |
| WHITMAN, ARNOLD, MILLS | Individual | HCCF MANAGEMENT GROUP, INC. | OWNER | 01/1999 | > 75% |
| RUSS, DAVID, MICHAEL | Individual | – | CHIEF EXECUTIVE OFFICER | 12/2020 | < 5% |
| MCDURMONT, JOSEPH, PATRICK | Individual | – | CHIEF FINANCIAL OFFICER | 06/2021 | < 5% |
| POWELL, NELA | Individual | – | CHIEF COMPLIANCE OFFICER, SVP | 12/2020 | < 5% |
| HAMNER, STEPHANIE | Individual | – | MANAGING DIRECTOR, INVESTMENTS | 12/2020 | < 5% |