ASPIRATION FUND ADVISER, LLC
Adviser information for ASPIRATION FUND ADVISER, 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 | Delaware, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 3 |
| 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 | 1 | $147.0M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $147.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $147.0M |
| 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 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | PLEASE SEE SCHEDULE D - MISCELLANEOUS. |
Identifiers
| SEC RIA File Number | 801-80317 |
|---|---|
| SEC ERA File Number | 801-80317 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 169854 |
| Legal Entity Identifier | None |
Principal Office
4551 GLENCOE AVESUITE 300
MARINA DEL REY
CA
United States
MONDAY-SUNDAY, 8:00 AM TO 5:00 PM M-F, 11:00 AM-1:00 PM SAT/SUN
Tel: 1-800-683-8529, Fax: None
Chief Compliance Officer
MEREDITH GELDHAUSER
4551 GLENCOE AVE, SUITE 300
MARINA DEL RAY
CA
United States
Tel:
770-655-8938
M**********@*************M
(Full email address available in API data)
Regulatory Contact
MATTHEW BERGIN
COO
4551 GLENCOE AVE, SUITE 300
MARINA DEL RAY
CA
United States
Tel:
917-841-0499
M******@*************M
(Full email address available in API data)
Industry Affiliates
| ASPIRATION FINANCIAL LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| ASPIRATION INSURANCE AGENCY LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ASPIRATION PARTNERS, INC. | Domestic Entity | – | SOLE MEMBER | 10/2013 | > 75% |
| NEWELL, TIMOTHY, L | Individual | – | CHIEF EXECUTIVE OFFICER | 10/2023 | < 5% |
| GELDHAUSER, MEREDITH, WILLIS | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2024 | < 5% |
| Bergin, Matthew | Individual | – | CHIEF OPERATING OFFICER | 01/2024 | < 5% |