OAK HARBOR CAPITAL, LLC
Adviser information for OAK HARBOR CAPITAL, LLC 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 | Delaware, United States |
Employees
| Total Number of Employees | 25 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 3 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 16 | $553.5M |
| Non-Discretionary | 0 | $0 |
| Total | 16 | $553.5M |
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 | 16 | $553.5M |
| 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 | 1 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based feesSERVICING FEES FOR DEBT RECOVERY SERVICES. |
Identifiers
| SEC RIA File Number | 801-80354 |
|---|---|
| SEC ERA File Number | 801-80354 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 169089 |
| Legal Entity Identifier | None |
Principal Office
1415 WESTERN AVENUESUITE 700
SEATTLE
WA
United States
Monday - Friday, 8AM-5PM PST
Tel: 855-330-9520, Fax: 206-577-5033
Chief Compliance Officer
PETER J. FITZPATRICK
CHIEF LEGAL OFFICER
1415 WESTERN AVENUE
SUITE 700
SEATTLE
WA
United States
Tel:
855-330-9520
Fax:
206-577-5033
P****************@*******************M
(Full email address available in API data)
Regulatory Contact
GABRIELLE AYALA-MONTGOMERY
ASSOCIATE CORPORATE COUNSEL & CORPORATE VP
1415 WESTERN AVENUE
SUITE 700
SEATTLE
WA
United States
Tel:
855-330-9520
Fax:
206-577-5033
G**********@*******************M
(Full email address available in API data)
Industry Affiliates
| OAK HARBOR MANAGEMENT, LLC | Sponsor, GP, manager of pooled investment vehicles |
| OHCSOF GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| WEINSTEIN & RILEY, P.S. | Lawyer or law firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ARGOLICA, LLC | Private Equity Fund | $25.8M | $0.0M | 1 |
| ARUNDINA, LLC | Private Equity Fund | $5.9M | $0.0M | 1 |
| BONIFERA, LLC | Private Equity Fund | $8.1M | $0.0M | 1 |
| DLC MORTGAGES, LLC | Private Equity Fund | $28.0M | $0.0M | 2 |
| EROSTYLIS, LLC | SPV | $26.2M | $0.0M | 1 |
| ISANTHES, LLC | Private Equity Fund | $46.5M | $0.0M | 1 |
| KSOH FUND, LLC | Private Equity Fund | $38.1M | $0.0M | 2 |
| LAELIA, LLC | Private Equity Fund | $60.0M | $0.0M | 2 |
| LIMOSA, LLC | Private Equity Fund | $54.2M | $0.0M | 2 |
| LYCASTE, LLC | Private Equity Fund | $5.4M | $0.0M | 1 |
| MAGERICK, LLC | Private Equity Fund | $66.8M | $0.0M | 2 |
| OAK HARBOR CAPITAL NPL VII, LLC | Private Equity Fund | $85.0M | $0.0M | 52 |
| OAK HARBOR CAPITAL SPECIAL OPPORTUNITIES FUND, LP | Private Equity Fund | $38.4M | $0.1M | 32 |
| OAK HARBOR CAPITAL SPECIAL OPPORTUNITIES MASTER FUND, LP | Private Equity Fund | $47.5M | $0.0M | 2 |
| OAK HARBOR CAPITAL SPECIAL OPPORTUNITIES OFFSHORE FUND, LTD | Private Equity Fund | $9.1M | $0.1M | 19 |
| OAK HARBOR CAPITAL XII, LLC | Private Equity Fund | $8.6M | $0.0M | 51 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WEINSTEIN, WILLIAM, STEPHEN | Individual | – | CHIEF EXECUTIVE/OPERATING OFFICER | 01/2007 | < 5% |
| FITZPATRICK, PETER, JOSEPH | Individual | – | CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER | 01/2015 | < 5% |
| WEINSTEIN, WILLIAM, STEPHEN | Individual | OAK HARBOR HOLDINGS, LLC | OWNER | 07/2019 | 25-50% |
| OAK HARBOR HOLDINGS, LLC | Domestic Entity | – | OWNER | 07/2019 | > 75% |
| HOLDPHRYSING, INC. | Domestic Entity | OAK HARBOR HOLDINGS, LLC | OWNER | 07/2019 | 25-50% |
| WEINSTEIN, WILLIAM, STEPHEN | Individual | HOLDPHRYSING, INC. | OWNER | 07/2019 | > 75% |
| BELL, STEPHEN, LEROY | Individual | – | CHIEF TECHNOLOGY/INFORMATION OFFICER | 06/2021 | < 5% |
| BASILE, MICHAEL, LOUIS | Individual | – | CHIEF FINANCIAL OFFICER | 12/2021 | < 5% |