NEWOAK ASSET MANAGEMENT LLC
Adviser information for NEWOAK ASSET MANAGEMENT LLC last updated from Form ADV on March 31st, 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 | 6 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 5 |
| 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 | 4 | $36.4M |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $36.4M |
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 | 1 | $7.6M |
| 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 | 3 | $28.8M |
| Other | 0 | $0 |
| 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 pooled investment vehiclesASSET MANAGEMENT SERVICES |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-80361 |
|---|---|
| SEC ERA File Number | 801-80361 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 172956 |
| Legal Entity Identifier | None |
Principal Office
3 COLUMBUS CIRCLE, 15TH FL.NEW YORK
NY
United States
Monday - Friday, 9:00AM-5:00PM
Tel: 212 209 0850, Fax: 212 209 0704
Websites
Chief Compliance Officer
RON D'VARI
CEO
3 COLUMBUS CIRCLE, 15TH FL.
NEW YORK
NY
United States
Tel:
212 209 0855
R*****@*********M
(Full email address available in API data)
Regulatory Contact
RICHARD KELLY
DEPUTY CCO/CRD/IARD ADMINISTRATOR
3 COLUMBUS CIRCLE
15TH FLOOR
NEW YORK
NY
United States
Tel:
212 209 0827
Fax:
212 209 0704
R*****@*********M
(Full email address available in API data)
Industry Affiliates
| NEWOAK CAPITAL MARKETS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| D'VARI, RON | Individual | – | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | 06/2009 | < 5% |
| NEWOAK CAPITAL LLC | Domestic Entity | – | SOLE MEMBER OF APPLICANT, MANAGING MEMBER | 06/2009 | > 75% |
| NEWOAK CAPITAL HOLDINGS L.P. | Domestic Entity | NEWOAK CAPITAL LLC | SOLE SHAREHOLDER, MANAGING MEMBER | 06/2009 | > 75% |
| D'VARI, RON | Individual | NEWOAK CAPITAL HOLDINGS L.P. | LIMITED PARTNER | 06/2009 | > 75% |
| D'VARI, RON | Individual | NEWOAK GENERAL PARTNERS LLC | SHAREHOLDER | 06/2009 | > 75% |
| NEWOAK GENERAL PARTNERS LLC | Domestic Entity | NEWOAK CAPITAL HOLDINGS L.P. | GENERAL PARTNER | 06/2009 |