THOROFARE, LLC
Adviser information for THOROFARE, 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 | California, United States |
Employees
| Total Number of Employees | 32 |
|---|---|
| Investment Advisory/Research | 21 |
| Registered Broker-Dealer Representatives | 2 |
| 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 | $1.6B |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $1.6B |
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 | $1.6B |
| 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 vehicles3(C)(5) REAL ESTATE INVESTMENT FUNDS |
|---|---|
| Compensation | % of AUMPerformance-based feesORIGINATION FEES, DEFERRED ORIGINATION FEES, MODIFICATION FEES |
Identifiers
| SEC RIA File Number | 801-80373 |
|---|---|
| SEC ERA File Number | 801-80373 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 171293 |
| Legal Entity Identifier | None |
Principal Office
100 NORTH PACIFIC COAST HIGHWAYSUITE 2050
EL SEGUNDO
CA
United States
Monday - Friday, 9AM-6PM
Tel: 617-880-7494, Fax: 213-873-4039
Chief Compliance Officer
KRISTEN CAMMARATA
100 NORTH PACIFIC COAST HIGHWAY
SUITE 2050
EL SEGUNDO
CA
United States
Tel:
617-880-7494
K*********@************M
(Full email address available in API data)
Regulatory Contact
KEVIN MILLER
CEO
100 NORTH PACIFIC COAST HIGHWAY
SUITE 2050
EL SEGUNDO
CA
United States
Tel:
213-873-4001
K****@*******************M
(Full email address available in API data)
Industry Affiliates
| CALLODINE CAPITAL MANAGEMENT | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| CALLODINE CAPITAL PARTNERS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| CALLODINE COMMERCIAL PARTNERS | Sponsor, GP, manager of pooled investment vehicles |
| CALLODINE CREDIT MANAGEMENT | Other investment adviser, including financial planners |
| CALLODINE STRATEGIC CREDIT FUND II GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| CALLODINE STRATEGIC CREDIT, LLC | Other investment adviser, including financial planners |
| EXETER TRUST COMPANY | Trust company |
| MANNING & NAPIER ADVISORS, LLC | Other investment adviser, including financial planners |
| MANNING & NAPIER INVESTOR SERVICES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| RAINIER INVESTMENT MANAGEMENT LLC | Other investment adviser, including financial planners |
| RAND CAPITAL MANAGEMENT | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| THOROFARE CAPITAL, INC. | Real estate broker or dealer |
| THOROFARE LENDING FUND IV MANAGEMENT, LLC | Sponsor, GP, manager of pooled investment vehicles |
| THOROFARE LENDING FUND V MANAGEMENT, LLC | Sponsor, 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 |
|---|---|---|---|---|---|
| MILLER, KEVIN, HOWARD | Individual | – | CEO | 06/2010 | < 5% |
| MILLER, BRENDAN, WAPPLE | Individual | – | CIO | 05/2011 | < 5% |
| COOPER, ROBERT, JASON | Individual | – | GENERAL COUNSEL OF THOROFARE HOLDINGS, LLC | 04/2015 | < 5% |
| THOROFARE HOLDINGS, LLC | Domestic Entity | – | OWNER | 03/2015 | > 75% |
| CALLODINE THOROFARE HOLDING, LLC | Domestic Entity | CALLODINE THOROFARE, LLC | OWNER | 12/2021 | > 75% |
| CALLODINE CREDIT, LLC | Domestic Entity | CALLODINE THOROFARE HOLDING, LLC | OWNER | 12/2021 | > 75% |
| CALLODINE GROUP, LLC | Domestic Entity | CALLODINE CREDIT, LLC | OWNER | 05/2021 | > 75% |
| Morrow, James, Stuart | Individual | CALLODINE GROUP, LLC | MEMBER | 10/2020 | > 75% |
| CALLODINE THOROFARE, LLC | Domestic Entity | THOROFARE HOLDINGS, LLC | OWNER | 12/2021 | > 75% |
| CAMMARATA, KRISTEN, MARIE | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2023 | < 5% |
| Prosser, Edward | Individual | – | CHIEF OPERATING OFFICER | 01/2022 | < 5% |
| EAST ASSET MANAGEMENT, LLC | Domestic Entity | THOROFARE HOLDINGS, LLC | OWNER | 03/2022 | 25-50% |
| PEGULA, KIM, SUANNE | Individual | EAST ASSET MANAGEMENT, LLC | OWNER | 01/2018 | 50-75% |
| PEGULA, TERRENCE, MICHAEL | Individual | EAST ASSET MANAGEMENT, LLC | OWNER | 01/2018 | 50-75% |