EQUILIBRIUM CAPITAL INVESTMENT MANAGEMENT , LLC
Adviser information for EQUILIBRIUM CAPITAL INVESTMENT MANAGEMENT , 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 | Oregon, United States |
Employees
| Total Number of Employees | 36 |
|---|---|
| Investment Advisory/Research | 11 |
| 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 | 4 | $1.2B |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $1.2B |
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 | 4 | $1.2B |
| 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 | 47 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-96301 |
|---|---|
| SEC ERA File Number | 801-96301 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 182520 |
| Legal Entity Identifier | None |
Principal Office
411 NW PARK AVESUITE 401
PORTLAND
OR
United States
Monday - Friday, 8:00 - 5:00
Tel: 971-352-8430, Fax: 971-352-8445
Chief Compliance Officer
WILLIAM CAMPBELL
411 NW PARK AVE
SUITE 401
PORTLAND
OR
United States
Tel:
503-708-1355
C*******@*********M
(Full email address available in API data)
Regulatory Contact
MICHAELE GOBEL
CHIEF FINANCIAL OFFICER
411 NW PARK AVE
SUITE 401
PORTLAND
OR
United States
Tel:
971-352-8430
Fax:
971-352-8445
G****@*********M
(Full email address available in API data)
Industry Affiliates
| EQCEF I, LLC | Sponsor, GP, manager of pooled investment vehicles |
| EQCEF II, LLC | Sponsor, GP, manager of pooled investment vehicles |
| EQUILIBRIUM CAPITAL ASIA PTE. LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| EQUILIBRIUM CAPITAL GROUP EUROPE LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| EQUILIBRIUM CAPITAL SERVICES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| WASTEWATER CAPITAL MANAGEMENT, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CONTROLLED ENVIRONMENT FOODS FUND II, LLC | AGRICULTURE INFRASTRUCTURE: ADVANCED GREENHOUSES AND RELATED INTERESTS ASSOCIATED WITH CONTROLLED ENVIRONMENT AGRICULTURE. | $961.1M | $3.0M | 52 |
| CONTROLLED ENVIRONMENT FOODS FUND, LLC | AGRICULTURE INFRASTRUCTURE: ADVANCED GREENHOUSES AND RELATED INTERESTS ASSOCIATED WITH CONTROLLED ENVIRONMENT AGRICULTURE. | $144.9M | $3.0M | 25 |
| WASTEWATER OPPORTUNITY FUND, LLC | AGRICULTURE AND RELATED INFRASTRUCTURE: WATER, WASTE AND RENEWABLE ENERGY PROCESSING FACILITIES AND RELATED INTERESTS. | $45.1M | $1.0M | 20 |
| WE INVESTOR I, LLC | AGRICULTURE AND RELATED INFRASTRUCTURE: WATER, WASTE AND RENEWABLE ENERGY PROCESSING FACILITIES AND RELATED INTERESTS. | $29.7M | $1.0M | 3 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| EQUILIBRIUM CAPITAL GROUP, LLC | Domestic Entity | – | MEMBER | 03/2015 | > 75% |
| CAMPBELL, WILLIAM, COOLIDGE | Individual | – | EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | 03/2015 | < 5% |
| CHEN, DAVID, YI-PING | Individual | – | EXECUTIVE OFFICER | 03/2015 | < 5% |
| PIERREPONT, JOHN, JAY | Individual | – | EXECUTIVE OFFICER | 03/2015 | < 5% |