US CAPITAL GLOBAL INVESTMENT MANAGEMENT LLC
Adviser information for US CAPITAL GLOBAL INVESTMENT MANAGEMENT LLC last updated from Form ADV on March 31st, 2023. 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 | 0 |
|---|---|
| Investment Advisory/Research | 0 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | No |
|---|
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 | 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 | – |
|---|---|
| Compensation | – |
| Other Business Activities | Registered representative of a broker-dealer |
Identifiers
| SEC RIA File Number | 802-107938 |
|---|---|
| SEC ERA File Number | 802-107938 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 283601 |
| Legal Entity Identifier | None |
Principal Office
1 FERRY BUILDINGSUITE 201
SAN FRANCISCO
CA
United States
Monday - Friday, 9AM-5PM
Tel: 415.889.1010, Fax: None
Chief Compliance Officer
NoneIndustry Affiliates
| US CAPITAL GLOBAL SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| US CAPITAL GLOBAL WEALTH MANAGEMENT, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| US CAPITAL GLOBAL LENDING LLC | POOLED INVESTMENT FUND | $3.8M | $0.0M | 13 |
| USCGIM TAKEOUT LOAN LLC | POOLED INVESTMENT FUND | $0.9M | $0.0M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| US CAPITAL HOLDING CORPORATION | Domestic Entity | – | OWNER | 04/2016 | > 75% |
| SWEENEY, JEFFREY, NEIL | Individual | US CAPITAL HOLDING CORPORATION | OWNER | 04/2016 | > 75% |
| TOWLE, CHARLES, VISHWAMBHARA | Individual | US CAPITAL HOLDING CORPORATION | OWNER | 04/2016 | |
| SWEENEY, JEFFREY, NEIL | Individual | – | CEO | 04/2016 | < 5% |