AURIGA CAPITAL MANAGEMENT, LLC

Adviser information for AURIGA CAPITAL MANAGEMENT, LLC last updated from Form ADV on March 4th, 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 New York, 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

Identifiers

SEC RIA File Number 802-115143
SEC ERA File Number 802-115143
SEC CIK Numbers None
SEC CRD Numbers 151214
Legal Entity Identifier None

Principal Office

140 EAST 45TH STREET
SUITE 32B-1
NEW YORK
NY
United States
Monday - Friday, 9:00-5:00
Tel: 646-998-6448, Fax: None

Chief Compliance Officer

None

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
SOLAR CREDITS OPPORTUNITIES FUND II, LLC RENEWABLE ENERGY INVESTMENT OPPORTUNITIES $10.4M $0.1M 10
SOLAR CREDITS OPPORTUNITIES FUND III, LLC RENEWABLE ENERGY INVESTMENT OPPORTUNITIES $4.5M $0.0M 30
SOLAR CREDITS OPPORTUNITIES FUND, LLC RENEWABLE ENERGY INVESTMENT OPPORTUNITIES $2.7M $0.1M 31

Control Persons

Name Type Entity Title Since Ownership
WINTER, RICHARD, DAVID Individual CHAIRMAN AND CEO 02/2010 < 5%
TARTAGLIA, JOHN, ANDREW Individual PRESIDENT 02/2010 < 5%
WINTER, RICHARD, DAVID Individual F18CM, LLC MEMBER 06/2015 > 75%
F18CM, LLC Domestic Entity MEMBER 01/2016 > 75%

No. Employees, Historic

00020192020202120222023202420250 on 4/24/20190 on 3/25/20200 on 5/4/20200 on 5/4/20200 on 3/25/20210 on 3/17/20220 on 3/29/20230 on 3/4/2024