SPRUCE INVESTMENT ADVISORS LLC
Adviser information for SPRUCE INVESTMENT ADVISORS LLC last updated from Form ADV on October 6th, 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 | – |
Identifiers
| SEC RIA File Number | 802-126828 |
|---|---|
| SEC ERA File Number | 802-126828 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 122149 |
| Legal Entity Identifier | None |
Principal Office
700 CANAL STREETSTAMFORD
CT
United States
Monday - Friday, 8:30 A.M. - 5:30 P.M.
Tel: 203-428-2600, Fax: 203-428-2628
Chief Compliance Officer
JOHN BAILEY
700 CANAL STREET
STAMFORD
CT
United States
Tel:
203-807-1013
J******@***************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ADVANCED EQUITIES INVESTMENTS XXIX, LLC | Private Equity Fund | $0.0M | $0.1M | 16 |
| ADVANCED EQUITIES INVESTMENTS XXVIII, LLC | Private Equity Fund | $0.0M | $0.1M | 73 |
| ADVANCED EQUITIES METRICSTREAM INVESTMENT I, LLC | Private Equity Fund | $5.5M | $0.1M | 89 |
| ADVANCED EQUITIES METRICSTREAM INVESTMENT IV, LLC | Private Equity Fund | $0.3M | $0.1M | 4 |
| ADVANCED EQUITIES VENTURE PARTNERS II, LP | Private Equity Fund | $1.1M | $0.1M | 95 |
| AEI 2006 VENTURE INVESTMENTS III, LLC | Private Equity Fund | $1.2M | $0.1M | 75 |
| AEI 2006 VENTURE INVESTMENTS IV, LLC | Private Equity Fund | $1.0M | $0.1M | 42 |
| AEI 2007 VENTURE ACCESS FUND I-2, LLC | Private Equity Fund | $0.0M | $0.1M | 5 |
| AEI 2007 VENTURE ACCESS FUND I, LLC | Private Equity Fund | $0.9M | $0.1M | 102 |
| AEI 2007 VENTURE ACCESS FUND II, LLC | Private Equity Fund | $0.9M | $0.1M | 54 |
| AEI 2008 VENTURE INVESTMENTS I, LLC | Private Equity Fund | $2.5M | $0.1M | 76 |
| AEI 2008 VENTURE INVESTMENTS II, LLC | Private Equity Fund | $0.8M | $0.1M | 34 |
| AEI 2011 VENTURES I, LLC | Private Equity Fund | $0.0M | $0.1M | 10 |
| AEI 2011 VENTURES II, LLC | Private Equity Fund | $0.0M | $0.1M | 2 |
| AEI BRIGHTSOURCE INVESTMENTS I, LLC | Private Equity Fund | $0.4M | $0.1M | 95 |
| AEI BRIGHTSOURCE INVESTMENTS II, LLC | Private Equity Fund | $1.9M | $0.1M | 209 |
| AEI METRICSTREAM INVESTMENTS III, LLC | Private Equity Fund | $0.8M | $0.1M | 17 |
| AEI METRICSTREAM INVESTMENTS IV, LLC | Private Equity Fund | $3.8M | $0.1M | 45 |
| AEI TRILOGY FUND I, LLC | Private Equity Fund | $1.0M | $0.1M | 97 |
| SPRUCE DIRECT INVESTMENT FUND I LP | Private Equity Fund | $1.4M | $0.1M | 11 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BAILEY, JOHN, CHRISTOPHER | Individual | – | CEO / MANAGING MEMBER / CCO | 09/2001 | > 75% |
| MAHAFFY, MICHAEL, TELFAIR | Individual | – | MANAGING MEMBER | 12/2018 | 25-50% |