SOUNION CAPITAL MANAGEMENT, LLC
Adviser information for SOUNION CAPITAL MANAGEMENT, LLC last updated from Form ADV on March 20th, 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 | 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 | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 802-79818 |
|---|---|
| SEC ERA File Number | 802-79818 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 170473 |
| Legal Entity Identifier | 5493001H96737FBPSZ60 |
Principal Office
60 DOW ROADHOLLIS
NH
United States
Monday - Friday, 9:00AM-5:00PM
Tel: 580-789-9725, Fax: None
Chief Compliance Officer
NoneIndustry Affiliates
| SOUNION CAPITAL MANAGEMENT UK LTD | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| PACIFIC STAR INVESTMENT LLC | Hedge Fund | $57.5M | $1.0M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LUI LLC | Domestic Entity | – | MEMBER | 01/2015 | > 75% |
| LUI, PAK, SENG | Individual | – | NON-MEMBER MANAGER, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER | 01/2015 | > 75% |
| LUI, PAK, SENG | Individual | LUI LLC | MANAGER | 03/2019 | |
| THREE KINGS TRUST | Domestic Entity | LUI LLC | MEMBER | 12/2014 | > 75% |
| LUI, SUZANNE | Individual | THREE KINGS TRUST | TRUSTEE | 12/2014 | |
| MIN, DOROTHY | Individual | THREE KINGS TRUST | TRUSTEE | 12/2014 | |
| LUI, PAK, SENG | Individual | THREE KINGS TRUST | TRUSTEE | 12/2014 | |
| Forst, Brian | Individual | THREE KINGS TRUST | TRUSTEE | 11/2018 | |
| Thomas, Justin | Individual | THREE KINGS TRUST | TRUSTEE | 11/2018 |