IROQUOIS CAPITAL MANAGEMENT, LLC
Adviser information for IROQUOIS CAPITAL 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 | 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 | 802-80689 |
|---|---|
| SEC ERA File Number | 802-80689 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 159769 |
| Legal Entity Identifier | None |
Principal Office
2 OVERHILL ROADSCARSDALE
NY
United States
Monday - Friday, 8 A.M. - 6 P.M.
Tel: 212-974-3070, Fax: None
Chief Compliance Officer
NoneIndustry Affiliates
| IROQUOIS CAPITAL PARTNERS, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ICIV 2021 LLC | SPV | $1.5M | $0.0M | 14 |
| IROQUOIS MASTER FUND LTD. | Hedge Fund | $120.3M | $1.0M | 2 |
| LAUNCHPAD INNOVATION CAPITAL LLC | SPV | $0.0M | $0.0M | 15 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GRIFFIN, KIMBERLY, M. | Individual | – | CHIEF OPERATION OFFICER | 01/2007 | 25-50% |
| ABBE, RICHARD, KENNETH | Individual | – | PRESIDENT | 06/2003 | 25-50% |
| ABBE, RICHARD, KENNETH | Individual | THE MERAV ABBE IRREVOCABLE TRUST | BENEFICIARY | 06/2003 | > 75% |
| THE MERAV ABBE IRREVOCABLE TRUST | Domestic Entity | – | MEMBER/OWNER | 06/2003 | 25-50% |
| ABBE, LEO, THEODORE | Individual | NA | TRUSTEE | 06/2011 | |
| ABBE, LEO, THEODORE | Individual | – | CHIEF TECHNOLOGY OFFICER, HEAD OF RISK | 01/2023 | 5-10% |