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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

ENGINE NO.1 LLC

CRD 311998

SAN FRANCISCO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8f1046c6-5b19-e980-bbe3-140622e05a76

Data as of Mar 31, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 4
On other graphs: 0
Observed: Dec 1, 2020 to Mar 31, 2023
8 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $300MItem 5.F on the latest filing (2023-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $300M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 33
Advisory employees: 11
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 3
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $300Mgross asset value as reported per fund; never fund size
SEC number: 801-120068
CRD: 311998
Filings on the tape: 8
First filed: Dec 1, 2020
Latest filed: Mar 31, 2023
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
ENGINE NO. 1 PERENNIAL TOTAL VALUE MASTER FUND, LP	Hedge Fund	$300M	Mar 31, 2023	15	May 4, 2021	reported	021-421733

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ENGINE NO. 1 GP LLC	GENERAL PARTNER	F	yes	11/2020	Dec 1, 2020	Mar 31, 2023
ENGINE NO. 1 LP	MANAGING MEMBER	E	yes	11/2020	Dec 1, 2020	Mar 31, 2023
GRANCIO, JENNIFER, LISA	CHIEF EXECUTIVE OFFICER	Na	yes	11/2020	Dec 1, 2020	Mar 31, 2023
JAMES, CHRISTOPHER, MEDLOCK	LIMITED PARTNER	E	yes	11/2020	Dec 1, 2020	Mar 31, 2023
KIM-SUK, SANDRA, ANN	CHIEF FINANCIAL OFFICER	Na	yes	05/2021	Jun 10, 2021	Mar 31, 2023
SAINT-VICTOR, NICK, NMN	GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	Na	yes	05/2021	Jun 10, 2021	Mar 31, 2023
SWIFT, DAVID, PAINE	CHIEF OPERATING OFFICER	Na	yes	11/2020	Dec 1, 2020	Mar 31, 2023

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	10	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022	Mar 31, 2023	$300M	$300M	33	11	1	1	$300M
2021	Mar 31, 2022	$275M	$275M	43	10	0	1	$252M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$300M	$275M	8.9%	n/a	n/a	33	43	1	0

Relationships

Advises (1)

→ ENGINE NO. 1 PERENNIAL TOTAL VALUE MASTER FUND, LPPrivate fundHedge Fund, IA
May 4, 2021 to presentfactForm ADV

Controls (7)

← JAMES, CHRISTOPHER, MEDLOCKOwnerLIMITED PARTNER, ownership code E, individual
Dec 1, 2020 to presentfactForm ADV
← KIM-SUK, SANDRA, ANNOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jun 10, 2021 to presentfactForm ADV
← GRANCIO, JENNIFER, LISAOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Dec 1, 2020 to presentfactForm ADV
← SWIFT, DAVID, PAINEOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Dec 1, 2020 to presentfactForm ADV
← SAINT-VICTOR, NICK, NMNOwnerGENERAL COUNSEL & CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 10, 2021 to presentfactForm ADV
← ENGINE NO. 1 GP LLCOwnerGENERAL PARTNER, ownership code F, domestic entity
Dec 1, 2020 to presentfactForm ADV
← ENGINE NO. 1 LPOwnerMANAGING MEMBER, ownership code E, domestic entity
Dec 1, 2020 to presentfactForm ADV

Affiliated with (1)

← FUND MANAGEMENT AT ENGINE NO. 1 LLCRegistered adviserother investment adviser, control, common control
factForm ADV

Dated events

Occurred
Mar 31, 2023
Control person left
Nicki Elli Kavros (Managing Director, Operations) no longer on Schedule A of Engine No.1 Llc (listed 2022-04-29, absent 2023-03-31)
Form ADVobserved 5 days ago
Occurred
Jun 10, 2021
Control person joined
Ann Sandra Kim-Suk (Chief Financial Officer) appeared on Schedule A of Engine No.1 Llc
Form ADVobserved 5 days ago
Occurred
Jun 10, 2021
Control person joined
Nick Saint-Victor (General Counsel & Chief Compliance Officer) appeared on Schedule A of Engine No.1 Llc
Form ADVobserved 5 days ago
Occurred
Dec 1, 2020
First Form ADV filing
Engine No. 1 Management Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8f1046c6-5b19-e980-bbe3-140622e05a76
First observed: Dec 1, 2020
Last observed: Mar 31, 2023 42 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ENGINE NO.1 LLC

CRD 311998

SAN FRANCISCO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8f1046c6-5b19-e980-bbe3-140622e05a76

Data as of Mar 31, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:49 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

ENGINE NO. 1 PERENNIAL TOTAL VALUE MASTER FUND, LP

Hedge Fund

$300M

Mar 31, 2023

May 4, 2021

reported

021-421733

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ENGINE NO. 1 GP LLC

GENERAL PARTNER

yes

11/2020

Dec 1, 2020

Mar 31, 2023

ENGINE NO. 1 LP

MANAGING MEMBER

yes

11/2020

Dec 1, 2020

Mar 31, 2023

GRANCIO, JENNIFER, LISA

CHIEF EXECUTIVE OFFICER

yes

11/2020

Dec 1, 2020

Mar 31, 2023

JAMES, CHRISTOPHER, MEDLOCK

LIMITED PARTNER

yes

11/2020

Dec 1, 2020

Mar 31, 2023

KIM-SUK, SANDRA, ANN

CHIEF FINANCIAL OFFICER

yes

05/2021

Jun 10, 2021

Mar 31, 2023

SAINT-VICTOR, NICK, NMN

GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER

yes

05/2021

Jun 10, 2021

Mar 31, 2023

SWIFT, DAVID, PAINE

CHIEF OPERATING OFFICER

yes

11/2020

Dec 1, 2020

Mar 31, 2023

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 31, 2023

$300M

2021

Mar 31, 2022

$275M

$252M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$300M

$275M

8.9%

n/a