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CRD 306961
NEW YORK, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| JOHN KLINGLER | n/a | St. Louis, MO | NEW YORK, NY | 3 | 10 | n/a | yes |
| Michael Lavere Allred | Certified Financial Planner | NEW YORK, NY | New York City, NY | 2 | 10 | 3 | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| BERGAMOT TRUST | Other Private Fund | $34.3M | Apr 30, 2024 | 2 | Mar 31, 2022 | reported | n/a |
| RIOJA FUND I LLC | Other Private Fund | $8.0M | Apr 30, 2024 | 2 | Mar 26, 2024 | reported | n/a |
| SONOMA FUND 2022, LLC | Other Private Fund | $1.0M | Apr 30, 2024 | 2 | Mar 31, 2022 | reported | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| Marwaha, Michelle | CHIEF COMPLIANCE OFFICER | Na | yes | 01/2024 | Jan 9, 2024 | Apr 30, 2024 |
| MIJNHARDT, FREDERIK, ANTON | Director | Na | yes | 02/2018 | Jun 2, 2022 | Apr 30, 2024 |
| MORENO DE LOS RIOS, JAIME, VICENTE | CHIEF OPERATING OFFICER | Na | yes | 06/2021 | Jan 9, 2024 | Apr 30, 2024 |
| SECFI, INC. | SOLE SHAREHOLDER | E | yes | 02/2018 | Jun 2, 2022 | Apr 30, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| COVENTURE-SECFI MANAGEMENT LIMITED | n/a | n/a | n/a | N | yes | n/a |
| SECFI LIMITED | n/a | n/a | n/a | N | yes | n/a |
| SECFI SECURITIES, LLC | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Amsterdam | n/a | Netherlands | 4 | no |
| SAN FRANCISCO | CA | United States | 2 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 25, 2026 | $226M | $176M | 15 | 9 | 1 | 3 | n/a |
| 2024 | Apr 29, 2025 | $174M | $124M | 16 | 9 | 2 | 3 | n/a |
| 2023 | Mar 26, 2024 | $156M | $122M | 15 | 9 | 2 | 3 | $43.3M |
| 2022 | Mar 16, 2023 | $92.8M | $54.5M | 15 | 10 | 2 | 2 | $34.3M |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 1 | -1 | 33.3% | 0 | 0 | 0 | 2 | 3 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $226M | $174M | 29.8% | $92.8M | 34.5% | 15 | 16 | 1 | 2 |