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

FUND MANAGEMENT AT ENGINE NO. 1 LLC

CRD 311877

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:ae68894c-0011-eb91-bf12-3e79fccdda0b

Data as of Mar 31, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 7
On other graphs: 0
Observed: Dec 1, 2020 to Mar 31, 2023
7 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: $449MItem 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: $449M
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: 2
SEC number: 801-121289
CRD: 311877
Filings on the tape: 7
First filed: Dec 1, 2020
Latest filed: Mar 31, 2023
Organised: Limited Liability Company, Delaware

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 LLC	MANAGING MEMBER	E	yes	11/2020	Apr 22, 2021	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
REID, FITZANN, RUBY	HEAD OF LEGAL ETFS AND CHIEF COMPLIANCE OFFICER	Na	yes	03/2023	Mar 31, 2023	Mar 31, 2023
SAINT-VICTOR, NICK, NMN	GENERAL COUNSEL	Na	yes	05/2021	Jun 10, 2021	Mar 31, 2023
SWIFT, DAVID, PAINE	CHIEF OPERATING OFFICER	Na	yes	11/2020	Jun 10, 2021	Mar 31, 2023

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ENGINE NO.1 LLC	n/a	Former SEC adviser	$300M	Y	yes	n/a
CAPITAL MANAGEMENT AT ENGINE NO. 1 LLC	n/a	n/a	n/a	N	yes	n/a
CAPITAL MANAGEMENT GP AT ENGINE NO. 1 LLC	n/a	n/a	n/a	N	yes	n/a
ENGAGEMENT AT ENGINE NO. 1 LLC	n/a	n/a	n/a	N	yes	n/a
THE FOUNDRY AT ENGINE NO. 1 LLC	n/a	n/a	n/a	N	yes	n/a

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	$449M	$449M	33	11	1	n/a	n/a
2021	Mar 31, 2022	$282M	$282M	43	10	0	n/a	n/a

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	$449M	$282M	59.1%	n/a	n/a	33	43	1	0

Relationships

Affiliated with (1)

→ ENGINE NO.1 LLCRegistered adviserother investment adviser, control, common control
factForm ADV

Controls (8)

← 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
Jun 10, 2021 to presentfactForm ADV
← SAINT-VICTOR, NICK, NMNOwnerGENERAL COUNSEL, ownership code NA, individual
Jun 10, 2021 to presentfactForm ADV
← REID, FITZANN, RUBYOwnerHEAD OF LEGAL ETFS AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 31, 2023 to presentfactForm ADV
← ENGINE NO. 1 GP LLCOwnerGENERAL PARTNER, ownership code F, domestic entity
Dec 1, 2020 to presentfactForm ADV
← ENGINE NO. 1 LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Apr 22, 2021 to presentfactForm ADV

Dated events

Occurred
Mar 31, 2023
Regulatory AUM changed
Fund Management At Engine No. 1 Llc reported RAUM $448.6M, up 59% from $281.9M (2022-04-29 to 2023-03-31)
Form ADVobserved 5 days ago
$167M
Occurred
Mar 31, 2023
Control person left
Nicki Elli Kavros (Managing Director, Operations) no longer on Schedule A of Fund Management At Engine No. 1 Llc (listed 2022-04-29, absent 2023-03-31)
Form ADVobserved 5 days ago
Occurred
Mar 31, 2023
Control person joined
Ruby Fitzann Reid (Head Of Legal Etfs And Chief Compliance Officer) appeared on Schedule A of Fund Management At Engine No. 1 Llc
Form ADVobserved 5 days ago
Occurred
Jun 10, 2021
Control person joined
Paine David Swift (Chief Operating Officer) appeared on Schedule A of Fund Management At Engine No. 1 Llc
Form ADVobserved 5 days ago
Occurred
Jun 10, 2021
Control person joined
Ann Sandra Kim-Suk (Chief Financial Officer) appeared on Schedule A of Fund Management At 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 Fund Management At Engine No. 1 Llc
Form ADVobserved 5 days ago
Occurred
Dec 1, 2020
First Form ADV filing
Fund Management At Engine Number 1 Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ae68894c-0011-eb91-bf12-3e79fccdda0b
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.

FUND MANAGEMENT AT ENGINE NO. 1 LLC

CRD 311877

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:ae68894c-0011-eb91-bf12-3e79fccdda0b

Data as of Mar 31, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:29 AM UTC and rebuilt at most every 15 minutes.

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 LLC

MANAGING MEMBER

yes

11/2020

Apr 22, 2021

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

REID, FITZANN, RUBY

HEAD OF LEGAL ETFS AND CHIEF COMPLIANCE OFFICER

yes

03/2023

Mar 31, 2023

SAINT-VICTOR, NICK, NMN

GENERAL COUNSEL

yes

05/2021

Jun 10, 2021

Mar 31, 2023

SWIFT, DAVID, PAINE

CHIEF OPERATING OFFICER

yes

11/2020

Jun 10, 2021

Mar 31, 2023

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ENGINE NO.1 LLC

n/a

Former SEC adviser

$300M

yes

n/a

CAPITAL MANAGEMENT AT ENGINE NO. 1 LLC

n/a

yes

n/a

CAPITAL MANAGEMENT GP AT ENGINE NO. 1 LLC

n/a

yes

n/a

ENGAGEMENT AT ENGINE NO. 1 LLC

n/a

yes

n/a

THE FOUNDRY AT ENGINE NO. 1 LLC

n/a

yes

n/a

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

$449M

n/a

2021

Mar 31, 2022

$282M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$449M

$282M

59.1%

n/a