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CRD 298193
SAN RAFAEL, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| POLARIS NMX FUND, LLC | Private Equity Fund | $5.3M | Apr 5, 2022 | 38 | Mar 27, 2019 | reported | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| POWELL, JEFFREY, JOHN | SOLE SHAREHOLDER, PRESIDENT, AND CEO | E | yes | 08/1998 | Sep 5, 2018 | Apr 5, 2022 |
| MASON, JAMES, RICHARD | CHIEF COMPLIANCE OFFICER | Na | no | 08/2017 | Feb 3, 2021 | Apr 5, 2022 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| POLARIS WEALTH ADVISORY GROUP, LLC | n/a | Former SEC adviser | $1.5B | Y | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2021 | Feb 9, 2022 | $5.3M | $5.3M | 1 | 1 | 0 | 1 | $5.3M |
| 2020 | Feb 3, 2021 | $4.0M | $4.0M | 1 | 1 | 0 | 1 | $4.0M |
| 2019 | Feb 24, 2020 | $4.0M | $4.0M | 1 | 1 | 0 | 1 | $4.0M |
| 2018 | Mar 27, 2019 | $4.0M | $4.0M | 1 | 1 | 1 | 1 | $4.0M |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2021 | $5.3M | $4.0M | 32.5% | $4.0M | 9.8% | 1 | 1 | 0 | 0 |