Freedom 3 Capital, LLC (New York)


Freedom 3 Capital, LLC is a large advisory firm based in New York. It manages $337.57 million of regulatory assets for 8 client accounts. It has been registered with the SEC as an adviser since 2016 and has operated in the jurisdiction of Missouri.

Freedom 3 Capital provides portfolio management for pooled investment vehicles and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Freedom 3 Capital: assets under management

The assets under management (AUM) of Freedom 3 Capital, LLC is $337.57 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 104% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $337.57 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $42.2 million each.

Investments

The firm invests in investment grade corporate bonds the most. They account for 50% of the total AUM. The second-largest asset type is non-exchange traded securities, which make up 50% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Freedom 3 Capital, LLC for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Freedom 3 Capital serves?

The firm provides services to insurance companies and pooled investment vehicles. The largest group of clients of Freedom 3 Capital is pooled investment vehicles with 5 clients and $321.25 million of assets under management. Among the 12 most similar advisory firms, Freedom 3 Capital has the 5th highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $337.57 million for 8 clients. None of the firm’s clients are foreign persons or businesses.

Freedom 3 Capital also advises several private funds. Namely, five private equity funds. The minimum investment commitment required of non-related persons ranges from $50,000 to $1,500,000.

Careers at Freedom 3 Capital, LLC

The company employs 11 people that are either part- or full-time employees. 82 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Jason Michael Block Founding partner and cio 1 Apr 2013 25% - 50% 2635255
Daniel Seth Tamkin Partner, coo, cco and member 1 Apr 2013 Other 6214057
Wendy Brenner Block Member 1 Apr 2013 Other 6215568
Erik Marshal Glover Partner and member 1 Apr 2013 Other 4564516
Erik M Glover Partner and member 1 Apr 2013 Other 4564516
Daniel S. Tamkin Partner, coo, cco and member 1 Apr 2013 Other 6214057
Llc Dns F3c Member 1 Nov 2015 Other 47-5640151

Indirect Owners

The SEC currently registers 11 indirect owners.

Name Entity Date acquired Ownership Employer ID
F.L.P Trust #14 Member of g14 holdco, llc 1 Dec 2013 75% - 100% 36-6033780
Llc G14 Holdco Member of dns venture partners, llc 1 Dec 2014 25% - 50% 36-6033780
P.G. Jean Trust Member of dns venture partners, llc 1 Dec 2014 25% - 50% 36-6042865
Edward William Rabin Manager of dns venture partners, llc 1 Dec 2014 Other 6634152
Llc Udq Private Trust Company Trustee of f.l.p trust #14 1 Sep 2015 Other 47-3851173
Phillip Daniel Donohue Manager of g14 holdco, llc 1 Sep 2015 Other 6634154
Llc Dns Venture Partners Member of dns-f3c, llc 1 Nov 2015 75% - 100% 47-2191730
Edward William Rabin Manager of dns-f3c, llc 1 Nov 2015 Other 6634152
Phillip Daniel Donohue Manager of dns-f3c, llc 1 Nov 2015 Other 6634154
Edward William Rabin Manager of g14 holdco, llc 1 Jan 2016 Other 6634152
Phillip Daniel Donohue Manager of dns venture partners, llc 1 Jan 2016 Other 6634154

Based in New York

The principal office where Freedom 3 Capital, LLC performs its advisory services is located at Tower 49, New York, NY 10017, which is also the mailing address of the firm. An additional office of the firm is in Kansas City, MO. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (212) 235-2160. The normal business hours are 9:00 a.m. - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at freedomiiicapital.com.