Trafelet Brokaw Capital Management, L.P. (New York)

Name: Trafelet Brokaw Capital Management, L.P.
Address: 410 Park Avenue, New York, NY, 10022
Telephone: 212-201-7800

Trafelet Brokaw Capital Management, L.P. is a large advisory firm based in New York. It manages $380.02 million of regulatory assets for 7 client accounts. It has been registered with the SEC as an adviser since 2014.

Trafelet Brokaw Capital Management provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Trafelet Brokaw Capital Management: assets under management

The assets under management (AUM) of Trafelet Brokaw Capital Management, L.P. is $380.02 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -25% since the beginning of its operation, and $166.12 million of the total AUM is attributable to clients outside of the United States.

The firm manages $380.02 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $54.29 million each.

Trafelet Brokaw Capital Management has custody of $166.12 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 97% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 3% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Trafelet Brokaw Capital Management, L.P. for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Trafelet Brokaw Capital Management serves?

The only and largest group of clients of Trafelet Brokaw Capital Management is pooled investment vehicles with 4 clients and $306.91 million of assets under management. Among the 9 most similar advisory firms, Trafelet Brokaw Capital Management has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $306.91 million for 4 clients. 14% of the firm’s clients are foreign persons or businesses.

Trafelet Brokaw Capital Management also advises several private funds. Namely, one hedge fund and one private equity fund. The minimum investment commitment required of non-related persons ranges from $0 to $5,000,000.

Careers at Trafelet Brokaw Capital Management, L.P.

The company employs 8 people that are either part- or full-time employees. 88 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
Remy White Trafelet	Limited partner	1 Nov 2000	50% - 75%	5897728
Hume Richmond Steyer	Trustee of the 734 2003 trust	1 Sep 2003	Other	5897824
Llc Trafelet & Company	General partner	1 Dec 2006	Other	13-4130955
Llc Tbcm Gp	General partner	1 Dec 2006	Other	13-4130955
The 734 2003 Trust	Limited partner	1 Sep 2008	25% - 50%	26-6464529
George Rogers Brokaw	Member of 734 agriculture, llc	1 Nov 2012	Other	2360834
Remy White Trafelet	Member of 734 agriculture, llc	1 Nov 2012	25% - 50%	5897728
Trafelet 2014 Family Trust	Member of 734 agriculture, llc	1 Nov 2012	25% - 50%	38-7129236
George Rogers Brokaw	Chief compliance officer	1 Feb 2014	Other	2360834
Neal Fasone	Chief financial officer	1 Jun 2014	Other	6301096
John Cleary	Trustee of the trafelet 2014 family trust	1 Dec 2014	25% - 50%	6802821
Andrew Kent Loggia	Chief financial officer	1 Jul 2015	Other	4855842
Rcf 2018 Legacy Llc	Limited partner	1 Sep 2018	25% - 50%	xxx-xx-xxxx
Andrew Kent Loggia	Chief compliance officer	1 Nov 2018	Other	4855842

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
The 734 2003 Trust	Limited partner of trafelet brokaw capital management, l.p.	1 Sep 2003	25% - 50%	26-6464529
The Trafelet 2014 Family Trust	Member of 734 agriculture, llc	1 Nov 2012	25% - 50%	38-7129236
John James Cleary	Trustee of the trafelet 2014 family trust	1 Dec 2014	25% - 50%	6802821
Remy White Trafelet	Managing member	1 Sep 2018	75% - 100%	5897728

Based in New York

The principal office where Trafelet Brokaw Capital Management, L.P. performs its advisory services is located at 410 Park Avenue, New York, NY 10022, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-201-7800 or by fax 212-201-7801. The normal business hours are 9am -5pm on Monday - Friday. You can find more information about the New York firm at trafelet.com/.