Rareview Capital LLC (Stamford)

Name: Rareview Capital LLC
Address: Soundview Plaza, 1266 E. Main Street, Stamford, CT, 06902
Telephone: (203) 539-6067

Rareview Capital LLC is an investment adviser to an investment company based in Stamford. It manages $19.45 million of regulatory assets for 6 client accounts. It has been registered with the SEC as an adviser since 2016 and has operated in the jurisdiction of Connecticut.

Rareview Capital provides portfolio management for individuals and small businesses, portfolio management for investment companies, 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.

Rareview Capital: assets under management

The assets under management (AUM) of Rareview Capital LLC is $19.45 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 194440% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $19.45 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.24 million each.

Investments

The firm invests in investment and business development companies the most. They account for 81% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 19% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Rareview Capital LLC 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 Rareview Capital serves?

The firm provides services to individuals and investment companies. The largest group of clients of Rareview Capital is investment companies with 1 clients and $17.38 million of assets under management. Among the 1 most similar advisory firms, Rareview Capital has the 0th lowest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $19.45 million for 3 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Rareview Capital doesn't advise any private funds.

Careers at Rareview Capital LLC

The company employs 4 people that are either part- or full-time employees. 75 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative with the state securities authorities.

There’s a single person 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
Neil David Azous	Managing member & chief investment officer	1 Jun 2016	50% - 75%	3175639
Michael Richmond Sedacca	Member	1 Jun 2016	Other	6449067
Neil Azous Revocable Trust	Member	1 Jun 2016	50% - 75%	xxx-xx-xxxx
David Michael Panagrossi	Chief compliance officer	1 Oct 2016	Other	2317860
David Alan Hirsch	Member	1 Nov 2016	Other	6770887
Gerald Leslie Cohen	Member	1 Nov 2016	Other	1085542
Louis James Noschese	Member	1 Nov 2017	Other	846372

Based in Stamford

The principal office where Rareview Capital LLC performs its advisory services is located at Soundview Plaza, 1266 E. Main Street, Stamford, CT 06902, 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 (203) 539-6067 or by fax N/A. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at rareviewcapital.com.