Lion Capital (Americas) Inc. (Santa Monica)

Name: Lion Capital (Americas) Inc.
Address: 100 Wilshire Boulevard, Santa Monica, CA, 90401
Telephone: 310-800-1000

Lion Capital (Americas) Inc. is a large advisory firm based in Santa Monica. It manages $1.01 billion of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdiction of California.

Lion Capital (Americas) provides us sub advisor to non us parent undertaking. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Lion Capital (Americas): assets under management

The assets under management (AUM) of Lion Capital (Americas) Inc. is $1.01 billion. $1.01 billion of the total AUM is attributable to clients outside of the United States.

Investments

The firm invests in non-exchange traded securities the most. They account for 100% of the total AUM.

What kind of clients Jacob Richard Capps serves?

The only and largest group of clients of Jacob Richard Capps is other investment advisers with 1 clients and $1.01 billion of assets under management. Among the 8 most similar advisory firms, Lion Capital (Americas) has the highest percentage of other investment advisers out of all clients.

The amount of regulatory assets under management is $1.01 billion for 1 clients. 100% of the firm’s clients are foreign persons or businesses.

Lion Capital (Americas) doesn't advise any private funds.

Careers at Lion Capital (Americas) Inc.

The company employs 9 people that are either part- or full-time employees. 89 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.

Jacob Richard Capps has been acting as President since 1 May 2008. Arezoo Sarah Lavi joined the executive team most recently as the Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Jacob Richard Capps	President	1 May 2008	Other	2783005
Lion Capital Llp	Shareholder	1 May 2008	75% - 100%	160573
Janet Mary Dunlop	Chief operating officer	1 May 2008	Other	6025972
Patrick Kelly Mayer	Director	1 Oct 2010	Other	2463296
Eric Victor Lindberg	Director	1 Oct 2010	Other	2358175
Michael John Horton	Chief compliance officer	1 Mar 2012	Other	6025975
Paul Alexander Cooper	Chief compliance officer	1 Jan 2013	Other	6152723
Paul Alexander Cooper	Chief operating officer	1 Jun 2013	Other	6152723
Richard Sean Lewis	Chief compliance officer	1 Jun 2013	Other	6318966
Simon David Brown	Chief operating officer and director	1 Oct 2015	Other	6621167
Arezoo Sarah Lavi	Director	1 Mar 2018	Other	4774316

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Lyndon Lea	Managing partner	1 May 2008	50% - 75%	6023155

Based in Santa Monica

The principal office where Lion Capital (Americas) Inc. performs its advisory services is located at 100 Wilshire Boulevard, Santa Monica, CA 90401, 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 310-800-1000 or by fax 310-800-1111. The normal business hours are 9 am to 6 pm on Monday - Friday. You can find more information about the New York firm at lioncapital.com.