1 Sharpe Capital LLC (Piedmont)

Name: 1 Sharpe Capital LLC
Address: 370 Highland Ave, Piedmont, CA, 94611
Telephone: (510) 788-5000

1 Sharpe Capital LLC is a large advisory firm based in Piedmont. It manages $924.7 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdiction of California.

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

1 Sharpe Capital: assets under management

The assets under management (AUM) of 1 Sharpe Capital LLC is $924.7 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 1411% since the beginning of its operation, and $857.78 million of the total AUM is attributable to clients outside of the United States.

The firm manages $924.7 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $462.35 million each.

1 Sharpe Capital has custody of $66.92 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay 1 Sharpe 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 1 Sharpe Capital serves?

The only and largest group of clients of 1 Sharpe Capital is pooled investment vehicles with 2 clients and $924.7 million of assets under management. Among the 8 most similar advisory firms, 1 Sharpe Capital has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $924.7 million for 2 clients. 50% of the firm’s clients are foreign persons or businesses.

1 Sharpe Capital also advises several private funds. Namely, two hedge funds. The minimum investment commitment required of non-related persons is $1,000,000 for each fund.

Careers at 1 Sharpe Capital LLC

The company employs 10 people that are either part- or full-time employees. 90 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
Gregor Watson	Managing member	1 Jun 2016	25% - 50%	6767501
Rob Allan Bloemker	Managing member	1 Jun 2016	25% - 50%	1932400
Llc Excellent Capital	Member	1 Aug 2016	25% - 50%	47-1897241
Providence Capital Llc	Member	1 Aug 2016	25% - 50%	81-3560230
Dean Insuk Shin	Chief compliance officer	1 Jun 2017	Other	2773361
Anjali Mecklai	Cco	1 Jun 2019	Other	5062419

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Simon Zhang	Managing member	1 Aug 2014	75% - 100%	6767502
Simon Zhang	Managing member	1 Aug 2016	75% - 100%	6767502

Based in Piedmont

The principal office where 1 Sharpe Capital LLC performs its advisory services is located at 370 Highland Ave, Piedmont, CA 94611, 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 (510) 788-5000. The normal business hours are 8:00am-5:00pm on Monday - Friday. You can find more information about the New York firm at 1sharpe.com and its LinkedIn profile.