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| Adalta Capital Management LLC
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|---|---|
| CRD # | 283771 |
| SEC # | 801-107823 |
| CIK # | 0001698926 |
| AUM | $305.5 M (2026-03-31) |
| Employees | 3 (100% Investors, 0% Brokers) |
| Phone | 212-832-5135 |
| Address | 445 Park Avenue New York, NY 10022 |
| Source | [IAPD] [EDGAR] [Website] |
| Total AUM ($M) |
|---|
| CIK | Period |
|---|---|
| 0001698926 |
| Sector | Form 13F Holdings | Value ($M) | |
|---|---|---|---|
| Microsoft Corp | 14.6 | ||
| J P Morgan Chase & Co | 14.0 | ||
| Alphabet Inc | 11.0 | ||
| Merck & Co Inc | 10.7 | ||
| Brookfield Asset Management Inc | 10.7 | ||
| Blackstone Group LP | 10.0 | ||
| Home Depot Inc | 9.6 | ||
| Union Pacific Corp | 8.2 | ||
| Qualcomm Inc/DE | 6.9 | ||
| PhenixFIN Corp | 6.9 | ||
| American Express Co | 6.8 | ||
| Guardant Health Inc | 5.7 | ||
| Markel Corp | 5.3 | ||
| Arch Capital Group Ltd | 5.2 | ||
| MercadoLibre Inc | 4.6 | ||
| Weyerhaeuser Co | 4.3 | ||
| Johnson & Johnson | 4.2 | ||
| Alphabet Inc | 3.6 | ||
| Franco Nevada Corp | 3.4 | ||
| Southern Co | 3.2 | ||
| Duke Energy Corp | 2.9 | ||
| Nu Holdings Ltd | 2.5 | ||
| Cisco Systems Inc | 2.4 | ||
| Schlumberger Ltd /NV/ | 2.3 | ||
| Babcock & Wilcox Co | 2.2 | ||
| Apple Inc | 1.9 | ||
| Chevron Corp | 1.9 | ||
| Danaher Corp /DE/ | 1.7 | ||
| Coupang Inc | 1.7 | ||
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| Type | Form D Funds | Date | Sold ($M) | AUM ($M) |
|---|---|---|---|---|
| PE | Fund 5 | 2023-04-01 | 0.2 | |
| PE | Fund 6 | 2023-04-01 | 0.7 | |
| PE | Fund 2 | [2022-04-05] | 0.9 | 0.9 |
| PE | Fund 3 | [2022-04-05] | 0.5 | 0.5 |
| PE | Fund 4 | 2022-04-05 | 0.2 | |
| PE | Private Fund 2 | [2020-05-22] | 3.1 | 2.6 |
| PE | Fund 1 | [2018-04-06] | 1.9 | 2.4 |
| AUM Breakdown | Accounts | AUM ($M) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 20 | 6.9 |
| (b) Individuals (high net worth individuals) | 53 | 250.6 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 1 | 0.7 |
| (g) Pension and profit sharing plans | 0 | 1.8 |
| (h) Charitable organizations | 0 | 37.7 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 7.9 |
| (n) Other | 0 | 0.0 |
| Total | 193 | 305.5 |
| By Discretionary | ||
| Discretionary | 188 | 302.9 |
| Non-Discretionary | 5 | 2.7 |
| Total | 193 | 305.5 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 305.5 | |
| Total | 193 | 305.5 |
| Form D Directors | Role | # Filings | # Firms | 2011 - 2026 |
|---|---|---|---|---|
| Richard Thoms | 7166 | 142 | ||
| Assure Fund Management II | 6187 | 141 | ||
| Jeremy Neilson | 6656 | 99 | ||
| Navin Thukkaram | 7 | 2 | ||
| David Rappa | 5 | 2 | ||
| Zoe Vlachos | 4 | 2 | ||
| Adalta Capital Management LLC | 4 | 2 |
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 13F-HR | [0001698926] | |
| SC 13G | [0001698926] |
| Form 13D/13G Filer | Form 13D/13G Subject | Filed |
|---|---|---|
| Adalta Capital Management LLC | PhenixFIN Corp | [2023-02-13] |
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