|
⚲
|
| Colliers Securities LLC
✚
|
|
|---|---|
| CRD # | 7477 |
| SEC # | 801-80233 |
| CIK # | |
| AUM | $228.9 MM (2023-03-31) |
| Employees | 146 (16% Investors, 69% Brokers) |
| Phone | 612-376-4000 |
| Address | 90 South Seventh Street Minneapolis, MN 55402-4108 |
| Source | [IAPD] [Website] [LinkedIn] |
| Total AUM ($MM) |
|---|
| Type | Form D Funds | Date | Sold ($MM) | AUM ($MM) |
|---|---|---|---|---|
| HF | Dougherty Absolute Equity Fund LLC | [2012-02-28] | 5.9 | 4.0 |
| AUM Breakdown | Accounts | AUM ($MM) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 755 | 146.8 |
| (b) Individuals (high net worth individuals) | 128 | 139.8 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 0 | 0.0 |
| (g) Pension and profit sharing plans | 0 | 1.1 |
| (h) Charitable organizations | 0 | 10.7 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 3.6 |
| (n) Other | 0 | 0.0 |
| Total | 1,176 | 302.0 |
| By Discretionary | ||
| Discretionary | 87 | 44.2 |
| Non-Discretionary | 1,089 | 257.8 |
| Total | 1,176 | 302.0 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 302.0 | |
| Total | 1,176 | 302.0 |
| Form D Directors | # Filings | # Firms | 2011 - 2024 |
|---|---|---|---|
| Mark Steen | 15 | ||
| David Juran | 20 | ||
| Greg Graves | 4 | ||
| Jeffrey Jacobson | 3 | ||
| Gerald Kraut | 2 | ||
| Dougherty & Company LLC | 1 | ||
| Robert Schnell | 1 | ||
| Vince Flynn | 1 | ||
| Kathryn Zenk | 1 |
| Comparable Firms | State | AUM ($BB) |
|---|---|---|
|
Stilwell Value LLC
✚
|
NY | 0.2 |
|
Opus Investment Management LLC
✚
|
NY | 0.2 |
|
Bishop Rock Capital LP
✚
|
NY | 0.2 |
|
Farley Capital LP
✚
|
NY | 0.2 |
|
Ayrton Capital LLC
✚
|
CT | 0.2 |
|
Greenhaven Road Investment Management LP
✚
|
CT | 0.2 |
|
ANQA Management LLC
✚
|
NY | 0.2 |
|
Eastbay Asset Management LLC
✚
|
CA | 0.2 |
|
Wynnefield Capital Inc
✚
|
NY | 0.2 |
|
Euphrates Advisors LLC
✚
|
DC | 0.2 |