The LIVIAN & CO. is a privately held investment adviser that advises $216.6mn in regulatory assets under management held in 2 SEC fund types across 3 investment strategies. LIVIAN & CO. is a Retail Wealth A retail wealth manager is a manager whose >=75% of total assets under management are managed for individual investors through retail advisory or brokerage channels. Manager. Assets increased by 22.1% over the last 5-years.
The Group has been registered with the SEC for 15.76 years and is comprised of 2 filing and 0 relying advisers. They operate out of 1 office location with their Headquarters at 450 7TH AVENUE SUITE 801, NEW YORK, NY. The Group has not been subject to regulatory enforcement actions. They are regulated by 1 US and Non-US bodies.
They have 7 employees comprised of 5 investment and 2 non-investment staff. The total number of Employees remained the same over the last few years.
Their $216.6mn in assets advised are owned by 3 private funds, 0 public funds and BDCs and 20 other accounts. Assets of High Net Worth Individuals clients own $158.82mn or 73.33% of Total Assets and Corporations or Other Businesses own $46.5mn or 21.47% of Total Assets.
The Group's top investment strategies include Long/Short Equity, Early Stage and FI/Credit - Diverse, representing 52.79%, 27.46% and 19.75% of total assets, respectively.
They advise 3 types of clients, top clients are High Net Worth Individuals and Corporations or Other Businesses.
The Group uses 2 Fund Administrators, 1 Fund Auditors, 1 Prime Brokers, 1 Custodians and 0 Marketers. It does not report a third-party Fund Administrator in 0 private funds with $0 in assets.
The Group discloses advisory fees, management fees and performance-based fees.
LIVIAN & CO. names 0 sub-advisers to 0 different funds advised by the group. The Group has been named as the sub-adviser to 0 funds.
They have a MEDIUM-WATCH risk business model that requires a high degree of process maturity to manage operational risk. A Manager Group has a "High Complexity" when 25% or more of 63 business conditions measured require a high level of process maturity to manage the risk. The "Watch" suffix indicates that one or more of the following business conditions carry a high-complexity score: 1) % Fund Assets Valued Internally, 2) prior Regulatory Violations, 3) Unqualified Audits, 4) Multi-Functional C-Suite and 5) Business Concentration Risk with an Auditor or Administrator.
In LIVIAN & CO.'s case, they have 13 business conditions that require high process maturity and 2 Watch Factors.