Raffles Capital Management, LLC

RIASEC RegisteredEst. 2012

Total AUM

$270M

Discretionary

$270M

100% of AUM

Avg account

$270M

Accounts

1

Employees

2

Advisory reps

2

Firm details

Headquarters: New York, New York
CRD number: 161565
Registered since: March 14, 2012
Website: raffleslp.com
Fee structure: Percentage of AUM, Performance Based Fees
Client types: Pooled Investment Vehicles100%
Services: Portfolio Management for Pooled Investment Vehicles

Firm profile

FINTRX

Overview

Raffles Capital Management, LLC is an SEC-registered hedge fund adviser formed in 2012 that focuses on managing pooled investment vehicles for institutional clients. The firm functions as sponsor and general partner/managing member of its funds and charges a mix of percentage-of-assets and performance-based fees. It is not positioned as a multi-state adviser or an active ESG investor; its primary business activity is portfolio management for pooled vehicles rather than traditional discretionary wealth management for individuals.

Assets & Accounts

Public Holdings

Investments & Alternatives

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Contacts

2 of 2

Paul O'leary
OwnerCRD 6027893
James O'leary
PartnerCRD 6027923

Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 5

Active vs passive

$7M in ETFs

Passive

69%

$4.8M

Active

31%

$2.2M

ETF	Provider	Style	Category	Value	Shares	% of portfolio
PROSHARES TRUST ULTRA VIX SHORT TERM FUTURES (UVXY)	ProShares	Passive	Trading Miscellaneous	$3.5M	139,790	49.73%

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Primary office

New York, NY

New York

Location

New York, NY

Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area: New York-Newark, NY-NJ-CT-PA
Region: Northeast
County: New York
Address: 5 Penn Plz
Time zone: ET (UTC-5)
Office locations

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