FSI GROUP, LLC

CRD #109478 SEC #801-118286 CINCINNATI, OH 513-746-2200

SEC Registered Private Funds

Total AUM

$89.5M

Discretionary

$89.5M

Employees

Clients

Accounts

Firm Details

Organization Type: Limited Liability Company
State of Formation: Delaware
Fiscal Year End: DECEMBER
Registration Date: --
Latest Filing: Feb 21, 2020
Branch Offices: 2
LEI: 549300R9I8XXEBXS7N54

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

Name	Type	Title / Status	Ownership	Control
BASTIN, JAMES	I	CHIEF FINANCIAL OFFICER	NA	Control
BORCHERS, CASSANDRA, WAMBAUGH	I	CHIEF COMPLIANCE OFFICER	NA	Control
BORCHERS, CASSANDRA, WAMBAUGH	I	CHIEF COMPLIANCE OFFICER	NA
BORCHERS, CASSANDRA, WAMBAUGH	I	CHIEF COMPLIANCE OFFICER	NA	Control
CROOG, CHARLES, FREDERICK	I	VICE PRESIDENT, GENERAL COUNSEL	NA	Control
CROOG, CHARLES, FREDERICK	I	GENERAL COUNSEL	NA	Control
CROOG, CHARLES, FREDERICK	I	GENERAL COUNSEL	NA	Control
CROOG, CHARLES, FREDERICK	I	GENERAL COUNSEL	NA	Control
CROOG, CHARLES, FREDERICK	I	VICE PRESIDENT & GENERAL COUNSEL	NA	Control
CROOG, CHARLES, FREDERICK	I	VICE PRESIDENT, GENERAL COUNSEL	NA	Control
CROOG, CHARLES, FREDERICK	I	GENERAL COUNSEL	NA	Control
CROOG, CHARLES, FREDERICK	I	VICE PRESIDENT	NA	Control
CROOG, CHARLES, FREDERICK	I	GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	NA	Control
CROOG, CHARLES, FREDERICK	I	GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	NA	Control
CROOG, CHARLES, FREDERICK	I	GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	NA	Control
CROOG, CHARLES, FREDERICK	I	GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	NA	Control
CROOG, CHARLES, FREDERICK	I	GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	NA	Control
CROOG, CHARLES, FREDERICK	I	GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	NA	Control
CROOG, CHARLES, FREDERICK	I	GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	NA	Control
CROOG, CHARLES, FREDERICK	I	GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	NA	Control
CROOG, CHARLES, FREDERICK	I	GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	NA	Control
CROOG, CHARLES, FREDERICK	I	GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	NA	Control
CROOG, CHARLES, FREDERICK	I	GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	NA	Control
CROOG, CHARLES, FREDERICK	I	GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	NA	Control
CROOG, CHARLES, FREDERICK	I	GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	NA	Control
CROOG, CHARLES, FREDERICK	I	GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	NA	Control
NELSON, CHRISTOPHER, ALLEN	I	CHIEF COMPLIANCE OFFICER	NA	Control
NELSON, CHRISTOPHER, ALLEN	I	CHIEF COMPLIANCE OFFICER	NA	Control
NELSON, CHRISTOPHER, ALLEN	I	CHIEF COMPLIANCE OFFICER	NA	Control
PENOTE, JOHN, JEROME	I	CHIEF FINANCIAL OFFICER	NA	Control
PENOTE, JOHN, JEROME	I	CHIEF FINANCIAL OFFICER	NA	Control
PENOTE, JOHN, JEROME	I	CHIEF FINANCIAL OFFICER	NA	Control
PENOTE, JOHN, JEROME	I	CHIEF FINANCIAL OFFICER	NA	Control
PENOTE, JOHN, JEROME	I	CHIEF FINANCIAL OFFICER	NA	Control
PENOTE, JOHN, JEROME	I	CHIEF FINANCIAL OFFICER	NA	Control
PENOTE, JOHN, JEROME	I	CHIEF FINANCIAL OFFICER	NA	Control
PENOTE, JOHN, JEROME	I	CHIEF FINANCIAL OFFICER	NA	Control
PENOTE, JOHN, JEROME	I	CHIEF FINANCIAL OFFICER	NA	Control
PENOTE, JOHN, JEROME	I	CHIEF FINANCIAL OFFICER	NA	Control
PENOTE, JOHN, JEROME	I	CHIEF FINANCIAL OFFICER	NA	Control
PENOTE, JOHN, JEROME	I	CHIEF FINANCIAL OFFICER	NA	Control
PENOTE, JOHN, JEROME	I	CHIEF FINANCIAL OFFICER	NA	Control
RICCOBELLI, MONIQUE, RENE	I	MANAGING DIRECTOR & CHIEF ADMINISTRATIVE OFFICER	NA	Control
SCHULTZ, PHILIP	I	EXECUTIVE VICE PRESIDENT	NA	Control
STEIN, JOHN, MAGRISH	I	MANAGER, PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
STEIN, JOHN, MAGRISH	I	MANAGER, PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
STEIN, JOHN, MAGRISH	I	MANAGER, PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
STEIN, JOHN, MAGRISH	I	MANAGER, PRESIDENT, CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER	NA	Control
STEIN, STEVEN, NEAL	I	MANAGER, CHIEF EXECUTIVE OFFICER	NA	Control
STEIN, STEVEN, NEAL	I	MANAGER, CHIEF EXECUTIVE OFFICER	NA	Control
STEIN, STEVEN, NEAL	I	MANAGER, CHIEF EXECUTIVE OFFICER	NA	Control
STEIN, STEVEN, NEAL	I	MANAGER, CHIEF EXECUTIVE OFFICER	NA	Control
TYE, ROBERT, DOWELL	I	VICE PRESIDENT, DIRECTOR OF MARKETING	NA	Control
VIDINLI, NEDRET, ENGIN	I	VICE PRESIDENT AND SENIOR ANALYST	NA	Control
STEIN, STEVEN, NEAL	I	CHAIRMAN & CEO	D	Control
STEIN, STEVEN, NEAL	I	CHAIRMAN & CEO	D	Control
5217 EL, INC.	DE	MEMBER	C	Control
5217 EL, INC.	DE	MEMBER	C	Control
5217 EL, INC.	DE	MEMBER	C	Control
5217 EL, INC.	DE	MEMBER	C	Control
STEIN, JOHN, MAGRISH	I	PRESIDENT, CHIEF OPERATING OFFICER	C	Control
STEIN, JOHN, MAGRISH	I	MEMBER, ELECTED MANAGER, PRESIDENT & CHIEF OPERATING OFFICER	C	Control
STEIN, JOHN, MAGRISH	I	PRESIDENT, CHIEF OPERATING OFFICER	C	Control
STEIN, JOHN, MAGRISH	I	PRESIDENT, CHIEF OPERATING OFFICER	C	Control
STEIN, JOHN, MAGRISH	I	PRESIDENT, CHIEF OPERATING OFFICER	C	Control
STEIN, JOHN, MAGRISH	I	MEMBER, ELECTED MANAGER, PRESIDENT & CHIEF OPERATING OFFICER	C	Control
STEIN, JOHN, MAGRISH	I	MEMBER, ELECTED MANAGER, PRESIDENT & CHIEF OPERATING OFFICER	C	Control
STEIN, JOHN, MAGRISH	I	MEMBER, ELECTED MANAGER, PRESIDENT & CHIEF OPERATING OFFICER	C	Control
STEIN, JOHN, MAGRISH	I	MEMBER, ELECTED MANAGER, PRESIDENT & CHIEF OPERATING OFFICER	C	Control
STEIN, JOHN, MAGRISH	I	MEMBER, ELECTED MANAGER, PRESIDENT & CHIEF OPERATING OFFICER	C	Control
STEIN, JOHN, MAGRISH	I	MEMBER, ELECTED MANAGER, PRESIDENT & CHIEF OPERATING OFFICER	C	Control
STEIN, JOHN, MAGRISH	I	MEMBER, ELECTED MANAGER, PRESIDENT & CHIEF OPERATING OFFICER	C	Control
STEIN, JOHN, MAGRISH	I	MEMBER, ELECTED MANAGER, PRESIDENT & CHIEF OPERATING OFFICER	C	Control
STEIN, JOHN, MAGRISH	I	MEMBER, MANAGER, PRESIDENT & CHIEF OPERATING OFFICER	C	Control
STEIN, JOHN, MAGRISH	I	MEMBER, MANAGER, PRESIDENT & CHIEF OPERATING OFFICER	C	Control
STEIN, JOHN, MAGRISH	I	MEMBER, MANAGER, PRESIDENT & CHIEF OPERATING OFFICER	C	Control
STEIN, JOHN, MAGRISH	I	MEMBER, MANAGER, PRESIDENT & CHIEF OPERATING OFFICER	C	Control
STEIN, STEVEN, NEAL	I	MEMBER, ELECTED MANAGER, CHAIRMAN & CEO	C	Control
STEIN, STEVEN, NEAL	I	CHAIRMAN & CEO	C	Control
STEIN, STEVEN, NEAL	I	CHAIRMAN & CEO	C	Control
STEIN, STEVEN, NEAL	I	CHAIRMAN & CEO	C	Control
STEIN, STEVEN, NEAL	I	MEMBER, ELECTED MANAGER, CHAIRMAN & CEO	C	Control
STEIN, STEVEN, NEAL	I	CHAIRMAN & CEO	C	Control
STEIN, STEVEN, NEAL	I	MEMBER, ELECTED MANAGER, CHAIRMAN & CEO	C	Control
STEIN, STEVEN, NEAL	I	MEMBER, ELECTED MANAGER, CHAIRMAN & CEO	C	Control
STEIN, STEVEN, NEAL	I	MEMBER, ELECTED MANAGER, CHAIRMAN & CEO	C	Control
STEIN, STEVEN, NEAL	I	MEMBER, ELECTED MANAGER, CHAIRMAN & CEO	C	Control
STEIN, STEVEN, NEAL	I	MEMBER, ELECTED MANAGER, CHAIRMAN & CEO	C	Control
STEIN, STEVEN, NEAL	I	MEMBER, ELECTED MANAGER, CHAIRMAN & CEO	C	Control
STEIN, STEVEN, NEAL	I	MEMBER, ELECTED MANAGER, CHAIRMAN & CEO	C	Control
STEIN, STEVEN, NEAL	I	MEMBER, MANAGER, CHAIRMAN & CEO	C	Control
STEIN, STEVEN, NEAL	I	MEMBER, MANAGER, CHAIRMAN & CEO	C	Control
STEIN, STEVEN, NEAL	I	MEMBER, MANAGER, CHAIRMAN & CEO	C	Control
STEIN, STEVEN, NEAL	I	MEMBER, MANAGER, CHAIRMAN & CEO	C	Control
WARM, ALEXANDER, DAVID	I	DIRECTOR	C	Control
WARM, ALEXANDER, DAVID	I	DIRECTOR	C	Control
WINTHROP & VALENTINE, INC.	DE	MEMBER	C	Control
WINTHROP & VALENTINE, INC.	DE	MEMBER	C	Control
WINTHROP & VALENTINE, INC.	DE	MEMBER	C	Control
WINTHROP & VALENTINE, INC.	DE	MEMBER	C	Control
FSI GROUP HOLDINGS, INC.	DE	MEMBER	B
FSI GROUP HOLDINGS, INC.	DE	MEMBER	B
FSI GROUP HOLDINGS, INC.	DE	MEMBER	B
FSI GROUP HOLDINGS, INC.	DE	MEMBER	B
FSI GROUP HOLDINGS, INC.	DE	MEMBER	B
FSI GROUP HOLDINGS, INC.	DE	MEMBER	B
FSI GROUP HOLDINGS, INC.	DE	MEMBER	B
FSI GROUP HOLDINGS, INC.	DE	MEMBER	B
FSI GROUP HOLDINGS, INC.	DE	MEMBER	B
FSI GROUP HOLDINGS, INC.	DE	MEMBER	B
FSI GROUP HOLDINGS, INC.	DE	MEMBER	B
FSI GROUP HOLDINGS, INC.	DE	MEMBER	B
FSI GROUP HOLDINGS, INC.	DE	MEMBER	B
FSI GROUP HOLDINGS, INC.	DE	MEMBER	B
FSI GROUP HOLDINGS, INC.	DE	MEMBER	B
FSI GROUP HOLDINGS, INC.	DE	MEMBER	B
FSI GROUP HOLDINGS, INC.	DE	MEMBER	B
FSI GROUP HOLDINGS, LLC	DE	OWNER	B
FSI GROUP HOLDINGS, LLC	DE	OWNER	B
STEIN, JOHN, MAGRISH	I	PRESIDENT	B	Control
STEIN, JOHN, MAGRISH	I	PRESIDENT	B	Control
VIGRAN, STANLEY	I	DIRECTOR	B	Control
VIGRAN, STANLEY	I	DIRECTOR	B	Control
WARM, ALEXANDER, DAVID	I	DIRECTOR	B	Control
WARM, ALEXANDER, DAVID	I	DIRECTOR	B	Control
SCHULTZ, PHILIP	I	EXECUTIVE VICE PRESIDENT	A	Control

Indirect Owners (Schedule B)

Name	Type	Entity	Ownership	Control
STEIN, JOHN, MAGRISH	I	WINTHROP & VALENTINE, INC.	E	Control
STEIN, JOHN, MAGRISH	I	WINTHROP & VALENTINE, INC.	E	Control
STEIN, JOHN, MAGRISH	I	WINTHROP & VALENTINE, INC.	E	Control
STEIN, JOHN, MAGRISH	I	WINTHROP & VALENTINE, INC.	E	Control
STEIN, STEVEN, NEAL	I	5217 EL, INC.	E	Control
STEIN, STEVEN, NEAL	I	5217 EL, INC.	E	Control
STEIN, STEVEN, NEAL	I	5217 EL, INC.	E	Control
STEIN, STEVEN, NEAL	I	5217 EL, INC.	E	Control
STEIN, STEVEN, NEAL	I	FSI GROUP HOLDINGS, INC.	D	Control
STEIN, STEVEN, NEAL	I	FSI GROUP HOLDINGS, INC.	D	Control
STEIN, STEVEN, NEAL	I	FSI GROUP HOLDINGS, INC.	D	Control
STEIN, STEVEN, NEAL	I	FSI GROUP HOLDINGS, INC.	D	Control
STEIN, STEVEN, NEAL	I	FSI GROUP HOLDINGS, INC.	D	Control
STEIN, STEVEN, NEAL	I	FSI GROUP HOLDINGS, INC.	D	Control
STEIN, STEVEN, NEAL	I	FSI GROUP HOLDINGS, INC.	D	Control
STEIN, STEVEN, NEAL	I	FSI GROUP HOLDINGS, INC.	D	Control
STEIN, STEVEN, NEAL	I	FSI GROUP HOLDINGS, INC.	D	Control
STEIN, STEVEN, NEAL	I	FSI GROUP HOLDINGS, INC.	D	Control
STEIN, STEVEN, NEAL	I	FSI GROUP HOLDINGS, INC.	D	Control
STEIN, STEVEN, NEAL	I	FSI GROUP HOLDINGS, INC.	D	Control
STEIN, STEVEN, NEAL	I	FSI GROUP HOLDINGS, INC.	D	Control
STEIN, STEVEN, NEAL	I	FSI GROUP HOLDINGS, INC.	D	Control
STEIN, STEVEN, NEAL	I	FSI GROUP HOLDINGS, INC.	D	Control
STEIN, STEVEN, NEAL	I	FSI GROUP HOLDINGS, INC.	D	Control
STEIN, STEVEN, NEAL	I	FSI GROUP HOLDINGS, INC.	D	Control
STEIN, STEVEN, NEAL	I	FSI GROUP HOLDINGS, INC.	D	Control
STEIN, STEVEN, NEAL	I	FSI GROUP HOLDINGS, INC.	D	Control
STEIN, JOHN, MAGRISH	I	FSI GROUP HOLDINGS, INC.	C	Control
STEIN, JOHN, MAGRISH	I	FSI GROUP HOLDINGS, INC.	C	Control
STEIN, JOHN, MAGRISH	I	FSI GROUP HOLDINGS, INC.	C	Control
STEIN, JOHN, MAGRISH	I	FSI GROUP HOLDINGS, INC.	C	Control
STEIN, JOHN, MAGRISH	I	FSI GROUP HOLDINGS, INC.	C	Control
STEIN, JOHN, MAGRISH	I	FSI GROUP HOLDINGS, INC.	C	Control
STEIN, JOHN, MAGRISH	I	FSI GROUP HOLDINGS, INC.	C	Control
STEIN, JOHN, MAGRISH	I	FSI GROUP HOLDINGS, INC.	C	Control
STEIN, JOHN, MAGRISH	I	FSI GROUP HOLDINGS, INC.	C	Control
STEIN, JOHN, MAGRISH	I	FSI GROUP HOLDINGS, INC.	C	Control
STEIN, JOHN, MAGRISH	I	FSI GROUP HOLDINGS, INC.	C	Control
STEIN, JOHN, MAGRISH	I	FSI GROUP HOLDINGS, INC.	C	Control
STEIN, JOHN, MAGRISH	I	FSI GROUP HOLDINGS, INC.	C	Control
STEIN, JOHN, MAGRISH	I	FSI GROUP HOLDINGS, INC.	C	Control
STEIN, JOHN, MAGRISH	I	FSI GROUP HOLDINGS, INC.	C	Control
STEIN, JOHN, MAGRISH	I	FSI GROUP HOLDINGS, INC.	C	Control
STEIN, JOHN, MAGRISH	I	FSI GROUP HOLDINGS, INC.	C	Control
STEIN, JOHN, MAGRISH	I	FSI GROUP HOLDINGS, INC.	C	Control
STEIN, JOHN, MAGRISH	I	FSI GROUP HOLDINGS, INC.	C	Control
WARM, ALEXANDER, DAVID	I	FSI GROUP HOLDINGS, INC.	C	Control
WARM, ALEXANDER, DAVID	I	FSI GROUP HOLDINGS, INC.	C	Control
WARM, ALEXANDER, DAVID	I	FSI GROUP HOLDINGS, INC.	C	Control
WARM, ALEXANDER, DAVID	I	FSI GROUP HOLDINGS, INC.	C	Control
WARM, ALEXANDER, DAVID	I	FSI GROUP HOLDINGS, INC.	C	Control
WARM, ALEXANDER, DAVID	I	FSI GROUP HOLDINGS, INC.	C	Control
WARM, ALEXANDER, DAVID	I	FSI GROUP HOLDINGS, INC.	C	Control
WARM, ALEXANDER, DAVID	I	FSI GROUP HOLDINGS, INC.	C	Control
WARM, ALEXANDER, DAVID	I	FSI GROUP HOLDINGS, INC.	C	Control
WARM, ALEXANDER, DAVID	I	FSI GROUP HOLDINGS, INC.	C	Control
WARM, ALEXANDER, DAVID	I	FSI GROUP HOLDINGS, INC.	C	Control
WARM, ALEXANDER, DAVID	I	FSI GROUP HOLDINGS, INC.	C	Control
WARM, ALEXANDER, DAVID	I	FSI GROUP HOLDINGS, INC.	C	Control
WARM, ALEXANDER, DAVID	I	FSI GROUP HOLDINGS, INC.	C	Control
WARM, ALEXANDER, DAVID	I	FSI GROUP HOLDINGS, INC.	C	Control
WARM, ALEXANDER, DAVID	I	FSI GROUP HOLDINGS, INC.	C	Control
WARM, ALEXANDER, DAVID	I	FSI GROUP HOLDINGS, INC.	C	Control

Registrations

Federal

Feb 21, 2020 REGISTERED

Notice Filings (1)

Address

441 VINE STREET
SUITE 1300
CINCINNATI, OH 45202
United States

Phone: 513-746-2200