SHOTT CAPITAL MANAGEMENT, LLC

CRD #128440 SEC #801-62348 SAN FRANCISCO, CA 415-394-7271

SEC Registered Private Funds

Total AUM

$1.4B

Discretionary

$1.4B

Employees

Clients

Accounts

Firm Details

Organization Type: Limited Liability Company
State of Formation: Delaware
Fiscal Year End: DECEMBER
Registration Date: --
Latest Filing: Apr 17, 2012
Branch Offices: --

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

Name	Type	Title / Status	Ownership	Control
BERRY, RODERICK, ROBERT	I	MANAGING DIRECTOR	NA	Control
BERRY, RODERICK, ROBERT	I	MANAGING DIRECTOR	NA	Control
BERRY, RODERICK, ROBERT	I	MANAGING DIRECTOR	NA	Control
BERRY, RODERICK, ROBERT	I	MANAGING DIRECTOR	NA	Control
BERRY, RODERICK, ROBERT	I	MANAGING DIRECTOR	NA	Control
BRENNER, STACEY, TAYLOR	I	MANAGING DIRECTOR	NA
BRENNER, STACEY, TAYLOR	I	MANAGING DIRECTOR	NA
BRENNER, STACEY, TAYLOR	I	MANAGING DIRECTOR	NA
CHAI, ALAN	I	MANAGING DIRECTOR	NA
CHAI, ALAN	I	MANAGING DIRECTOR	NA
CHAI, ALAN	I	MANAGING DIRECTOR	NA
CHASE, JARED, ALVAH	I	DIRECTOR	NA	Control
CHASE, JARED, ALVAH	I	DIRECTOR	NA	Control
CHASE, JARED, ALVAH	I	DIRECTOR	NA	Control
CHASE, JARED, ALVAH	I	DIRECTOR	NA	Control
CHASE, JARED, ALVAH	I	DIRECTOR	NA	Control
HOLLAND, GLEN, MICHAEL	I	MANAGING DIRECTOR	NA	Control
HOLLAND, GLEN, MICHAEL	I	MANAGING DIRECTOR	NA	Control
HOLLAND, GLEN, MICHAEL	I	MANAGING DIRECTOR	NA	Control
HOLLAND, GLEN, MICHAEL	I	MANAGING DIRECTOR	NA	Control
HOLLAND, GLEN, MICHAEL	I	MANAGING DIRECTOR	NA	Control
JOHNSON, SHAWN, C.D.	I	DIRECTOR	NA	Control
JOHNSON, SHAWN, C.D.	I	DIRECTOR	NA	Control
JOHNSON, SHAWN, C.D.	I	DIRECTOR	NA	Control
JOHNSON, SHAWN, C.D.	I	DIRECTOR	NA	Control
MARSHALL, STEPHEN, HATHAWAY	I	DIRECTOR	NA	Control
MARSHALL, STEPHEN, HATHAWAY	I	DIRECTOR	NA	Control
MARSHALL, STEPHEN, HATHAWAY	I	DIRECTOR	NA	Control
MARSHALL, STEPHEN, HATHAWAY	I	DIRECTOR	NA	Control
MARSHALL, STEPHEN, HATHAWAY	I	DIRECTOR	NA	Control
MINUTOLI, STEPHEN, PAUL	I	MANAGING DIRECTOR	NA	Control
MINUTOLI, STEPHEN, PAUL	I	MANAGING DIRECTOR	NA	Control
MINUTOLI, STEPHEN, PAUL	I	MANAGING DIRECTOR	NA	Control
MINUTOLI, STEPHEN, PAUL	I	MANAGING DIRECTOR	NA	Control
MINUTOLI, STEPHEN, PAUL	I	MANAGING DIRECTOR	NA	Control
O'DONNELL, JULIE, ELIZABETH	I	MANAGING DIRECTOR	NA
O'DONNELL, JULIE, ELIZABETH	I	MANAGING DIRECTOR	NA
O'DONNELL, JULIE, ELIZABETH	I	MANAGING DIRECTOR	NA	Control
O'DONNELL, JULIE, ELIZABETH	I	MANAGING DIRECTOR	NA	Control
O'DONNELL, JULIE, ELIZABETH	I	MANAGING DIRECTOR	NA
O'DONNELL, JULIE, ELIZABETH	I	MANAGING DIRECTOR	NA
O'DONNELL, JULIE, ELIZABETH	I	MANAGING DIRECTOR	NA
O'DONNELL, JULIE, ELIZABETH	I	RETIRED	NA
REESE, PAUL, ANTHONY	I	SENIOR MANAGING DIRECTOR	NA	Control
REESE, PAUL, ANTHONY	I	SENIOR MANAGING DIRECTOR	NA	Control
REESE, PAUL, ANTHONY	I	SENIOR MANAGING DIRECTOR	NA	Control
REESE, PAUL, ANTHONY	I	SENIOR MANAGING DIRECTOR	NA	Control
REESE, PAUL, ANTHONY	I	SENIOR MANAGING DIRECTOR	NA	Control
SHOTT, GEORGE, BURTON	I	PRESIDENT AND CHIEF EXECUTIVE OFFICER	NA	Control
SHOTT, GEORGE, BURTON	I	PRESIDENT AND CHIEF EXECUTIVE OFFICER	NA	Control
SHOTT, GEORGE, BURTON	I	RETIRED	NA	Control
SHOTT, GEORGE, BURTON	I	PRESIDENT AND CHIEF EXECUTIVE OFFICER	NA	Control
SHOTT, GEORGE, BURTON	I	PRESIDENT AND CHIEF EXECUTIVE OFFICER	NA	Control
SHOTT, GEORGE, BURTON	I	PRESIDENT AND CHIEF EXECUTIVE OFFICER	NA	Control
THE GEORGE B. & MARY LOU SHOTT TRUST	DE	TRUSTEE	NA
THE GEORGE B. & MARY LOU SHOTT TRUST	DE	TRUSTEE	NA
WOZNIAK, PAUL	I	CHIEF FINANCIAL OFFICER & CHIEF COMPLIANCE OFFICER	NA
WOZNIAK, PAUL	I	CHIEF FINANCIAL OFFICER & CHIEF COMPLIANCE OFFICER	NA
WOZNIAK, PAUL	I	CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR	NA	Control
WOZNIAK, PAUL	I	CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR	NA	Control
WOZNIAK, PAUL	I	CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR	NA	Control
WOZNIAK, PAUL	I	CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR	NA	Control
WOZNIAK, PAUL	I	CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR	NA	Control
STATE STREET GLOBAL ALLIANCE, LLC, A SUBSIDIARY OF STATE STREET CORPORATION	DE	MEMBER	E	Control
STATE STREET GLOBAL ALLIANCE, LLC, A SUBSIDIARY OF STATE STREET CORPORATION	DE	MEMBER	E	Control
STATE STREET GLOBAL ALLIANCE, LLC, A SUBSIDIARY OF STATE STREET CORPORATION	DE	MEMBER	E	Control
STATE STREET GLOBAL ALLIANCE, LLC, A SUBSIDIARY OF STATE STREET CORPORATION	DE	MEMBER	E	Control
STATE STREET GLOBAL ALLIANCE, LLC, A SUBSIDIARY OF STATE STREET CORPORATION	DE	MEMBER	E	Control
STATE STREET GLOBAL ALLIANCE, LLC, A SUBSIDIARY OF STATE STREET CORPORATION	DE	MEMBER	E	Control
STATE STREET GLOBAL ALLIANCE, LLC, A SUBSIDIARY OF STATE STREET CORPORATION	DE	MEMBER	E	Control
STATE STREET GLOBAL ALLIANCE, LLC, A SUBSIDIARY OF STATE STREET CORPORATION	DE	MEMBER	E	Control
STATE STREET GLOBAL ALLIANCE, LLC, A SUBSIDIARY OF STATE STREET CORPORATION	DE	MEMBER	E	Control
STATE STREET GLOBAL ALLIANCE, LLC, A SUBSIDIARY OF STATE STREET CORPORATION	DE	MEMBER	E	Control
CAPITAL ALLIANCE PARTNERS, LLC	DE	MEMBER	C	Control
CAPITAL ALLIANCE PARTNERS, LLC	DE	MEMBER	C	Control
CAPITAL ALLIANCE PARTNERS, LLC	DE	MEMBER	C	Control
CAPITAL ALLIANCE PARTNERS, LLC	DE	MEMBER	C	Control
CAPITAL ALLIANCE PARTNERS, LLC	DE	MEMBER	C	Control
CAPITAL ALLIANCE PARTNERS, LLC	DE	MEMBER	C	Control
CAPITAL ALLIANCE PARTNERS, LLC	DE	MEMBER	C	Control
CAPITAL ALLIANCE PARTNERS, LLC	DE	MEMBER	C	Control
CAPITAL ALLIANCE PARTNERS, LLC	DE	MEMBER	C	Control
CAPITAL ALLIANCE PARTNERS, LLC	DE	MEMBER	C	Control

Indirect Owners (Schedule B)

Name	Type	Entity	Ownership	Control
ABP	FE	LIMETREE INVESTMENTS, INC	E	Control
ABP	FE	LIMETREE INVESTMENTS, INC	E	Control
ABP	FE	LIMETREE INVESTMENTS, INC	E	Control
ABP	FE	LIMETREE INVESTMENTS, INC	E	Control
ABP	FE	LIMETREE INVESTMENTS, INC	E	Control
ABP	FE	LIMETREE INVESTMENTS, INC	E	Control
ABP	FE	LIMETREE INVESTMENTS, INC	E	Control
ABP	FE	LIMETREE INVESTMENTS, INC	E	Control
STATE STREET CORPORATION	DE	STATE STREET GLOBAL ADVISORS, INC.	E	Control
STATE STREET CORPORATION	DE	STATE STREET GLOBAL ADVISORS, INC.	E	Control
STATE STREET CORPORATION	DE	STATE STREET GLOBAL ADVISORS, INC.	E	Control
STATE STREET CORPORATION	DE	STATE STREET GLOBAL ADVISORS, INC.	E	Control
STATE STREET CORPORATION	DE	STATE STREET GLOBAL ADVISORS, INC.	E	Control
STATE STREET CORPORATION	DE	STATE STREET GLOBAL ADVISORS, INC.	E	Control
STATE STREET CORPORATION	DE	STATE STREET GLOBAL ADVISORS, INC.	E	Control
STATE STREET CORPORATION	DE	STATE STREET GLOBAL ADVISORS, INC.	E	Control
STATE STREET CORPORATION	DE	STATE STREET GLOBAL ADVISORS, INC.	E	Control
STATE STREET CORPORATION	DE	STATE STREET GLOBAL ADVISORS, INC.	E	Control
STATE STREET GLOBAL ADVISORS, INC	DE	STATE STREET GLOBAL ALLIANCE, LLC	E	Control
STATE STREET GLOBAL ADVISORS, INC	DE	STATE STREET GLOBAL ALLIANCE, LLC	E	Control
STICHING PENSION FUNDS ABP	FE	LIMETREE INVESTMENTS, INC	E	Control
STICHING PENSION FUNDS ABP	FE	LIMETREE INVESTMENTS, INC	E	Control
STATE STREET GLOBAL ADVISORS, INC	DE	STATE STREET GLOBAL ALLIANCE, LLC	D	Control
STATE STREET GLOBAL ADVISORS, INC	DE	STATE STREET GLOBAL ALLIANCE, LLC	D	Control
STATE STREET GLOBAL ADVISORS, INC	DE	STATE STREET GLOBAL ALLIANCE, LLC	D	Control
STATE STREET GLOBAL ADVISORS, INC	DE	STATE STREET GLOBAL ALLIANCE, LLC	D	Control
STATE STREET GLOBAL ADVISORS, INC	DE	STATE STREET GLOBAL ALLIANCE, LLC	D	Control
STATE STREET GLOBAL ADVISORS, INC	DE	STATE STREET GLOBAL ALLIANCE, LLC	D	Control
STATE STREET GLOBAL ADVISORS, INC	DE	STATE STREET GLOBAL ALLIANCE, LLC	D	Control
STATE STREET GLOBAL ADVISORS, INC	DE	STATE STREET GLOBAL ALLIANCE, LLC	D	Control
LIMETREE INVESTMENTS, INC	DE	STATE STREET GLOBAL ALLIANCE, LLC	C	Control
LIMETREE INVESTMENTS, INC	DE	STATE STREET GLOBAL ALLIANCE, LLC	C	Control
LIMETREE INVESTMENTS, INC	DE	STATE STREET GLOBAL ALLIANCE, LLC	C	Control
LIMETREE INVESTMENTS, INC	DE	STATE STREET GLOBAL ALLIANCE, LLC	C	Control
LIMETREE INVESTMENTS, INC	DE	STATE STREET GLOBAL ALLIANCE, LLC	C	Control
LIMETREE INVESTMENTS, INC	DE	STATE STREET GLOBAL ALLIANCE, LLC	C	Control
LIMETREE INVESTMENTS, INC	DE	STATE STREET GLOBAL ALLIANCE, LLC	C	Control
LIMETREE INVESTMENTS, INC	DE	STATE STREET GLOBAL ALLIANCE, LLC	C	Control
LIMETREE INVESTMENTS, INC	DE	STATE STREET GLOBAL ALLIANCE, LLC	C	Control
LIMETREE INVESTMENTS, INC	DE	STATE STREET GLOBAL ALLIANCE, LLC	C	Control

Registrations

Federal

Apr 17, 2012 REGISTERED

Notice Filings (2)

CA MA

Address

601 CALIFORNIA STREET
SUITE 801
SAN FRANCISCO, CA 94108
United States

Phone: 415-394-7271