AEQUITAS INVESTMENT MANAGEMENT, LLC
CRD #143780 SEC #801-68039 LAKE OSWEGO, OR 503-419-3500
SEC Registered Private Funds
Total AUM
$128.5M
Discretionary
$128.5M
Employees
11
Clients
0
Accounts
11
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Oregon
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jul 30, 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 |
|---|---|---|---|---|
| BRASCH, WARREN, L | I | ASSISTANT SECRETARY | NA | Control |
| BROWN, BRETT, MICHAEL | I | SENIOR VICE PRESIDENT, BUSINESS OPERATIONS | NA | Control |
| BROWN, PATRICIA, JEAN | I | SENIOR VICE PRESIDENT, FINANCE | NA | |
| BROWN, PATRICIA, JEAN | I | SENIOR VICE PRESIDENT, FINANCE | NA | |
| BROWN, PATRICIA, JEAN | I | SENIOR VICE PRESIDENT, FINANCE | NA | |
| BROWN, PATRICIA, JEAN | I | SENIOR VICE PRESIDENT, FINANCE | NA | |
| BROWN, PATRICIA, JEAN | I | CHIEF ACCOUNTING OFFICER | NA | |
| BROWN, PATRICIA, JEAN | I | CHIEF ACCOUNTING OFFICER | NA | |
| BROWN, PATRICIA, JEAN | I | CHIEF ACCOUNTING OFFICER | NA | |
| BROWN, PATRICIA, JEAN | I | CHIEF ACCOUNTING OFFICER | NA | |
| BROWN, PATRICIA, JEAN | I | CHIEF ACCOUNTING OFFICER | NA | |
| BROWN, PATRICIA, JEAN | I | CHIEF ACCOUNTING OFFICER | NA | |
| CRAIG, ANDREW, S | I | GENERAL COUNSEL | NA | |
| CRAIG, ANDREW, S | I | GENERAL COUNSEL | NA | |
| CRAIG, ANDREW, S | I | GENERAL COUNSEL | NA | |
| CRAIG, ANDREW, S | I | GENERAL COUNSEL | NA | |
| CRAIG, ANDREW, S | I | GENERAL COUNSEL | NA | |
| CRAIG, ANDREW, S | I | GENERAL COUNSEL | NA | |
| CRAIG, ANDREW, S | I | GENERAL COUNSEL | NA | |
| CRAIG, ANDREW, S | I | GENERAL COUNSEL | NA | |
| CRAIG, ANDREW, S | I | GENERAL COUNSEL | NA | |
| CRAIG, ANDREW, S | I | ASSISTANT SECRETARY | NA | Control |
| CRAIG, ANDREW, S | I | GENERAL COUNSEL | NA | |
| CRAIG, ANDREW, S | I | GENERAL COUNSEL | NA | |
| CRAIG, ANDREW, S | I | GENERAL COUNSEL | NA | |
| CRAIG, ANDREW, S | I | GENERAL COUNSEL | NA | |
| CRAIG, ANDREW, S | I | GENERAL COUNSEL | NA | |
| FROUDE, CRAIG, JAY | I | MANAGING PRINCIPAL AND EXECUTIVE VICE PRESIDENT | NA | Control |
| FROUDE, CRAIG, JAY | I | MANAGING PRINCIPAL AND EXECUTIVE VICE PRESIDENT | NA | Control |
| FROUDE, CRAIG, JAY | I | MANAGING PRINCIPAL AND EXECUTIVE VICE PRESIDENT | NA | Control |
| FROUDE, CRAIG, JAY | I | MANAGING PRINCIPAL AND EXECUTIVE VICE PRESIDENT | NA | Control |
| FROUDE, CRAIG, JAY | I | MANAGING PRINCIPAL AND EXECUTIVE VICE PRESIDENT | NA | Control |
| GILLIS, NELSON, SCOTT | I | EXECUTIVE VP/CHIEF OPERATIONS OFFICER/CFO | NA | Control |
| GILLIS, NELSON, SCOTT | I | EXECUTIVE VP/CHIEF OPERATIONS OFFICER | NA | Control |
| GILLIS, NELSON, SCOTT | I | EXECUTIVE VP/CHIEF OPERATIONS OFFICER/CFO | NA | Control |
| HEDBERG, STEVE, MICHAEL | I | CHIEF OPERATING OFFICER | NA | Control |
| HEDBERG, STEVE, MICHAEL | I | CHIEF OPERATING OFFICER | NA | Control |
| HOLMEN, ROBERT, RICHARD | I | SECRETARY | NA | Control |
| JANKE, OLAF | I | TREASURER AND SENIOR VICE PRESIDENT, FINANCE | NA | Control |
| JANKE, OLAF | I | TREASURER AND SENIOR VICE PRESIDENT, FINANCE | NA | Control |
| JANKE, OLAF | I | TREASURER, EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER | NA | Control |
| JANKE, OLAF | I | TREASURER, EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER | NA | Control |
| JANKE, OLAF | I | TREASURER, EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER | NA | Control |
| JESENIK, ROBERT, JOSEPH | I | PRESIDENT | NA | Control |
| JESENIK, ROBERT, JOSEPH | I | PRESIDENT | NA | Control |
| JESENIK, ROBERT, JOSEPH | I | PRESIDENT | NA | Control |
| JESENIK, ROBERT, JOSEPH | I | PRESIDENT | NA | Control |
| JESENIK, ROBERT, JOSEPH | I | PRESIDENT | NA | Control |
| JESENIK, ROBERT, JOSEPH | I | PRESIDENT | NA | Control |
| JESENIK, ROBERT, JOSEPH | I | PRESIDENT | NA | Control |
| JESENIK, ROBERT, JOSEPH | I | PRESIDENT | NA | Control |
| JESENIK, ROBERT, JOSEPH | I | PRESIDENT | NA | Control |
| JESENIK, ROBERT, JOSEPH | I | PRESIDENT & CEO | NA | Control |
| JESENIK, ROBERT, JOSEPH | I | PRESIDENT | NA | Control |
| JESENIK, ROBERT, JOSEPH | I | PRESIDENT | NA | Control |
| JESENIK, ROBERT, JOSEPH | I | PRESIDENT | NA | Control |
| JESENIK, ROBERT, JOSEPH | I | PRESIDENT | NA | Control |
| JESENIK, ROBERT, JOSEPH | I | PRESIDENT | NA | Control |
| MACRITCHIE, ANDREW, N | I | EXECUTIVE VP/CHIEF COMPLIANCE OFFICER | NA | Control |
| MACRITCHIE, ANDREW, N | I | EXECUTIVE VP/CHIEF COMPLIANCE OFFICER | NA | Control |
| MACRITCHIE, ANDREW, N | I | EXECUTIVE VP/CHIEF COMPLIANCE OFFICER | NA | Control |
| MACRITCHIE, ANDREW, N | I | EXECUTIVE VP/CHIEF COMPLIANCE OFFICER | NA | Control |
| MACRITCHIE, ANDREW, N | I | EXECUTIVE VP/CHIEF COMPLIANCE OFFICER | NA | Control |
| MACRITCHIE, ANDREW, N | I | EXECUTIVE VP/CHIEF COMPLIANCE OFFICER | NA | Control |
| MACRITCHIE, ANDREW, N | I | EXECUTIVE VP/CHIEF COMPLIANCE OFFICER | NA | Control |
| MACRITCHIE, ANDREW, N | I | EXECUTIVE VP/CHIEF COMPLIANCE OFFICER | NA | Control |
| MACRITCHIE, ANDREW, N | I | EXECUTIVE VP/CHIEF COMPLIANCE OFFICER | NA | Control |
| MACRITCHIE, ANDREW, N | I | EXECUTIVE VP/CHIEF COMPLIANCE OFFICER | NA | Control |
| MACRITCHIE, ANDREW, N | I | EXECUTIVE VP/CHIEF COMPLIANCE OFFICER | NA | Control |
| MACRITCHIE, ANDREW, N | I | EXECUTIVE VP/CHIEF COMPLIANCE OFFICER | NA | Control |
| MACRITCHIE, ANDREW, N | I | EXECUTIVE VP/CHIEF COMPLIANCE OFFICER | NA | Control |
| MACRITCHIE, ANDREW, N | I | EXECUTIVE VP/CHIEF COMPLIANCE OFFICER | NA | Control |
| MACRITCHIE, ANDREW, N | I | EXECUTIVE VP/CHIEF COMPLIANCE OFFICER | NA | Control |
| MACRITCHIE, ANDREW, N | I | EXECUTIVE VP/CHIEF COMPLIANCE OFFICER | NA | Control |
| OLIVER, BRIAN, ARTHUR | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| OLIVER, BRIAN, ARTHUR | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| OLIVER, BRIAN, ARTHUR | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| OLIVER, BRIAN, ARTHUR | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| OLIVER, BRIAN, ARTHUR | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| RICE, BRIAN, K | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| RICE, BRIAN, K | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| RICE, BRIAN, K | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| RUH, WILLIAM, JOHN | I | MANAGING PRINCIPAL | NA | Control |
| RUH, WILLIAM, JOHN | I | MANAGING PRINCIPAL | NA | Control |
| RUH, WILLIAM, JOHN | I | MANAGING PRINCIPAL | NA | Control |
| RUH, WILLIAM, JOHN | I | MANAGING PRINCIPAL | NA | Control |
| RUH, WILLIAM, JOHN | I | MANAGING PRINCIPAL | NA | Control |
| WOOD, RANDY, SCOTT | I | GENERAL COUNSEL | NA | Control |
| WOOD, RANDY, SCOTT | I | GENERAL COUNSEL | NA | Control |
| WOOD, RANDY, SCOTT | I | GENERAL COUNSEL | NA | Control |
| AEQUITAS CAPITAL MANAGEMENT, INC | DE | MANAGER/MEMBER | E | Control |
| AEQUITAS CAPITAL MANAGEMENT, INC | DE | MANAGER/MEMBER | E | Control |
| AEQUITAS CAPITAL MANAGEMENT, INC | DE | MANAGER/MEMBER | E | Control |
| AEQUITAS CAPITAL MANAGEMENT, INC | DE | MANAGER/MEMBER | E | Control |
| AEQUITAS CAPITAL MANAGEMENT, INC | DE | MANAGER/MEMBER | E | Control |
| AEQUITAS CAPITAL MANAGEMENT, INC | DE | MANAGER/MEMBER | E | Control |
| AEQUITAS CAPITAL MANAGEMENT, INC | DE | MANAGER/MEMBER | E | Control |
| AEQUITAS CAPITAL MANAGEMENT, INC | DE | MANAGER/MEMBER | E | Control |
| AEQUITAS CAPITAL MANAGEMENT, INC | DE | MANAGER/MEMBER | E | Control |
| AEQUITAS CAPITAL MANAGEMENT, INC | DE | MANAGER/MEMBER | E | Control |
| AEQUITAS CAPITAL MANAGEMENT, INC | DE | MANAGER/MEMBER | E | Control |
| AEQUITAS CAPITAL MANAGEMENT, INC | DE | MANAGER/MEMBER | E | Control |
| AEQUITAS CAPITAL MANAGEMENT, INC | DE | MANAGER/MEMBER | E | Control |
| AEQUITAS CAPITAL MANAGEMENT, INC | DE | MANAGER/MEMBER | E | Control |
| AEQUITAS CAPITAL MANAGEMENT, INC | DE | MANAGER/MEMBER | E | Control |
| AEQUITAS CAPITAL MANAGMENT, INC | DE | MANAGING MEMBER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| FROUDE, CRAIG, JAY | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| FROUDE, CRAIG, JAY | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| FROUDE, CRAIG, JAY | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| FROUDE, CRAIG, JAY | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| FROUDE, CRAIG, JAY | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| FROUDE, CRAIG, JAY | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| FROUDE, CRAIG, JAY | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| JANKE, OLAF | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| JANKE, OLAF | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| JANKE, OLAF | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| MACRITCHIE, ANDREW, N | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| MACRITCHIE, ANDREW, N | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| MACRITCHIE, ANDREW, N | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| MACRITCHIE, ANDREW, N | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| MACRITCHIE, ANDREW, N | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| MACRITCHIE, ANDREW, N | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| MACRITCHIE, ANDREW, N | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| MACRITCHIE, ANDREW, N | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| MACRITCHIE, ANDREW, N | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| MACRITCHIE, ANDREW, N | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| MACRITCHIE, ANDREW, N | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| MACRITCHIE, ANDREW, N | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| MACRITCHIE, ANDREW, N | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| MACRITCHIE, ANDREW, N | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| MACRITCHIE, ANDREW, N | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| OLIVER, BRIAN | I | AEQUITAS INVESTMENT MANAGEMENT, INC. | F | Control |
| OLIVER, BRIAN, ARTHUR | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| OLIVER, BRIAN, ARTHUR | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| OLIVER, BRIAN, ARTHUR | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| OLIVER, BRIAN, ARTHUR | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| OLIVER, BRIAN, ARTHUR | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| OLIVER, BRIAN, ARTHUR | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| OLIVER, BRIAN, ARTHUR | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| OLIVER, BRIAN, ARTHUR | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| OLIVER, BRIAN, ARTHUR | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| OLIVER, BRIAN, ARTHUR | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| OLIVER, BRIAN, ARTHUR | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| OLIVER, BRIAN, ARTHUR | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| OLIVER, BRIAN, ARTHUR | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| OLIVER, BRIAN, ARTHUR | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| OLIVER, BRIAN, ARTHUR | I | AEQUITAS MANAGEMENT, LLC | F | Control |
| AEQUITAS HOLDINGS, LLC | DE | AEQUITAS CAPITAL MANAGEMENT, INC. | E | Control |
| AEQUITAS HOLDINGS, LLC | DE | AEQUITAS CAPITAL MANAGEMENT, INC. | E | Control |
| AEQUITAS HOLDINGS, LLC | DE | AEQUITAS CAPITAL MANAGEMENT, INC. | E | Control |
| AEQUITAS HOLDINGS, LLC | DE | AEQUITAS CAPITAL MANAGEMENT, INC. | E | Control |
| AEQUITAS HOLDINGS, LLC | DE | AEQUITAS CAPITAL MANAGEMENT, INC. | E | Control |
| AEQUITAS HOLDINGS, LLC | DE | AEQUITAS CAPITAL MANAGEMENT, INC. | E | Control |
| AEQUITAS HOLDINGS, LLC | DE | AEQUITAS CAPITAL MANAGEMENT, INC. | E | Control |
| AEQUITAS HOLDINGS, LLC | DE | AEQUITAS CAPITAL MANAGEMENT, INC. | E | Control |
| AEQUITAS HOLDINGS, LLC | DE | AEQUITAS CAPITAL MANAGEMENT, INC. | E | Control |
| AEQUITAS HOLDINGS, LLC | DE | AEQUITAS CAPITAL MANAGEMENT, INC. | E | Control |
| AEQUITAS HOLDINGS, LLC | DE | AEQUITAS CAPITAL MANAGEMENT, INC. | E | Control |
| AEQUITAS HOLDINGS, LLC | DE | AEQUITAS CAPITAL MANAGEMENT, INC. | E | Control |
| AEQUITAS HOLDINGS, LLC | DE | AEQUITAS CAPITAL MANAGEMENT, INC. | E | Control |
| AEQUITAS HOLDINGS, LLC | DE | AEQUITAS CAPITAL MANAGEMENT, INC. | E | Control |
| AEQUITAS HOLDINGS, LLC | DE | AEQUITAS CAPITAL MANAGEMENT, INC. | E | Control |
| AEQUITAS MANAGEMENT, LLC | DE | AEQUITAS HOLDINGS, LLC | E | Control |
| AEQUITAS MANAGEMENT, LLC | DE | AEQUITAS HOLDINGS, LLC | E | Control |
| AEQUITAS MANAGEMENT, LLC | DE | AEQUITAS HOLDINGS, LLC | E | Control |
| AEQUITAS MANAGEMENT, LLC | DE | AEQUITAS HOLDINGS, LLC | E | Control |
| AEQUITAS MANAGEMENT, LLC | DE | AEQUITAS HOLDINGS, LLC | E | Control |
| AEQUITAS MANAGEMENT, LLC | DE | AEQUITAS HOLDINGS, LLC | E | Control |
| AEQUITAS MANAGEMENT, LLC | DE | AEQUITAS HOLDINGS, LLC | E | Control |
| AEQUITAS MANAGEMENT, LLC | DE | AEQUITAS HOLDINGS, LLC | E | Control |
| AEQUITAS MANAGEMENT, LLC | DE | AEQUITAS HOLDINGS, LLC | E | Control |
| AEQUITAS MANAGEMENT, LLC | DE | AEQUITAS HOLDINGS, LLC | E | Control |
| AEQUITAS MANAGEMENT, LLC | DE | AEQUITAS HOLDINGS, LLC | E | Control |
| AEQUITAS MANAGEMENT, LLC | DE | AEQUITAS HOLDINGS, LLC | E | Control |
| AEQUITAS MANAGEMENT, LLC | DE | AEQUITAS HOLDINGS, LLC | E | Control |
| AEQUITAS MANAGEMENT, LLC | DE | AEQUITAS HOLDINGS, LLC | E | Control |
| AEQUITAS MANAGEMENT, LLC | DE | AEQUITAS HOLDINGS, LLC | E | Control |
| JESENIK, ROBERT | I | AEQUITAS CAPITAL MANAGMENT, INC | E | Control |
| JESENIK, ROBERT, JOSEPH | I | AEQUITAS MANAGEMENT, LLC | C | Control |
| JESENIK, ROBERT, JOSEPH | I | AEQUITAS MANAGEMENT, LLC | C | Control |
| JESENIK, ROBERT, JOSEPH | I | AEQUITAS MANAGMENT, LLC | C | Control |
| JESENIK, ROBERT, JOSEPH | I | AEQUITAS MANAGMENT, LLC | C | Control |
| JESENIK, ROBERT, JOSEPH | I | AEQUITAS MANAGEMENT, LLC | C | Control |
| JESENIK, ROBERT, JOSEPH | I | AEQUITAS MANAGEMENT, LLC | C | Control |
| JESENIK, ROBERT, JOSEPH | I | AEQUITAS MANAGEMENT, LLC | C | Control |
| JESENIK, ROBERT, JOSEPH | I | AEQUITAS MANAGEMENT, LLC | C | Control |
| JESENIK, ROBERT, JOSEPH | I | AEQUITAS MANAGEMENT, LLC | C | Control |
| JESENIK, ROBERT, JOSEPH | I | AEQUITAS MANAGEMENT, LLC | C | Control |
| JESENIK, ROBERT, JOSEPH | I | AEQUITAS MANAGEMENT, LLC | C | Control |
| JESENIK, ROBERT, JOSEPH | I | AEQUITAS MANAGEMENT, LLC | C | Control |
| JESENIK, ROBERT, JOSEPH | I | AEQUITAS MANAGEMENT, LLC | C | Control |
| JESENIK, ROBERT, JOSEPH | I | AEQUITAS MANAGEMENT, LLC | C | Control |
| JESENIK, ROBERT, JOSEPH | I | AEQUITAS MANAGEMENT, LLC | C | Control |
Registrations
Federal
IA
Jul 30, 2012 REGISTERED
Notice Filings (9)
DE HI NC NE NV OR TX VT WA
Address
5300 MEADOWS ROADSUITE 400
LAKE OSWEGO, OR 97035
United States
Phone: 503-419-3500