OAK HARBOR CAPITAL, LLC of LAS VEGAS, NV is an SEC-registered investment adviser (CRD 169089). Regulatory assets under management: $442.1M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance, Other.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| William Stephen Weinstein | CHIEF EXECUTIVE/OPERATING OFFICER; OWNER | Seattle, WA |
| Sonal Gupta | CHIEF FINANCIAL OFFICER | Houston, TX |
| Peter Joseph Fitzpatrick | CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER | — |
| Michael Louis Basile | CHIEF FINANCIAL OFFICER | — |
| FITZPATRICK MICHAEL J | CHIEF COMPLIANCE OFFICER / CHIEF LEGAL OFFICER; CHIEF LEGAL OFFICER | — |
| GOTTLIEB PETER DAVID | CHIEF FINANCIAL OFFICER | — |
| FITZPATRICK THOMAS JOSEPH | CHIEF COMPLIANCE OFFICER / CHIEF LEGAL OFFICER; CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER | — |
| JOHNSON TODD BRUCE | CHIEF TECHNOLOGY OFFICER | — |
| Chan Chi K | CHIEF FINANCIAL OFFICER | — |
| WEINSTEIN WILLIAM S | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER / CHIEF FINANCIAL OFFICER; OWNER | — |
| GROSVENOR TERRY | CHIEF COMPLIANCE OFFICER; CORPORATE SECRETARY | — |
| EDWARDS AARON | EXECUTIVE VICE PRESIDENT | — |
| JOHNSON AARON | CHIEF OPERATING OFFICER | — |
| PICCINI JOSEPH | CORPORATE CONTROLLER | — |
| STARKS SARA | EXECUTIVE VICE PRESIDENT | — |
| YU TONY YEW-MING | CHIEF FINANCIAL OFFICER | — |
| WEINSTEIN WILLIAM STEPHEN | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE/OPERATING OFFICER; OWNER | — |
| JOHNSON AARON RAY | CHIEF OPERATING OFFICER | — |
| JOHNSON BRUCE BENNION | CHIEF TECHNOLOGY OFFICER | — |
| BELL STEPHEN LEROY | CHIEF TECHNOLOGY/INFORMATION OFFICER | — |
| BASILE MICHAEL LOUIS | CHIEF FINANCIAL OFFICER | — |
| BELL STEPHEN | CHIEF TECHNOLOGY/INFORMATION OFFICER | — |
| BASILE MICHAEL L | CHIEF FINANCIAL OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-05-06 | regulatory | FORM D LATE FILING. | Final | $250 |
| 2018-09-21 | regulatory | ACCORDING TO THE ORDER, THE ADVISER FAILED TO PROPERLY DISCLOSE ITS CONFLICTED ROLE IN AND TO OBTAIN PRIOR INVESTOR CONSENT FOR THREE (3) TRANSACTIONS THAT OCCURRED BETWEEN 2012 AND 2014 INVOLVING THE SALE OF RECEIVABLES BETWEEN ENTITIES OWNED AND/OR MANAGED BY IT. | Final | $500K |
Private Equity Fund: 8 · Other Private Fund: 10
Showing 15 of 18 funds by gross asset value.
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| EROSTYLIS, LLC | Other Private Fund | Delaware | 1 | $62.4M | — |
| OAK HARBOR CAPITAL SPECIAL OPPORTUNITIES MASTER FUND, LP | Private Equity Fund | Cayman Islands | 2 | $57.3M | — |
| OAK HARBOR CAPITAL SPECIAL OPPORTUNITIES FUND, LP | Private Equity Fund | Delaware | 75 | $46.0M | $100K |
| MAGERICK, LLC | Private Equity Fund | Delaware | 2 | $38.3M | — |
| BONCIDIUM, LLC | Other Private Fund | Delaware | 3 | $35.6M | — |
| OAK HARBOR CAPITAL NPL VII, LLC | Private Equity Fund | Delaware | 21 | $27.8M | — |
| PALLIDA, LLC | Other Private Fund | Delaware | 1 | $27.2M | — |
| DLC MORTGAGES, LLC | Private Equity Fund | Delaware | 2 | $21.1M | — |
| ARGOLICA, LLC | Other Private Fund | Delaware | 1 | $20.0M | — |
| LAELIA, LLC | Other Private Fund | Delaware | 2 | $19.8M | — |
| LIMOSA, LLC | Other Private Fund | Delaware | 2 | $18.7M | — |
| KSOH FUND, LLC | Private Equity Fund | Delaware | 2 | $17.3M | — |
| ISANTHES, LLC | Other Private Fund | Delaware | 1 | $16.6M | — |
| BONIFERA, LLC | Other Private Fund | Delaware | 1 | $12.3M | — |
| OAK HARBOR CAPITAL SPECIAL OPPORTUNITIES OFFSHORE FUND, LTD | Private Equity Fund | Cayman Islands | 27 | $11.3M | $100K |
| City | State | Employees | Phone |
|---|---|---|---|
| SEATTLE | WA | 8 | (855) 330-9520 |
| SEATTLE | WA | 8 | (855) 330-9520 |