Chapter Iv Investors, LLC (Charlotte)

Name: Chapter Iv Investors, LLC
Address: 201 South College Street, Suite 2110, Charlotte, NC, 28244
Telephone: 704-644-4070

Chapter Iv Investors, LLC is a large advisory firm based in Charlotte. It manages $165.32 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdiction of North Carolina.

Chapter Iv Investors provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Chapter Iv Investors: assets under management

The assets under management (AUM) of Chapter Iv Investors, LLC is $165.32 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -43% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $165.32 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $165.32 million each.

Chapter Iv Investors has custody of $261.84 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Chapter Iv Investors, LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Chapter Iv Investors serves?

The only and largest group of clients of Chapter Iv Investors is pooled investment vehicles with 1 clients and $165.32 million of assets under management. Among the 10 most similar advisory firms, Chapter Iv Investors has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $165.32 million for 1 clients. None of the firm’s clients are foreign persons or businesses.

Chapter Iv Investors also advises several private funds. Namely, one hedge fund. The minimum investment commitment required of non-related persons is $1,000,000 for each fund.

Careers at Chapter Iv Investors, LLC

The company employs 3 people that are either part- or full-time employees. 33 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Kimberly Sturkey Zeitvogel joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
William Barnes Hauptfuhrer	Chief executive officer	1 Jul 2006	75% - 100%	3197862
Kimberly Sturkey Zeitvogel	Cfo	1 Sep 2006	Other	5899893
Robert Glenn Lesley	Investment partner	1 Feb 2007	Other	4256642
Ryan Joseph Jack	Investment partner	1 Jul 2007	Other	5899882
Kimberly Sturkey Zeitvogel	Chief compliance officer	1 Jun 2014	Other	5899893

Based in Charlotte

The principal office where Chapter Iv Investors, LLC performs its advisory services is located at 201 South College Street, Suite 2110, Charlotte, NC 28244, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 704-644-4070 or by fax 704-644-4080. The normal business hours are 8:00am-6:00pm on Monday - Friday. You can find more information about the New York firm at chapterivinvestors.com.