RAFFLES CAPITAL MANAGEMENT, LLC

other names
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Adviser Profile
As of Date 05/16/2024
Adviser Type - Large advisory firm
Number of Employees 2
of those in investment advisory functions 2
Registration SEC, Approved, 3/14/2012
AUM* 167,965,412 -5.96%
of that, discretionary 167,965,412 -5.96%
Private Fund GAV* 167,965,412 -5.96%
Avg Account Size 167,965,412 -5.96%
SMA’s No
Private Funds 1
Contact Info 212 xxxxxxx
Websites

Client Types

- Pooled investment vehicles

Advisory Activities

- Portfolio management for pooled investment vehicles

Compensation Arrangments

- A percentage of assets under your management
- Performance-based fees

Recent News

Reported AUM

Discretionary
Non-discretionary
225M 193M 161M 128M 96M 64M 32M
2016 2017 2018 2019 2020 2021 2022 2023

Private Funds



Employees

Private Funds Structure

Fund Type Count GAV
Fund TypeHedge Fund Count1 GAV$167,965,412

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Brochure Summary

Overview

Raffles Capital Management, LLC (“Raffles”) is a Delaware limited liability company formed in May 1996 with its principal place of business located at 5 Penn Plaza, 19th Floor, New York, NY 10001. Raffles is controlled by Mr. Paul H. O’Leary who has the overall responsibility for the day-to-day supervision and management of Raffles’ business. At this time, Raffles provides investment advice solely to one private investment fund, Raffles Associates, L.P., a Delaware limited liability company (the “Fund”). The Fund is what is commonly referred to as a 3c-1 fund (referring to a section of the Investment Company Act of 1940, as amended) and the Fund is open to investors that satisfy the “qualified client” standard of the Advisers Act. The general partner of the Fund is Raffles Capital Advisors, LLC, a Delaware limited liability company (“RCA”), which is also controlled by Paul H. O’Leary. Raffles directs the investment program of the Fund on a discretionary basis using a “value” based investment strategy, as described in Item 8: Method of
Analysis, Investment Strategies and Risk of Loss. Raffles conducts its own fundamental research of a wide range of companies to determine their qualification for initial and continuing investment by the Fund. As part of its investment strategy, the Fund may invest and trade in a variety of securities, including equity, debt or convertible securities, options, domestic and foreign securities and non-publicly traded securities. Raffles provides portfolio advisory and management services to the Fund based on its investment objectives, not based on the criteria or investment objective of any individual investor that contributes assets to the Fund (an “Investor”). Services are provided to the Fund in accordance with an advisory agreement between Raffles and the Fund and/or the organizational documents of the Fund. Raffles does not participate in wrap fee programs. As of December 31, 2023, Raffles managed approximately $167,965,412 on a discretionary basis. Raffles does not manage any assets on a non-discretionary basis.