AVESTAR CAPITAL, LLC

HTTP://WWW.AVESTARCAPITAL.COM/ NEW YORK, NY Investment Advisor How do I update this listing?

Avestar Capital is based out of New York. Avestar Capital is a large advisory firm with 92 clients and discretionary assets under management (AUM) of $256,480,010 (Form ADV from 2019-10-21). Their last reported 13F filing for Q3 2019 included $160,842,000 in managed 13F securities and a top 10 holdings concentration of 41.16%. Avestar Capital's largest holding is Apple Inc with shares held of 61,534. Whalewisdom has at least 9 13F filings The firm last filed a Form D notice of exempt offering of securities on 2017-08-29. The notice included securities offered of Equity

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $160.842 Million
  • Prior Market Value $157.807 Million
  • New Purchases11 stocks
  • Additional Purchases110 stocks
  • Sold out of830 stocks
  • Reduced holdings in31 stocks
  • Top 10 Holdings % 41.16 %
  • Turnover % [1]:525.63%
  • Turnover Alt % [2]: 18.39 %
  • Time Held Top20:4.50 quarters
  • Time Held Top10:4.30 quarters
  • Time Held All:5.72 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 6.18%
Performance Last 4 Quarters: 13.56%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2019-09-30 - 13F-HR/A (Subscription required)
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

AVESTAR CAPITAL, LLC
Classified as Hedge Fund
400 MADISON AVENUE SUITE 11D
NEW YORK NY    10017
Country: United States

Business Phone: 212-706-4140
Fax: 917-795-8588
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 13
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees,Commissions
Amount of client funds and securities:
Total Number of Clients: 92
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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Form D Filings

Form D is a form to be used to file a notice of an exempt offering of securities with the Securities and Exchange Commission. Form D contains basic information about the offering and the company.

Form D Filings
Filing Date Form Type Industry Group Securities Offered Total Offering Amount Total Amount Sold Total Remaining
2017-08-29 D/A OTHER BANKING AND FINANCIAL SERVICES Equity 3,000,000 0 3,000,000
2017-04-20 D OTHER BANKING AND FINANCIAL SERVICES Equity 3,000,000 0 3,000,000
Other Issuers in Filings
Name Address
No Other Issuers
Related Parties included in filings
Name Address Relationship
XERXES MULLAN subscription required
    EXECUTIVE OFFICER

AVESTAR CAPITAL, LLC

ownership team - last updated 2019-09-18
Name Title Start Date Direct/Indirect % Ownership
MULLAN, XERXES, SOLI MANAGING MEMBER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
AVESTAR CAPITAL, LLC OWNER/MANAGING MEMBER direct 2017-03-01
SMOAKE, TONYA, NICOLE CHIEF COMPLIANCE OFFICER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
AVESTAR CAPITAL, LLC CHIEF COMPLIANCE OFFICER direct 2017-03-01
AVESTAR CAPITAL HOLDINGS LLC OWNER 01/01/2019 Direct 75% or more
Fund Name Position direct/indirect start date end date
AVESTAR CAPITAL, LLC OWNER direct 2019-01-01
MIRCHANDANI, KISHORE, HIRANAND CHIEF FINANCIAL OFFICER 08/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
AVESTAR CAPITAL, LLC CHIEF FINANCIAL OFFICER direct 2019-08-01
MULLAN, XERXES, SOLI OWNER AVESTAR CAPITAL HOLDINGS LLC 01/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
AVESTAR CAPITAL, LLC OWNER/MANAGING MEMBER direct 2017-03-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
AVESTAR GLOBAL VALUE STRATEGY SP Cayman Islands 805-1379137790 Hedge Fund 0 100,000
AVESTAR GLOBAL GROWTH STRATEGY SP Cayman Islands 805-1805386614 Hedge Fund 0 100,000
AVESTAR STRUCTURED NOTE SPV, LP United States 805-1490352986 Other Private Fund SPECIAL PURPOSE VEHICLE 0 100,000

AVESTAR CAPITAL, LLC

ownership team - last updated 2019-03-28
Name Title Start Date Direct/Indirect % Ownership
MULLAN, XERXES, SOLI MANAGING MEMBER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
AVESTAR CAPITAL, LLC OWNER/MANAGING MEMBER direct 2017-03-01
SMOAKE, TONYA, NICOLE CHIEF COMPLIANCE OFFICER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
AVESTAR CAPITAL, LLC CHIEF COMPLIANCE OFFICER direct 2017-03-01
CAFFERKY, BRIAN CHIEF OPERATING OFFICER 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
AVESTAR CAPITAL, LLC CHIEF OPERATING OFFICER direct 2019-01-01
AVESTAR CAPITAL HOLDINGS LLC OWNER 01/01/2019 Direct 75% or more
Fund Name Position direct/indirect start date end date
AVESTAR CAPITAL, LLC OWNER direct 2019-01-01
MULLAN, XERXES, SOLI OWNER AVESTAR CAPITAL HOLDINGS LLC 01/01/2019 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
AVESTAR CAPITAL, LLC OWNER/MANAGING MEMBER direct 2017-03-01

AVESTAR CAPITAL, LLC

ownership team - last updated 2018-06-01
Name Title Start Date Direct/Indirect % Ownership
MULLAN, XERXES, SOLI OWNER/MANAGING MEMBER 03/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
AVESTAR CAPITAL, LLC OWNER/MANAGING MEMBER direct 2017-03-01
SMOAKE, TONYA, NICOLE CHIEF COMPLIANCE OFFICER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
AVESTAR CAPITAL, LLC CHIEF COMPLIANCE OFFICER direct 2017-03-01

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