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Private company

BANC FUNDS CO LLC

American company, incorporated in Illinois. Summary from the record

Last updated Oct 21, 2026.

Overview

  • HeadquartersIL1

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Corporate structure

BANC FUNDS CO LLC sits at the top of its group. 30 entities, 2 countries on record. Switch between the flow chart and the network, and select any entity to see its details.

Major holders of BANC FUNDS CO LLC

  • Charles Joseph Moore Owns 75% or more of Banc Funds Co LLC, since 03/1997 (Form ADV)

Built from major holders from Schedules 13D and 13G; stakes of 5% or more it reported on Schedules 13D and 13G (29 companies); owners and owned firms from Form ADV, the registration investment advisers file with the SEC. Each entity in the chart links to its source.

Investment adviser

BANC FUNDS CO LLC is registered with the SEC as an investment adviser. This is what it reports on Form ADV, the registration every adviser files and keeps current.

  • Assets it manages$680.4M2 3 accounts, all with discretion
  • Employees13 10 in investment advice or research
  • ClientsPooled investment vehicles (other than investment companies and: 3 ($680.4M)
  • How it is paidPerformance-based fees; Other: MANAGEMENT FEES ARE BASED ON CONTRIBUTED CAPITAL.
  • What it doesPortfolio management for pooled investment vehicles (other than investment companies)
  • Holds client assetsYes: cash and securities
  • RegistrationSEC 801-53866, CRD 106305 IAPD record

Who owns it

Owners of 5% or more as the firm lists them (Schedule A), and the owners of those owners up the chain (Schedule B).

  • Charles Joseph Mooreowns 75% or more, since 03/1997

Disciplinary record

The firm answered yes to 2 of the disciplinary questions on Form ADV (Item 11). A yes can concern the firm itself or an affiliate.

  • The SEC or the CFTC has found the firm or an advisory affiliate to have been involved in a violation of SEC or CFTC regulations or statutes.
  • The SEC or the CFTC has imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from any activity.

Each event as the firm describes it on its Disclosure Reporting Pages:

U.S. SECURITIES AND EXCHANGE COMMISSION · Jan 17, 2017 · fine $75,000 · final

Allegations: ALLEGED VIOLATIONS OF SECTION 206(4) OF THE ADVISERS ACT AND RULE 206(4)-5 THEREUNDER, WHICH MAKES IT UNLAWFUL FOR ANY INVESTMENT ADVISER REGISTERED WITH THE SEC TO PROVIDE INVESTMENT ADVISORY SERVICES FOR COMPENSATION TO A GOVERNMENT ENTITY WITHIN TWO YEARS AFTER A CONTRIBUTION TO AN OFFICIAL OF THE GOVERNMENT ENTITY IS MADE BY THE INVESTMENT ADVISER OR ANY COVERED ASSOCIATE OF THE INVESTMENT ADVISER.

Sanction: Cease and Desist

How it ended: Settled

Detail: CIVIL MONETARY PENALTY OF $75,000 WHICH WAS PAID ON JANUARY 24, 2017.

Summary: THE ACTION WAS RESOLVED PURSUANT TO A JANUARY 17, 2017 SEC ORDER: IN THE MATTER OF THE BANC FUNDS COMPANY, L.L.C., ADMINISTRATIVE PROCEEDING FILE NO. 3-17780. PURSUANT TO THIS ORDER, THE BANC FUNDS COMPANY, L.L.C. WAS ORDERED TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 206(4) OF THE ADVISERS ACT AND RULE 206(4)-5 THEREUNDER. THE BANC FUNDS COMPANY, L.L.C. WAS CENSURED PURSUANT TO THIS ORDER. ADDITIONALLY, THE BANC FUNDS COMPANY, L.L.C. WAS ORDERED TO PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $75,000 TO THE SEC. No Information Filed

Resolved: Jan 17, 2017

Filings

23 filings to the SEC since October 2021: 23 other. The latest 20:

  1. Aug 28, 2026N-PX EDGAR
  2. Aug 13, 202613F-HR EDGAR
  3. May 14, 202613F-HR EDGAR
  4. Feb 12, 202613F-HR EDGAR
  5. Nov 14, 202513F-HR EDGAR
  6. Sep 2, 2025N-PX EDGAR
  7. Aug 14, 202513F-HR EDGAR
  8. May 14, 202513F-HR EDGAR
  9. Feb 13, 202513F-HR EDGAR
  10. Nov 14, 202413F-HR EDGAR
  11. Sep 4, 2024N-PX EDGAR
  12. Aug 14, 202413F-HR EDGAR
  13. May 13, 202413F-HR EDGAR
  14. Feb 13, 202413F-HR EDGAR
  15. Nov 13, 202313F-HR EDGAR
  16. Aug 11, 202313F-HR EDGAR
  17. May 12, 202313F-HR EDGAR
  18. Feb 13, 202313F-HR EDGAR
  19. Nov 14, 202213F-HR EDGAR
  20. Aug 12, 202213F-HR EDGAR

The 23 filings since October 2021 can be filtered by form type and year here when JavaScript is on.

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

Stakes it holds

BANC FUNDS CO LLC has told the SEC it owns more than 5% of 29 companies, latest first (Schedules 13D and 13G).

Sources

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