PITON INVESTMENT MANAGEMENT, LP
Adviser information for PITON INVESTMENT MANAGEMENT, LP last updated from Form ADV on March 21st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 163 | $920.4M |
| Non-Discretionary | 0 | $0 |
| Total | 163 | $920.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $1.6M |
| HNW Individuals | <5 | $10.5M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 2 | $274.9M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $33.6M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 11 | $547.2M |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $52.6M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for businesses or institutional clientsCONSULTING |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-107227 |
|---|---|
| SEC ERA File Number | 801-107227 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 282517 |
| Legal Entity Identifier | 549300P43OUCBA5N0D09 |
Principal Office
401 FRANKLIN AVENUESUITE 202B
GARDEN CITY
NY
United States
Monday - Friday, 8AM-5PM
Tel: 646-518-2800, Fax: None
Websites
Chief Compliance Officer
ALAN GILMORE
CHIEF COMPLIANCE OFFICER
401 FRANKLIN AVENUE
SUITE 202B
GARDEN CITY
NY
United States
Tel:
646 518-2800
A*******@**********M
(Full email address available in API data)
Industry Affiliates
| 13CAPITAL LLC | Other investment adviser, including financial planners |
| CLEARSHARES LLC | Other investment adviser, including financial planners |
| U.S. CAPITAL WEALTH ADVISORS, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| PITON SPECIALTY FINANCE FUND LLC | SPECIALTY TRADING VEHICLE | $33.6M | $0.3M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FORTESCUE, JAMES, PATRICK | Individual | – | CHIEF EXECUTIVE OFFICER | 07/2015 | < 5% |
| KONRAD, KRISTOPHER, ROBERT | Individual | – | DIRECTOR | 01/2018 | < 5% |
| SLATTERY, JAMES, PATRICK | Individual | – | PRESIDENT, CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER | 01/2024 | < 5% |
| FORTESCUE, JAMES, PATRICK | Individual | PITON MANAGEMENT LLC | ELECTED MANAGER | 08/2015 | |
| PITON MANAGEMENT LLC | Domestic Entity | – | OWNER, GENERAL PARTNER | 01/2018 | > 75% |
| KONRAD, KRISTOPHER, ROBERT | Individual | PITON MANAGEMENT LLC | ELECTED MANAGER | 01/2018 | |
| LOCKWOOD, BRIAN, MATTHEW | Individual | – | CHIEF INVESTMENT OFFICER | 02/2021 | < 5% |
| GILMORE, WALTER, ALAN | Individual | – | CCO | 06/2021 | < 5% |