OSMOSIS INVESTMENT MANAGEMENT US LLC
Adviser information for OSMOSIS INVESTMENT MANAGEMENT US LLC last updated from Form ADV on November 9th, 2023. 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 Liability Company |
|---|---|
| Fiscal Year End | MARCH |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 31 |
|---|---|
| Investment Advisory/Research | 20 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 13 | $648.6M |
| Non-Discretionary | 0 | $0 |
| Total | 13 | $648.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 3 | $60.4M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | <5 | $588.2M |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 40 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPORTFOLIO MANAGEMENT FOR MODEL PORTFOLIOS |
|---|---|
| Compensation | % of AUMPerformance-based fees% OF CLIENTS' AUM |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
36-38 BOTOLPH LANELONDON
United Kingdom
Monday - Friday, 9-5
Tel: +44 (0) 203 928 6555, Fax: +44 (0) 203 928 6556
Chief Compliance Officer
JOSEPH DIBARTOLO
140 E. 45TH STREET, 29TH FLOOR
2 GRAND CENTRAL TOWER
NEW YORK
NY
United States
Tel:
+1 631-834-0081
J***************@************M
(Full email address available in API data)
Regulatory Contact
ANDREW HARMER
FINANCE DIRECTOR
36-38 BOTOLPH LANE
LONDON
United Kingdom
Tel:
44 (0) 203 928 6555
A************@************M
(Full email address available in API data)
Industry Affiliates
| OSMOSIS GP LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| OSMOSIS INVESTMENT MANAGEMENT UK LTD | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| OSMOSIS REEMN MASTER FUND LP | Hedge Fund | $60.4M | $1.0M | 5 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| OSMOSIS US LLC | Domestic Entity | – | MEMBER | 08/2019 | > 75% |
| GRAEME, STEPHEN, COLVILLE | Individual | – | VICE PRESIDENT AND DIRECTOR OF CORPORATE, LEGAL AND COMPLIANCE | 02/2016 | < 5% |
| HARMER, ANDREW, FREDERIC | Individual | – | CHIEF FINANCIAL OFFICER | 02/2016 | < 5% |
| Parker, Robert, John | Individual | – | VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | 04/2019 | < 5% |
| Dear, Benjamin, George | Individual | – | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 02/2018 | < 5% |
| OSMOSIS HOLDINGS LIMITED | Foreign Entity | OSMOSIS US LLC | MEMBER | 08/2019 | > 75% |
| SPANGLER, ANDREW, GALT | Individual | – | VICE PRESIDENT AND INVESTMENT OFFICER | 09/2019 | < 5% |
| Stephen, Alexander, James | Individual | – | VICE PRESIDENT AND PORTFOLIO EXECUTION | 08/2021 | < 5% |
| DIBARTOLO, JOSEPH, MAURICE | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2023 | < 5% |