GOEHRING & ROZENCWAJG ASSOCIATES, LLC
Adviser information for GOEHRING & ROZENCWAJG ASSOCIATES, LLC last updated from Form ADV on January 23rd, 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 Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 0 |
| 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 | 13 | $543.8M |
| Non-Discretionary | 0 | $0 |
| Total | 13 | $543.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | <5 | $2.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 2 | $250.4M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 3 | $29.3M |
| Pension and profit sharing plans | <5 | $8.6M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $96.4M |
| Corporations or other businesses | <5 | $79.4M |
| Other | <5 | $77.3M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 36 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based feesFIXED SPEAKING FEES |
Principal Office
115 BROADWAY5TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9AM-6PM
Tel: 646-216-9777, Fax: None
Chief Compliance Officer
KEVIN O'FRIEL
CHIEF OPERATING OFFICER
115 BROADWAY
5TH FLOOR
NEW YORK
NY
United States
Tel:
646-216-8046
K******@**********M
(Full email address available in API data)
Regulatory Contact
ADAM A. ROZENCWAJG
MANAGING PARTNER
115 BROADWAY
5TH FLOOR
NEW YORK
NY
United States
Tel:
646-216-8047
A**********@**********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| G&R AMBRI FUND, LP | Venture Capital Fund | $5.0M | $0.5M | 8 |
| G&R BOSTON METAL FUND, LP | SPV | $1.0M | $0.5M | 1 |
| G&R BOSTTON METAL FUND BVI, LP | SPV | $4.3M | $0.5M | 3 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ROZENCWAJG, ADAM, ALEXANDAR | Individual | – | MANAGING MEMBER | 12/2015 | 50-75% |
| GOEHRING, LEIGH, RICHARD | Individual | – | MANAGING MEMBER | 12/2015 | 50-75% |
| OFRIEL, KEVIN, JOHN | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2022 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 12th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ALAMOS GOLD INC NEW | COM CL A | 19M | 1M | – |
| ALPHA METALLURGICAL RESOUR I | COM | 20M | 70K | – |
| ANTERO RESOURCES CORP | COM | 26M | 808K | – |
| ARCH RESOURCES INC | CL A | 8M | 55K | – |
| BORR DRILLING LTD | SHS | 6M | 975K | – |
| CALEDONIA MNG CORP PLC | SHS NEW | 2M | 210K | – |
| CAMECO CORP | COM | 35M | 717K | – |
| CENTRUS ENERGY CORP | CL A | 9M | 204K | – |
| CF INDS HLDGS INC | COM | 10M | 129K | – |
| CHESAPEAKE ENERGY CORP | COM | 9M | 106K | – |
| CIVITAS RESOURCES INC | COM NEW | 13M | 186K | – |
| COMSTOCK RES INC | COM | 7M | 684K | – |
| CONSOL ENERGY INC NEW | COM | 20M | 198K | – |
| CORTEVA INC | COM | 5M | 89K | – |
| DENISON MINES CORP | COM | 7M | 4M | – |
| DIAMOND OFFSHORE DRILLING IN | COM | 13M | 862K | – |
| DIAMONDBACK ENERGY INC | COM | 13M | 67K | – |
| ENCORE ENERGY CORP | COM NEW | 4M | 1M | – |
| ENERGY FUELS INC | COM NEW | 7M | 1M | – |
| EQT CORP | COM | 21M | 576K | – |
| EQUINOX GOLD CORP | COM | 8M | 2M | – |
| ERO COPPER CORP | COM | 7M | 340K | – |
| FREEPORT-MCMORAN INC | CL B | 11M | 222K | – |
| HUDBAY MINERALS INC | COM | 7M | 768K | – |
| INTREPID POTASH INC | COM | 5M | 194K | – |
| IVANHOE ELECTRIC INC | COM | 15M | 2M | – |
| MATADOR RES CO | COM | 16M | 272K | – |
| MOSAIC CO NEW | COM | 13M | 452K | – |
| NEXGEN ENERGY LTD | COM | 10M | 1M | – |
| NOBLE CORP PLC | ORD SHS A | 7M | 168K | – |
| NOV INC | COM | 3M | 182K | – |
| NOVAGOLD RES INC | COM NEW | 1M | 326K | – |
| NUTRIEN LTD | COM | 10M | 203K | – |
| OCEANEERING INTL INC | COM | 11M | 448K | – |
| ORLA MNG LTD NEW | COM | 5M | 1M | – |
| PAN AMERN SILVER CORP | COM | 5M | 266K | – |
| RANGE RES CORP | COM | 46M | 1M | – |
| SCHLUMBERGER LTD | COM STK | 8M | 178K | – |
| SEADRILL 2021 LTD | COM | 24M | 462K | – |
| SKEENA RES LTD NEW | COM | 8M | 1M | – |
| TIDEWATER INC NEW | COM | 373K | 4K | – |
| TRANSOCEAN LTD | REGISTERED SHS | 4M | 808K | – |
| TRILOGY METALS INC NEW | COM | 866K | 2M | – |
| TRIPLE FLAG PRECIOUS METAL | COM | 2M | 101K | – |
| URANIUM ENERGY CORP | COM | 10M | 2M | – |
| UR-ENERGY INC | COM | 4M | 3M | – |
| VALARIS LTD | CL A | 4M | 52K | – |
| VITAL ENERGY INC | COM | 2M | 54K | – |