GREAT ELM CAPITAL MANAGEMENT, INC.
Adviser information for GREAT ELM CAPITAL MANAGEMENT, INC. last updated from Form ADV on March 22nd, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 17 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 4 | $288.4M |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $288.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 1 | $266.4M |
| Pooled investment vehicles | 3 | $22.1M |
| Pension and profit sharing plans | 0 | $0 |
| 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 | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based feesREIMBURSEMENT OF ADMINISTRATION COSTS AND OVERHEAD |
Identifiers
| SEC RIA File Number | 801-108228 |
|---|---|
| SEC ERA File Number | 801-108228 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 284304 |
| Legal Entity Identifier | None |
Principal Office
3801 PGA BOULEVARDSUITE 603
PALM BEACH GARDENS
FL
United States
Monday - Friday, 7:30 AM - 6:30 PM
Tel: 561-214-7901, Fax: None
Websites
Chief Compliance Officer
ADAM KLEINMAN
CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL
800 SOUTH STREET
SUITE 230
WALTHAM
MA
United States
Tel:
617-375-3019
A********@**************M
(Full email address available in API data)
Regulatory Contact
KERI DAVIS
CHIEF FINANCIAL OFFICER
800 SOUTH STREET
SUITE 230
WALTHAM
MA
United States
Tel:
617-375-3024
K*****@**************M
(Full email address available in API data)
Industry Affiliates
| GREAT ELM OPPORTUNITIES GP, INC. | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| GREAT ELM CREDIT INCOME FUND, LLC | Hedge Fund | $14.7M | $1.0M | 14 |
| GREAT ELM OPPORTUNITIES FUND I, LP - SERIES A | Hedge Fund | $0.2M | $0.0M | 9 |
| GREAT ELM OPPORTUNITIES FUND I, LP - SERIES D | Hedge Fund | $7.1M | $0.0M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GREAT ELM GROUP, INC. | Domestic Entity | – | SOLE SHAREHOLDER | 12/2020 | > 75% |
| KLEINMAN, ADAM | Individual | – | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | 09/2017 | < 5% |
| DAVIS, KERI | Individual | – | CHIEF FINANICAL OFFICER | 03/2019 | < 5% |
| MILZ, NICHOLE, PAINTER | Individual | – | CHIEF OPERATING OFFICER | 09/2022 | < 5% |
| KAPLAN, MATTHEW, DOV | Individual | – | PRESIDENT | 09/2023 | < 5% |