ARROWHEAD INVESTMENT MANAGEMENT LLC
Adviser information for ARROWHEAD INVESTMENT MANAGEMENT LLC last updated from Form ADV on March 15th, 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 | 5 |
| 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 | $281.5M |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $281.5M |
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 | 4 | $281.5M |
| 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 pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based feesMONITORING FEES |
Identifiers
| SEC RIA File Number | 801-110360 |
|---|---|
| SEC ERA File Number | 801-110360 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 285032 |
| Legal Entity Identifier | None |
Principal Office
777 WEST PUTNAM AVENUESUITE 300
GREENWICH
CT
United States
BY APPOINTMENT ONLY, 9 AM TO 5 PM
Tel: 203-485-0700, Fax: None
Websites
Chief Compliance Officer
ASHLEIGH C. SWAYZE
CHIEF COMPLIANCE OFFICER
105 INDEPENDENCE WAY
SUITE 300
PRINCETON
NJ
United States
Tel:
6463953900
I***@************M
(Full email address available in API data)
Regulatory Contact
ELLA LI
VICE PRESIDENT FINANCE
777 WEST PUTNAM AVENUE
SUITE 300
GREENWICH
CT
United States
Tel:
203-485-0700
E**@***************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ARROWHEAD CAPITAL FUND III LP | MEZZANINE | $173.8M | $15.0M | 45 |
| ARROWHEAD INVESTORS II, LP | MEZZANINE DEBT | $0.0M | $0.0M | 3 |
| ARROWHEAD INVESTORS, LP | Private Equity Fund | $0.0M | $0.0M | 1 |
| GLEACHER MEZZANINE FUND II, L.P. | MEZZANINE | $0.1M | $3.0M | 25 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| JONES, ELLIOTT, HOWARD | Individual | – | MANAGING MEMBER | 08/2016 | 10-25% |
| GAY, MARY, PRICE | Individual | – | MANAGING MEMBER | 08/2016 | 25-50% |
| PISANI, CRAIG, JOHN | Individual | – | MANAGING MEMBER | 08/2016 | 25-50% |
| SWAYZE, ASHLEIGH, COOPER | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2016 | < 5% |
| AGC ARROWHEAD HOLDINGS LLC | Domestic Entity | – | MEMBER | 08/2016 | 25-50% |
| PARSKY, GERALD, LAWRENCE | Individual | – | MANAGING MEMBER | 08/2016 | < 5% |
| PARSKY, GERALD, LAWRENCE | Individual | AGC ARROWHEAD HOLDINGS LLC | MANAGER | 08/2016 | > 75% |