SUMMERHAVEN INVESTMENT MANAGEMENT, LLC
Adviser information for SUMMERHAVEN INVESTMENT MANAGEMENT, LLC last updated from Form ADV on March 28th, 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 | 8 |
|---|---|
| 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 | 2 | $156.8M |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $156.8M |
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 | 0 | $0 |
| 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 | <5 | $156.8M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
1266 E. MAIN STREETFOURTH FLOOR
STAMFORD
CT
United States
Monday - Friday, 8:00 AM - 6:00 PM
Tel: 203-352-2700, Fax: 203-352-2701
Chief Compliance Officer
BABU SONTI
CHIEF COMPLIANCE OFFICER
1266 E. MAIN STREET
FOURTH FLOOR
STAMFORD
CT
United States
Tel:
203-352-2700
Fax:
203-352-2701
B*****@****************M
(Full email address available in API data)
Regulatory Contact
KURT J NELSON
CHIEF EXECUTIVE OFFICER
1266 E. MAIN STREET
FOURTH FLOOR
STAMFORD
CT
United States
Tel:
203-352-2700
Fax:
203-352-2701
K******@****************M
(Full email address available in API data)
Industry Affiliates
| SUMMERHAVEN CAPITAL, LLC | Commodity pool operator or commodity trading advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NELSON, KURT, JONATHON | Individual | – | MANAGING MEMBER: CHIEF EXECUTIVE OFFICER | 08/2009 | > 75% |
| ROUWENHORST, KLAZINUS, GEERT | Individual | – | MEMBER; HEAD OF COMMODITY RESEARCH | 10/2008 | 10-25% |
| DIETER, ROBERT | Individual | – | CHIEF FINANCIAL OFFICER | 12/2019 | < 5% |
| SONTI, BABU, VENKATESH | Individual | – | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER AND CHIEF TECHNOLOGY OFFICER | 06/2021 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 23rd, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| A-MARK PRECIOUS METALS INC | COM | 614K | 19K | – |
| ABM INDS INC | COM | 891K | 18K | – |
| ADAPTHEALTH CORP | COMMON STOCK | 576K | 58K | – |
| ADIENT PLC | ORD SHS | 449K | 18K | – |
| ADTALEM GLOBAL ED INC | COM | 1M | 20K | – |
| ADVANSIX INC | COM | 468K | 20K | – |
| AGCO CORP | COM | 549K | 6K | – |
| AIR TRANSPORT SERVICES GRP I | COM | 550K | 40K | – |
| ALPHA & OMEGA SEMICONDUCTOR | SHS | 878K | 24K | – |
| ALPHA METALLURGICAL RESOUR I | COM | 1M | 5K | – |
| AMERICAN AXLE & MFG HLDGS IN | COM | 591K | 85K | – |
| AMERICAN WOODMARK CORPORATIO | COM | 793K | 10K | – |
| AMKOR TECHNOLOGY INC | COM | 1M | 25K | – |
| AMN HEALTHCARE SVCS INC | COM | 360K | 7K | – |
| ANDERSONS INC | COM | 799K | 16K | – |
| ANYWHERE REAL ESTATE INC | COM | 354K | 107K | – |
| APOGEE ENTERPRISES INC | COM | 983K | 16K | – |
| ARCBEST CORP | COM | 835K | 8K | – |
| ARCTURUS THERAPEUTICS HLDGS | COM | 570K | 23K | – |
| ARROW ELECTRS INC | COM | 626K | 5K | – |
| ASBURY AUTOMOTIVE GROUP INC | COM | 690K | 3K | – |
| ASSERTIO HOLDINGS INC | COM NEW | 200K | 161K | – |
| ATKORE INC | COM | 667K | 5K | – |
| AUTONATION INC | COM | 673K | 4K | – |
| AVIS BUDGET GROUP | COM | 337K | 3K | – |
| AVNET INC | COM | 776K | 15K | – |
| AXOS FINANCIAL INC | COM | 1M | 18K | – |
| B & G FOODS INC NEW | COM | 450K | 56K | – |
| BANCFIRST CORP | COM | 697K | 8K | – |
| BANCORP INC DEL | COM | 815K | 22K | – |
| BEACON ROOFING SUPPLY INC | COM | 803K | 9K | – |
| BERRY CORP | COM | 668K | 103K | – |
| BLOOMIN BRANDS INC | COM | 536K | 28K | – |
| BLUELINX HLDGS INC | COM NEW | 731K | 8K | – |
| BOISE CASCADE CO DEL | COM | 927K | 8K | – |
| BUCKLE INC | COM | 802K | 22K | – |
| BUILD-A-BEAR WORKSHOP INC | COM | 871K | 34K | – |
| CABLE ONE INC | COM | 419K | 1K | – |
| CALERES INC | COM | 988K | 29K | – |
| CATHAY GEN BANCORP | COM | 842K | 22K | – |
| CENTURY CMNTYS INC | COM | 796K | 10K | – |
| CLEARFIELD INC | COM | 598K | 16K | – |
| CLEARWATER PAPER CORP | COM | 1M | 24K | – |
| COLLEGIUM PHARMACEUTICAL INC | COM | 1M | 35K | – |
| COMMERCIAL METALS CO | COM | 749K | 14K | – |
| COMMERCIAL VEH GROUP INC | COM | 346K | 71K | – |
| COMMSCOPE HLDG CO INC | COM | 158K | 128K | – |
| CONCENTRIX CORP | COM | 548K | 9K | – |
| CONSENSUS CLOUD SOLUTIONS IN | COM | 385K | 22K | – |
| CONSTELLIUM SE | CL A SHS | 794K | 42K | – |
| CORECIVIC INC | COM | 1M | 80K | – |
| COSTAMARE INC | SHS | 1M | 75K | – |
| CRANE COMPANY | COMMON STOCK | 1M | 8K | – |
| CROSS CTRY HEALTHCARE INC | COM | 393K | 28K | – |
| CTS CORP | COM | 887K | 18K | – |
| CUSHMAN WAKEFIELD PLC | SHS | 831K | 80K | – |
| CUSTOMERS BANCORP INC | COM | 994K | 21K | – |
| CVR ENERGY INC | COM | 656K | 25K | – |
| DELEK US HLDGS INC NEW | COM | 813K | 33K | – |
| DIODES INC | COM | 583K | 8K | – |
| DNOW INC | COM | 947K | 69K | – |
| DOLE PLC | ORD SHS | 724K | 59K | – |
| DONNELLEY FINL SOLUTIONS INC | COM | 944K | 16K | – |
| DXC TECHNOLOGY CO | COM | 507K | 27K | – |
| DYNAVAX TECHNOLOGIES CORP | COM NEW | 617K | 55K | – |
| EMBECTA CORP | COMMON STOCK | 452K | 36K | – |
| ENCORE WIRE CORP | COM | 1M | 4K | – |
| ENHABIT INC | COM | 549K | 62K | – |
| ENVIRI CORP | COM | 678K | 79K | – |
| EPLUS INC | COM | 959K | 13K | – |
| ETHAN ALLEN INTERIORS INC | COM | 718K | 26K | – |
| EVERI HLDGS INC | COM | 446K | 53K | – |
| FB FINL CORP | COM | 1M | 26K | – |
| FIRST BANCORP P R | COM NEW | 1M | 58K | – |
| FOOT LOCKER INC | COM | 690K | 28K | – |
| FRESH DEL MONTE PRODUCE INC | ORD | 644K | 29K | – |
| FRONTIER COMMUNICATIONS PARE | COM | 1M | 45K | – |
| G III APPAREL GROUP LTD | COM | 1M | 38K | – |
| GENCO SHIPPING & TRADING LTD | SHS | 1M | 54K | – |
| GENESCO INC | COM | 756K | 29K | – |
| GEO GROUP INC NEW | COM | 1M | 101K | – |
| GMS INC | COM | 847K | 11K | – |
| GOLDEN ENTMT INC | COM | 564K | 18K | – |
| GOLDEN OCEAN GROUP LTD | SHS NEW | 1M | 96K | – |
| GRAFTECH INTL LTD | COM | 163K | 168K | – |
| GREEN DOT CORP | CL A | 375K | 40K | – |
| GREENBRIER COS INC | COM | 846K | 17K | – |
| GRIFFON CORP | COM | 1M | 18K | – |
| GROUP 1 AUTOMOTIVE INC | COM | 848K | 3K | – |
| GUESS INC | COM | 784K | 38K | – |
| HERBALIFE LTD | COM SHS | 607K | 58K | – |
| HERC HLDGS INC | COM | 686K | 5K | – |
| HIBBETT INC | COM | 2M | 20K | – |
| HNI CORP | COM | 1M | 27K | – |
| HOPE BANCORP INC | COM | 912K | 85K | – |
| IMMERSION CORP | COM | 986K | 105K | – |
| INNOVIVA INC | COM | 982K | 60K | – |
| INSIGHT ENTERPRISES INC | COM | 996K | 5K | – |
| IRONWOOD PHARMACEUTICALS INC | COM CL A | 470K | 72K | – |
| JELD-WEN HLDG INC | COM | 567K | 42K | – |
| KFORCE INC | COM | 752K | 12K | – |
| KORN FERRY | COM NEW | 961K | 14K | – |
| KYNDRYL HLDGS INC | COMMON STOCK | 2M | 57K | – |
| LA Z BOY INC | COM | 944K | 25K | – |
| LAUREATE EDUCATION INC | COMMON STOCK | 922K | 62K | – |
| LIMBACH HLDGS INC | COM | 2M | 29K | – |
| LSB INDS INC | COM | 612K | 75K | – |
| M/I HOMES INC | COM | 1M | 8K | – |
| MACYS INC | COM | 851K | 44K | – |
| MANPOWERGROUP INC WIS | COM | 630K | 9K | – |
| MARCUS & MILLICHAP INC | COM | 685K | 22K | – |
| MARINEMAX INC | COM | 652K | 20K | – |
| MATSON INC | COM | 1M | 10K | – |
| MATTHEWS INTL CORP | CL A | 404K | 16K | – |
| MDU RES GROUP INC | COM | 875K | 35K | – |
| METALLUS INC | COM | 683K | 34K | – |
| METHODE ELECTRS INC | COM | 233K | 22K | – |
| METROPOLITAN BK HLDG CORP | COM | 769K | 18K | – |
| MILLERKNOLL INC | COM | 1M | 45K | – |
| MODINE MFG CO | COM | 2M | 21K | – |
| MODIVCARE INC | COM | 381K | 15K | – |
| MRC GLOBAL INC | COM | 933K | 72K | – |
| MUELLER INDS INC | COM | 962K | 17K | – |
| NCR ATLEOS CORPORATION | COM SHS | 413K | 15K | – |
| NCR VOYIX CORPORATION | COM | 372K | 30K | – |
| NEXSTAR MEDIA GROUP INC | COMMON STOCK | 700K | 4K | – |
| NU SKIN ENTERPRISES INC | CL A | 272K | 26K | – |
| OFG BANCORP | COM | 1M | 27K | – |
| OLYMPIC STEEL INC | COM | 649K | 14K | – |
| ORION S.A. | COM | 754K | 34K | – |
| OXFORD INDS INC | COM | 726K | 7K | – |
| PAR PAC HOLDINGS INC | COM NEW | 721K | 29K | – |
| PATHWARD FINANCIAL INC | COM | 833K | 15K | – |
| PATRICK INDS INC | COM | 977K | 9K | – |
| PAYSAFE LIMITED | SHS | 1M | 65K | – |
| PEDIATRIX MEDICAL GROUP INC | COM | 422K | 56K | – |
| PHOTRONICS INC | COM | 694K | 28K | – |
| PILGRIMS PRIDE CORP | COM | 1M | 31K | – |
| PLEXUS CORP | COM | 766K | 7K | – |
| PREFERRED BK LOS ANGELES CA | COM NEW | 970K | 13K | – |
| PRICESMART INC | COM | 801K | 10K | – |
| QUANEX BLDG PRODS CORP | COM | 787K | 28K | – |
| RESIDEO TECHNOLOGIES INC | COM | 820K | 42K | – |
| RYDER SYS INC | COM | 1M | 9K | – |
| RYERSON HLDG CORP | COM | 343K | 18K | – |
| SANMINA CORPORATION | COM | 787K | 12K | – |
| SHOE CARNIVAL INC | COM | 1M | 32K | – |
| SIGNET JEWELERS LIMITED | SHS | 932K | 10K | – |
| SILVERBOW RES INC | COM | 946K | 25K | – |
| SKYLINE CHAMPION CORPORATION | COM | 763K | 11K | – |
| SLEEP NUMBER CORP | COM | 246K | 26K | – |
| SMART GLOBAL HLDGS INC | SHS | 635K | 28K | – |
| SPARTANNASH CO | COM | 646K | 34K | – |
| STERLING INFRASTRUCTURE INC | COM | 2M | 13K | – |
| STONEX GROUP INC | COM | 956K | 13K | – |
| STRIDE INC | COM | 1M | 20K | – |
| SUNCOKE ENERGY INC | COM | 907K | 93K | – |
| SYLVAMO CORP | COMMON STOCK | 1M | 17K | – |
| TARGET HOSPITALITY CORP | COM | 519K | 60K | – |
| TAYLOR MORRISON HOME CORP | COM | 822K | 15K | – |
| TD SYNNEX CORPORATION | COM | 889K | 8K | – |
| TECNOGLASS INC | ORD SHS | 687K | 14K | – |
| TENET HEALTHCARE CORP | COM NEW | 1M | 9K | – |
| TEREX CORP NEW | COM | 664K | 12K | – |
| TEXAS CAP BANCSHARES INC | COM | 828K | 14K | – |
| THE ODP CORP | COM | 622K | 16K | – |
| THRYV HLDGS INC | COM NEW | 532K | 30K | – |
| TITAN INTL INC ILL | COM | 481K | 65K | – |
| TITAN MACHY INC | COM | 389K | 24K | – |
| TOWNEBANK PORTSMOUTH VA | COM | 850K | 31K | – |
| TRINET GROUP INC | COM | 822K | 8K | – |
| TTEC HLDGS INC | COM | 142K | 24K | – |
| TTM TECHNOLOGIES INC | COM | 1M | 54K | – |
| U S SILICA HLDGS INC | COM | 883K | 57K | – |
| UFP INDUSTRIES INC | COM | 866K | 8K | – |
| ULTRA CLEAN HLDGS INC | COM | 980K | 20K | – |
| UNITED NAT FOODS INC | COM | 488K | 37K | – |
| UNITED STATES STL CORP NEW | COM | 1M | 31K | – |
| UNUM GROUP | COM | 811K | 16K | – |
| VERTEX ENERGY INC | COM | 123K | 130K | – |
| VICTORIAS SECRET AND CO | COMMON STOCK | 663K | 38K | – |
| VISTA OUTDOOR INC | COM | 982K | 26K | – |
| VOYAGER THERAPEUTICS INC | COM | 611K | 77K | – |
| WABASH NATL CORP | COM | 684K | 31K | – |
| WARRIOR MET COAL INC | COM | 1M | 19K | – |
| WEIS MKTS INC | COM | 727K | 12K | – |
| WERNER ENTERPRISES INC | COM | 617K | 17K | – |
| WESCO INTL INC | COM | 667K | 4K | – |
| WESTAMERICA BANCORPORATION | COM | 871K | 18K | – |
| XEROX HOLDINGS CORP | COM NEW | 551K | 47K | – |
| ZUMIEZ INC | COM | 820K | 42K | – |
| ZYMEWORKS INC | COM | 767K | 90K | – |