GALAXY INVESTMENT MANAGEMENT, LLC
Adviser information for GALAXY INVESTMENT MANAGEMENT, LLC last updated from Form ADV on March 26th, 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 | 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 | 5 | $267.3M |
| Non-Discretionary | 0 | $0 |
| Total | 5 | $267.3M |
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 | 5 | $267.3M |
| 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 fees |
Identifiers
| SEC RIA File Number | 801-114875 |
|---|---|
| SEC ERA File Number | 801-114875 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 281589 |
| Legal Entity Identifier | None |
Principal Office
511 RXR PLAZAUNIONDALE
NY
United States
Monday - Friday, 9 AM- 5 PM
Tel: 646-723-4751, Fax: 646-723-4760
Websites
Chief Compliance Officer
CHRISTINE ELIZABETH SCHLICHT
511 RXR PLAZA
UNIONDALE
NY
United States
Tel:
646-723-4762
C********@***************M
(Full email address available in API data)
Regulatory Contact
KEN PARTLOW
511 RXR PLAZA
UNIONDALE
NY
United States
Tel:
(646) 723-4755
Fax:
646-723-4760
K*******@***************M
(Full email address available in API data)
Industry Affiliates
| STERLING SPONSOR RFI II, LLC | Sponsor, GP, manager of pooled investment vehicles |
| STERLING SPONSOR RFI III, LLC | Sponsor, GP, manager of pooled investment vehicles |
| STERLING SPONSOR RFI, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| SRF/GALAXY VIP FUND, LLC | Hedge Fund | $68.9M | $0.0M | 1 |
| STERLING REALTY FINANCE II, LP | Hedge Fund | $112.9M | $0.0M | 57 |
| STERLING REALTY FINANCE III, LP | Hedge Fund | $68.2M | $0.0M | 26 |
| STERLING REALTY FINANCE, LP | Hedge Fund | $17.3M | $0.0M | 39 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GALAXY FUND MANAGEMENT, LLC | Domestic Entity | – | MANAGING MEMBER | 11/2014 | < 5% |
| GALAXY IM HOLDINGS, LLC | Domestic Entity | – | OWNER | 11/2014 | > 75% |
| LIPSAY, SETH, BARRON | Individual | GALAXY FUND MANAGEMENT, LLC | OWNER AND MANAGING MEMBER | 11/2014 | > 75% |
| GNREP II, LP | Domestic Entity | GALAXY IM HOLDINGS, LLC | OWNER | 11/2014 | > 75% |
| LIPSAY, SETH, BARRON | Individual | GNREP II, LP | LIMITED PARTNER | 11/2014 | 25-50% |
| LIPSAY FAMILY TRUST NO. 1 | Domestic Entity | GNREP II, LP | LIMITED PARTNER | 11/2014 | 50-75% |
| Lipsay, Deanne, Ruth | Individual | LIPSAY FAMILY TRUST NO. 1 | TRUSTEE | 11/2014 | |
| Perry, Denise | Individual | LIPSAY FAMILY TRUST NO. 1 | TRUSTEE | 11/2014 | |
| GNREP II CORP. | Domestic Entity | GNREP II, LP | GENERAL PARTNER | 11/2014 | |
| LIPSAY, SETH, BARRON | Individual | GNREP II CORP. | SHAREHOLDER, PRESIDENT | 11/2014 | 25-50% |
| LIPSAY, SETH, BARRON | Individual | – | CHIEF EXECUTIVE OFFICER | 11/2014 | < 5% |
| GALAXY FUND MANAGEMENT, LLC | Domestic Entity | GALAXY IM HOLDINGS, LLC | MANAGING MEMBER | 11/2014 | |
| Lipsay, Deanne, Ruth | Individual | GNREP II CORP. | SHAREHOLDER | 11/2014 | 25-50% |
| SCHLICHT, CHRISTINE, ELIZABETH | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2020 | < 5% |
| Partlow, Kenneth | Individual | – | CHIEF FINANCIAL OFFICER | 09/2019 | < 5% |