MERCHANTS ASSET MANAGEMENT LLC
Adviser information for MERCHANTS ASSET MANAGEMENT LLC last updated from Form ADV on March 18th, 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 | 3 | $882.5M |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $882.5M |
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 | 3 | $882.5M |
| 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 | 2 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-121692 |
|---|---|
| SEC ERA File Number | 801-121692 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 314794 |
| Legal Entity Identifier | None |
Principal Office
155 EAST 44TH STREET, 24TH FLOORNEW YORK
NY
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 317-324-4601, Fax: None
Chief Compliance Officer
TERRY OZNICK
GENERAL COUNSEL
410 MONON BLVD.
CARMEL
IN
United States
Tel:
(317) 324-4601
T******@*************************M
(Full email address available in API data)
Regulatory Contact
DEAN RAMSAMOOJ
VICE PRESIDENT, CAPITAL MARKETS
410 MONON BLVD.
CARMEL
IN
United States
Tel:
(317) 324-4894
D*********@*******************M
(Full email address available in API data)
Industry Affiliates
| FARMERS-MERCHANTS BANK OF ILLINOIS | Banking or thrift institution |
| HEALTHCARE FUND I GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| MERCHANTS BANCORP | Banking or thrift institution |
| MERCHANTS BANK OF INDIANA | Banking or thrift institution |
| MERCHANTS CAPITAL 2021-FLI GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| MERCHANTS CAPITAL CORP | Banking or thrift institution |
| MERCHANTS CAPITAL SERVICING LLC | Banking or thrift institution |
| MERCHANTS HEALTHCARE FUND I OFFSHORE GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| MERCHANTS CAPITAL 2021-FLI, LP | Real Estate Fund | $456.3M | $0.0M | 2 |
| MERCHANTS HEALTHCARE FUND I OFFSHORE, LP | Private Equity Fund | $13.7M | $0.0M | 1 |
| MERCHANTS HEALTHCARE FUND I, LP | Private Equity Fund | $380.5M | $0.5M | 29 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MERCHANTS BANCORP | Domestic Entity | – | OWNER | 12/2020 | > 75% |
| GIBSON, EVAN, A | Individual | – | AUTHORIZED SIGNATORY | 12/2020 | < 5% |
| OZNICK, TERRY, ALLAN | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2020 | < 5% |
| PETRIE, MICHAEL, F | Individual | MERCHANTS BANCORP | CHAIRMAN & CHIEF EXECUTIVE OFFICER | 10/2006 | 25-50% |