AMERGIN ASSET MANAGEMENT, LLC
Adviser information for AMERGIN ASSET MANAGEMENT, LLC last updated from Form ADV on March 25th, 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 | 9 |
|---|---|
| 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 | $695.9M |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $695.9M |
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 | $695.9M |
| 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 feesORIGINATION FEES |
Identifiers
| SEC RIA File Number | 801-126990 |
|---|---|
| SEC ERA File Number | 801-126990 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 323350 |
| Legal Entity Identifier | None |
Principal Office
1100 HOLLAND DRIVEBOCA RATON
FL
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 561-760-1957, Fax: N/A
Chief Compliance Officer
DAVID SHIN
CHIEF COMPLIANCE OFFICER, TREASURER & HEAD OF CAPITAL MARKETS
256 E MIDDLE PATENT RD.
BEDFORD
NY
United States
Tel:
646-217-8563
Fax:
N/A
D****@************M
(Full email address available in API data)
Regulatory Contact
JERROLD ROSEN
CHIEF OPERATING OFFICER AND PRESIDENT OF AVIATION
8870 N BUCHANAN DRIVE
PRESCOTT
AZ
United States
Tel:
(201) 615-0555
Fax:
N/A
J*****@************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| AAM SERIES 1.1 RAIL AND DOMESTIC INTERMODAL FEEDER, LLC | TRANSPORTATION SECTOR | $0.0M | $0.0M | 6 |
| AAM SERIES 2.1 AVIATION FEEDER, LLC | TRANSPORTATION SECTOR | $0.0M | $0.0M | 6 |
| AAM SERIES, LLC, SERIES 1.1 RAIL AND DOMESTIC INTERMODAL ASSETS HOLDING COMPANY | TRANSPORTATION SECTOR | $0.0M | $0.0M | 6 |
| AAM SERIES, LLC, SERIES 2.1 AVIATION ASSETS HOLDING COMPANY | TRANSPORTATION SECTOR | $0.1M | $0.0M | 6 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MCGREENERY, MARK, JOHN | Individual | – | CHIEF EXECUTIVE OFFICER AND MEMBER OF INVESTMENT COMMITTEE | 11/2022 | < 5% |
| SHIN, DAVID, SUNGWOO | Individual | – | CHIEF COMPLIANCE OFFICER, TREASURER AND HEAD OF CAPITAL MARKETS, AND MEMBER OF INVESTMENT COMMITTEE | 11/2022 | < 5% |
| HOSANG, DUANE, WESLEY | Individual | – | CHIEF FINANCIAL OFFICER | 11/2022 | < 5% |
| AMERGIN ASSET MANAGEMENT HOLDINGS, INC. | Domestic Entity | – | MEMBER | 07/2022 | 50-75% |
| ORCC AAM LLC | Domestic Entity | – | MEMBER | 06/2022 | 5-10% |
| ORCC II AAM LLC | Domestic Entity | – | MEMBER | 06/2022 | 5-10% |
| ORCC III AAM LLC | Domestic Entity | – | MEMBER | 06/2022 | 5-10% |
| ORCIC AAM LLC | Domestic Entity | – | MEMBER | 06/2022 | 5-10% |
| ORTF AAM LLC | Domestic Entity | – | MEMBER | 03/2021 | 5-10% |
| ORTF II AAM LLC | Domestic Entity | – | MEMBER | 06/2022 | 5-10% |
| MCGREENERY, MARK, JOHN | Individual | AMERGIN ASSET MANAGEMENT HOLDINGS, INC. | SHAREHOLDER | 06/2022 | 25-50% |
| BLUE OWL CAPITAL CORPORATION | Domestic Entity | ORCC AAM LLC | MEMBER | 06/2022 | > 75% |
| BLUE OWL CAPITAL CORPORATION II | Domestic Entity | ORCC II AAM LLC | MEMBER | 06/2022 | > 75% |
| BLUE OWL CAPITAL CORPORATION III | Domestic Entity | ORCC III AAM LLC | MEMBER | 06/2022 | > 75% |
| BLUE OWL CREDIT INCOME CORP. | Domestic Entity | ORCIC AAM LLC | MEMBER | 06/2022 | > 75% |
| BLUE OWL TECHNOLOGY FINANCE CORP. | Domestic Entity | ORTF AAM LLC | MEMBER | 03/2021 | > 75% |
| BLUE OWL TECHNOLOGY FINANCE CORP. II | Domestic Entity | ORTF II AAM LLC | MEMBER | 06/2022 | > 75% |
| Rosen, Jerrold, R | Individual | – | CHIEF OPERATING OFFICER AND PRESIDENT OF AVIATION AND MEMBER OF INVESTMENT COMMITTEE | 11/2022 | < 5% |
| Harrison, Aidan, G | Individual | – | PRINCIPAL AND DIRECTOR OF IRISH OPERATIONS AND MEMBER OF INVESTMENT COMMITTEE | 11/2022 | < 5% |
| Roseberry, Henry, Kenneth | Individual | – | PRESIDENT OF RAIL AND MEMBER OF THE INVESTMENT COMMITTEE | 12/2022 | < 5% |