KOTAK ALTERNATE ASSET MANAGERS LIMITED
Adviser information for KOTAK ALTERNATE ASSET MANAGERS LIMITED last updated from Form ADV on July 28th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | MARCH |
| Legal Location | India |
Employees
| Total Number of Employees | 257 |
|---|---|
| Investment Advisory/Research | 64 |
| 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 | 15 | $3.1B |
| Non-Discretionary | 845 | $8.4B |
| Total | 860 | $11.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 542 | $4.8B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 22 | $3.4B |
| 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 | 296 | $3.4B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 100 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesINVESTMENT ADVISORY SERVICES TO CLIENTS ON A NON-DISCRETIONARY BASIS. PRIVATE FUNDS TO CLIENTS ON A DISCRETIONARY BASIS. |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-127639 |
|---|---|
| SEC ERA File Number | 801-127639 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 317952 |
| Legal Entity Identifier | 3358009WM2OCD58DA559 |
Principal Office
27 BKC, 7TH FLOOR, PLOT NO.C-27"G" BLOCK, BANDRA KURLA COMPLEX, BANDRA (EAST)
MUMBAI
India
Monday - Friday, 09:30 TO 18:30
Tel: +91-22-43360701, Fax: None
Chief Compliance Officer
VIJAYALAXMI KHATRI
27BKC, PLOT NO. C-27 'G' BLOCK
BANDRA KURLA COMPLEX
MUMBAI
India
Tel:
+91-22-43360701
V*****************@********M
(Full email address available in API data)
Regulatory Contact
MUKUND RAICHUR
27BKC, PLOT NO. C-27 'G' BLOCK
BANDRA KURLA COMPLEX
MUMBAI
India
Tel:
+91-22-43360701
Industry Affiliates
| KOTAK MAHINDRA (INTERNATIONAL) LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| KOTAK MAHINDRA ASSET MANAGEMENT (SINGAPORE) PTE. LTD. | Other investment adviser, including financial planners |
| KOTAK MAHINDRA ASSET MANAGEMENT COMPANY | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| KOTAK MAHINDRA BANK LTD | Banking or thrift institution |
| KOTAK MAHINDRA CAPITAL COMPANY LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| KOTAK MAHINDRA GENERAL INSURANCE COMPANY LTD | Insurance company or agency |
| KOTAK MAHINDRA LIFE INSURANCE COMPANY LTD | Insurance company or agency |
| KOTAK MAHINDRA TRUSTEESHIP SERVICES LIMITED | Trust company |
| KOTAK MAHINDRA, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| KOTAK SECURITIES LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| KOTAK OPTIMUS INDIA ALLOCATION AGGRESSIVE SCHEME | MULTI-ASSET FUND INVESTING IN EQUITY, DEBT AND MUTUAL FUNDS | $0.0M | $0.1M | 0 |
| KOTAK OPTIMUS INDIA ALLOCATION MODERATE SCHEME | MULTI-ASSET FUND INVESTING IN EQUITY, DEBT AND MUTUAL FUNDS | $0.0M | $0.1M | 0 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KOTAK MAHINDRA BANK LIMITED | Foreign Entity | – | MEMBER | 03/1994 | 50-75% |
| KOTAK MAHINDRA CAPITAL COMPANY LIMITED | Foreign Entity | – | MEMBER | 03/1994 | 25-50% |
| Khatri, Vijayalaxmi | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2022 | < 5% |
| Sriniwasan, Subramanian, NMN | Individual | – | MANAGING DIRECTOR | 01/2017 | < 5% |
| Mukund, Jaimin, Bhatt | Individual | – | DIRECTOR | 03/2001 | < 5% |
| Gupta, Dipak, NMN | Individual | – | DIRECTOR | 03/2016 | < 5% |
| Das, Oisharya, nmn | Individual | – | DIRECTOR | 08/2019 | < 5% |
| Shah, Gaurang, nmn | Individual | – | DIRECTOR | 05/2019 | < 5% |
| Saptarshi, Rajeev, nmn | Individual | – | CHIEF OPERATING OFFICER & WHOLE-TIME DIRECTOR | 08/2022 | < 5% |
| KOTAK MAHINDRA BANK | Foreign Entity | KOTAK MAHINDRA CAPITAL COMPANY LIMITED | MEMBER | 07/1995 | > 75% |
| KOTAK, UDAY, SURESH | Individual | KOTAK MAHINDRA BANK LIMITED | SHAREHOLDER | 11/1985 | 25-50% |
| Iyer, Lakshmi, Venugopalan | Individual | – | DIRECTOR | 05/2023 | < 5% |