ROSENBLATT GLOBAL ADVISORS
ROSENBLATT GLOBAL ADVISORS LLC Legal Name
Adviser information for ROSENBLATT GLOBAL ADVISORS last updated from Form ADV on September 11th, 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 | Limited Liability Company |
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Fiscal Year End | DECEMBER |
Legal Location | Delaware, United States |
Employees
Total Number of Employees | 5 |
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Investment Advisory/Research | 1 |
Registered Broker-Dealer Representatives | 4 |
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 |
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Type | Accounts | RAUM |
---|---|---|
Discretionary | 3 | $53.2M |
Non-Discretionary | 0 | $0 |
Total | 3 | $53.2M |
Clients
Type | Number | RAUM |
---|---|---|
Individuals | 0 | $0 |
HNW Individuals | <5 | $5.3M |
Banking or thrift institutions | <5 | $47.9M |
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 | 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 businesses or institutional clients |
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Compensation | % of AUMFixed fees |
Identifiers
SEC RIA File Number | 801-128002 |
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SEC ERA File Number | 801-128002 |
SEC CIK Numbers | None |
SEC CRD Numbers | 311654 |
Legal Entity Identifier | None |
Principal Office
40 WALL STREET59TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 8:30 AM - 5:00 PM
Tel: 212-607-3100, Fax: 212-607-3194
Websites
Chief Compliance Officer
JOSEPH C. GAWRONSKI, JR.
MANAGING MEMBER
40 WALL STREET
59TH FLOOR
NEW YORK
NY
United States
Tel:
212-607-3100
Fax:
212-607-3194
J************@*********M
(Full email address available in API data)
Regulatory Contact
JOURDAN FRAIN
CHIEF OPERATING OFFICER
40 WALL STREET
59TH FLOOR
NEW YORK
NY
United States
Tel:
212-607-3100
Fax:
212-607-3194
J************@*********M
(Full email address available in API data)
Industry Affiliates
ROSENBLATT SECURITIES INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
Name | Type | Assets $USD | Min Investment $USD | No. Owners |
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None
Control Persons
Name | Type | Entity | Title | Since | Ownership |
---|---|---|---|---|---|
ROSENBLATT, RICHARD, ALLAN | Individual | – | CHAIRMAN | 10/2020 | 25-50% |
GAWRONSKI, JOSEPH, CHARLES | Individual | – | CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER | 10/2020 | 25-50% |
FRAIN, JOURDAN, BLAKE | Individual | – | CHIEF OPERATING OFFICER | 09/2020 | 10-25% |