KAUFMAN HALL INVESTMENT MANAGEMENT
KAUFMAN HALL INVESTMENT MANAGEMENT, LLC Legal Name
Adviser information for KAUFMAN HALL INVESTMENT MANAGEMENT last updated from Form ADV on March 22nd, 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 | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| 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 | 27 | $1.2B |
| Non-Discretionary | 0 | $0 |
| Total | 27 | $1.2B |
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 | 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 | 27 | $1.2B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-129164 |
|---|---|
| SEC ERA File Number | 801-129164 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 328876 |
| Legal Entity Identifier | None |
Principal Office
10 CADILLAC DRIVESUITE 120
BRENTWOOD
TN
United States
Monday - Friday, 8:00-4:00
Tel: 615-690-5541, Fax: 615-613-0217
Websites
Chief Compliance Officer
PAUL BROWN
GENERAL COUNSEL
200 SOUTH WACKER DRIVE
SUITE 2800
CHICAGO
IL
United States
Tel:
847-441-8780
Fax:
847-965-3511
P*****@**************M
(Full email address available in API data)
Industry Affiliates
| KAUFMAN, HALL & ASSOCIATES | Registered municipal advisorCommodity pool operator or commodity trading advisor |
| PONDER & CO. | Registered municipal advisorCommodity pool operator or commodity trading advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CESARONE, BRITT, ADELBERT | Individual | – | SENIOR VICE PRESIDENT | 09/2023 | < 5% |
| HITESHEW, DAVID, ANDERS | Individual | – | SENIOR VICE PRESIDENT | 10/2023 | < 5% |
| KAUFMAN, HALL & ASSOCIATES, LLC | Domestic Entity | – | OWNER | 09/2023 | > 75% |
| TURNER, ROBERT, NICHOLAS | Individual | – | VICE PRESIDENT | 09/2023 | < 5% |
| KH INTERMEDIATE HOLDINGS, LLC | Domestic Entity | KAUFMAN, HALL & ASSOCIATES, LLC | OWNER | 06/2023 | > 75% |
| KH AQUISITION, LLC | Domestic Entity | KH INTERMEDIATE HOLDINGS, LLC | MEMBER | 12/2021 | > 75% |
| Brown, Paul, Steven | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2023 | < 5% |
| VIZIENT, INC. | Domestic Entity | KH TOPCO, LLC | MEMBER | 12/2021 | 25-50% |
| KH TOPCO, LLC | Domestic Entity | KH AQUISITION, LLC | MEMBER | 12/2023 | > 75% |
| DesJardins, Tracy, Ann | Individual | – | VICE PRESIDENT | 10/2023 | < 5% |