GAMMA ASSET MANAGEMENT LLC
Adviser information for GAMMA ASSET MANAGEMENT LLC last updated from Form ADV on March 26th, 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 | Puerto Rico, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 3 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 55 | $97.1M |
| Non-Discretionary | 2 | $3.5M |
| Total | 57 | $100.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 23 | $2.2M |
| HNW Individuals | 13 | $9.5M |
| 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 | 21 | $88.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 93 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-129754 |
|---|---|
| SEC ERA File Number | 801-129754 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 300050 |
| Legal Entity Identifier | None |
Principal Office
EDIFICIO OCHOA 500 CALLE DE LA TANCASUITE 305
SAN JUAN
PR
United States
Monday - Friday, 9:00AM-6:00PM
Tel: 787-957-3260, Fax: None
Websites
Chief Compliance Officer
DAVID GALARZA-SOSA
CHIEF COMPLIANCE OFFICER/AMLCO
EDIFICIO OCHOA 500 CALLE DE LA TANCA
SUITE 305
SAN JUAN
PR
United States
Tel:
787-957-3260
D*******@*************************M
(Full email address available in API data)
Industry Affiliates
| GAMMA SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GAMMA INTERNATIONAL BANK, INC. | Domestic Entity | – | 100% OWNER | 04/2021 | > 75% |
| PINECREST HOLDING, S.A. | Foreign Entity | GAMMA INTERNATIONAL BANK, INC. | SHAREHOLDER | 04/2021 | > 75% |
| NAVIO LORENCE, SANTIAGO | Individual | GAMMA INTERNATIONAL BANK, INC. | SHAREHOLDER | 04/2021 | 25-50% |
| Tejada Reynoso, Jose, Javier | Individual | PINECREST HOLDING, S.A. | SHAREHOLDER | 07/2018 | > 75% |
| TRONCOSO ACEBAL, MANUEL, PELAYO | Individual | – | CHIEF EXECUTIVE OFFICER | 06/2021 | < 5% |
| GALARZA-SOSA, DAVID | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2022 | < 5% |