AQUILA INVESTMENT MANAGEMENT LLC

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	Delaware, United States

Employees

Total Number of Employees	36
Investment Advisory/Research	10
Registered Broker-Dealer Representatives	19
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	9	$2.1B
Non-Discretionary	0	$0
Total	9	$2.1B

Clients

Type	Number	RAUM
Individuals	0	$0
HNW Individuals	0	$0
Banking or thrift institutions	0	$0
Investment companies	9	$2.1B
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	0
No. of Financial Planning Clients	0

Services

Advisory Services	Portfolio management for investment companies
Compensation	% of AUM
Other Business Activities	Broker-dealer

Identifiers

SEC RIA File Number	801-22119
SEC ERA File Number	801-22119
SEC CIK Numbers	1610392
SEC CRD Numbers	105588
Legal Entity Identifier	549300B3GE3MJ5RQBG49

Principal Office

120 WEST 45TH STREET
SUITE 3600
NEW YORK
NY
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic