Hedge Fund Database

RAINIER INVESTMENT MANAGEMENT LLC

Adviser information for RAINIER INVESTMENT MANAGEMENT LLC last updated from Form ADV on March 13th, 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 Washington, United States

Employees

Total Number of Employees 3
Investment Advisory/Research 3
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 0
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 6 $840.3M
Non-Discretionary 0 $0
Total 6 $840.3M

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 0 $0
Banking or thrift institutions 0 $0
Investment companies 1 $559.8M
Business development companies 0 $0
Pooled investment vehicles 3 $232.8M
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 2 $47.7M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 50
No. of Financial Planning Clients 0

Services

Advisory Services Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients
Compensation % of AUM

Identifiers

SEC RIA File Number 801-35638
SEC ERA File Number 801-35638
SEC CIK Numbers 947772
SEC CRD Numbers 105556
Legal Entity Identifier 549300UY0FJ5WIWGHN70

Principal Office

600 UNIVERSITY STREET
SUITE 2412
SEATTLE
WA
United States
Monday - Friday, 7:00AM - 4:00PM
Tel: 206-518-6600, Fax: 206-518-6601

Websites

www.manning-napier.com www.linkedin.com/company/manningnapier/ twitter.com/manningnapier www.youtube.com/user/manningandnapier

Chief Compliance Officer

JESSICA KUSHNER
CCO, MANNING & NAPIER ADVISORS, LLC
290 WOODCLIFF DRIVE
FAIRPORT
NY
United States
Tel: 585-325-6880
Fax: 585-399-8059
(Full email address available in API data)

Regulatory Contact

SARAH TURNER
GENERAL COUNSEL
290 WOODCLIFF DR.
FAIRPORT
NY
United States
Tel: 585-325-6880
(Full email address available in API data)

Industry Affiliates

CALLODINE CAPITAL MANAGEMENT Other investment adviser, including financial planners
CALLODINE CAPITAL PARTNERS LLC Sponsor, GP, manager of pooled investment vehicles
CALLODINE COMMERCIAL PARTNERS, LLC Sponsor, GP, manager of pooled investment vehicles
CALLODINE CREDIT MANAGEMENT Other investment adviser, including financial planners
CALLODINE STRATEGIC CREDIT FUND II GP, LLC Sponsor, GP, manager of pooled investment vehicles
CALLODINE STRATEGIC CREDIT, LLC Other investment adviser, including financial planners
EXETER TRUST COMPANY Trust company
MANNING & NAPIER ADVISORS, LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
MANNING & NAPIER INVESTOR SERVICES, INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealer
RAND CAPITAL MANAGEMENT Other investment adviser, including financial planners
THOROFARE CAPITAL, INC. Real estate broker or dealer
THOROFARE LENDING FUND IV MANAGEMENT, LLC Sponsor, GP, manager of pooled investment vehicles
THOROFARE LENDING FUND V MANAGEMENT, LLC Sponsor, GP, manager of pooled investment vehicles
THOROFARE LLC Other investment adviser, including financial planners

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
MANNING & NAPIER GROUP, LLC Domestic Entity – SOLE OWNER 04/2016 > 75%
MANNING & NAPIER INC. Domestic Entity MANNING & NAPIER GROUP, LLC SOLE MANAGING MEMBER 06/2011 > 75%
KUSHNER, JESSICA, MICHELE Individual – CHIEF COMPLIANCE OFFICER 05/2017 < 5%
Turner, Sarah, Christine Individual – CORPORATE SECRETARY 09/2018 < 5%
MAYER, MARC, ORLANS Individual – CEO 01/2019 < 5%
CALLODINE MIDCO, INC Domestic Entity MANNING & NAPIER INC. OWNER 04/2022 > 75%
CALLODINE MN HOLDINGS, INC. Domestic Entity CALLODINE MIDCO, INC OWNER 03/2022 > 75%
CALLODINE AGGREGATOR, LLC Domestic Entity CALLODINE MN HOLDINGS, INC. OWNER 03/2022 > 75%
CALLODINE GROUP, LLC Domestic Entity CALLODINE AGGREGATOR, LLC OWNER 03/2022 50-75%
EAST ASSET MANAGEMENT, LLC Domestic Entity CALLODINE AGGREGATOR, LLC OWNER 03/2022 25-50%
Morrow, James, Stuart Individual CALLODINE GROUP, LLC OWNER 10/2020 > 75%
PEGULA, TERRENCE, MICHAEL Individual EAST ASSET MANAGEMENT, LLC OWNER 01/2018 50-75%
PEGULA, KIM, SUANNE Individual EAST ASSET MANAGEMENT, LLC OWNER 01/2018 50-75%

No. Employees, Historic

105020192020202120222023202420254 on 5/24/20193 on 3/5/20203 on 5/15/20203 on 3/17/20213 on 4/30/20213 on 7/30/20213 on 3/26/20223 on 4/22/20223 on 11/14/20223 on 11/30/20223 on 3/3/20233 on 3/13/2024

RAUM, Historic

2B1B02019202020212022202320242025738293213 on 5/24/2019824057335 on 3/5/2020824057335 on 5/15/20201081859397 on 3/17/20211081859397 on 4/30/20211081859397 on 7/30/2021856310488 on 3/26/20221269490155 on 4/22/20221269490155 on 11/14/20221269490155 on 11/30/2022930481643 on 3/3/2023840282836 on 3/13/2024

No. Clients, Historic

105020192020202120222023202420255 on 5/24/20195 on 3/5/20205 on 5/15/20205 on 3/17/20215 on 4/30/20215 on 7/30/20215 on 3/26/20225 on 4/22/20225 on 11/14/20225 on 11/30/20226 on 3/3/20236 on 3/13/2024

Holdings

From latest 13F, filed February 2nd, 2018 for period ending December 31st, 2017
Name Class Value $USD # Shares Private Fund
AMEDISYS INC COM 2K 36K –
AMERICAN WTR WKS CO INC NEW COM 4K 41K –
APOGEE ENTERPRISES INC COM 2K 39K –
AXALTA COATING SYS LTD COM 3K 104K –
BANK OF THE OZARKS COM 4K 75K –
BRUNSWICK CORP COM 2K 38K –
BURLINGTON STORES INC COM 3K 23K –
CADENCE DESIGN SYSTEM INC COM 1K 28K –
COMFORT SYS USA INC COM 4K 102K –
COSTAR GROUP INC COM 3K 11K –
COUPA SOFTWARE INC COM 3K 85K –
DIAMONDBACK ENERGY INC COM 3K 26K –
E TRADE FINANCIAL CORP COM NEW 4K 77K –
EAGLE MATERIALS INC COM 3K 30K –
EAST WEST BANCORP INC COM 3K 55K –
EQUINIX INC COM PAR $0.001 4K 10K –
EURONET WORLDWIDE INC COM 2K 29K –
EVERCORE INC CLASS A 6K 66K –
FIRST REP BK SAN FRANCISCO C COM 3K 38K –
FLEETCOR TECHNOLOGIES INC COM 3K 14K –
FORTINET INC COM 4K 81K –
GARTNER INC COM 2K 15K –
GRANITE CONSTR INC COM 962 15K –
HUBSPOT INC COM 3K 30K –
HUDSON PAC PPTYS INC COM 3K 76K –
INSULET CORP COM 2K 33K –
IONIS PHARMACEUTICALS INC COM 1K 23K –
JETBLUE AIRWAYS CORP COM 3K 133K –
K2M GROUP HLDGS INC COM 2K 93K –
LAM RESEARCH CORP COM 3K 17K –
LENNOX INTL INC COM 3K 15K –
LIVE NATION ENTERTAINMENT IN COM 3K 68K –
LUMENTUM HLDGS INC COM 2K 40K –
MARVELL TECHNOLOGY GROUP LTD ORD 4K 179K –
MATADOR RES CO COM 3K 109K –
MDU RES GROUP INC COM 3K 95K –
MERCURY SYS INC COM 5K 103K –
MIDDLEBY CORP COM 3K 25K –
MOHAWK INDS INC COM 4K 16K –
MONMOUTH REAL ESTATE INVT CO CL A 3K 180K –
NATIONAL STORAGE AFFILIATES COM SHS BEN IN 3K 108K –
NATUS MEDICAL INC DEL COM 3K 83K –
NEWFIELD EXPL CO COM 3K 94K –
NORWEGIAN CRUISE LINE HLDGS SHS 4K 66K –
NUVASIVE INC COM 3K 48K –
OLLIES BARGAIN OUTLT HLDGS I COM 2K 35K –
ON ASSIGNMENT INC COM 4K 63K –
ON SEMICONDUCTOR CORP COM 3K 120K –
OSHKOSH CORP COM 5K 57K –
OSI SYSTEMS INC COM 2K 36K –
PALO ALTO NETWORKS INC COM 2K 17K –
PARATEK PHARMACEUTICALS INC COM 1K 76K –
PAYCOM SOFTWARE INC COM 3K 35K –
PERRIGO CO PLC SHS 2K 23K –
PHYSICIANS RLTY TR COM 3K 141K –
PINNACLE FINL PARTNERS INC COM 3K 45K –
PINNACLE FOODS INC DEL COM 4K 73K –
PRA HEALTH SCIENCES INC COM 2K 24K –
PROGRESSIVE CORP OHIO COM 4K 71K –
PROOFPOINT INC COM 2K 22K –
QUANTA SVCS INC COM 4K 103K –
RAYMOND JAMES FINANCIAL INC COM 4K 46K –
RETAIL OPPORTUNITY INVTS COR COM 3K 128K –
RINGCENTRAL INC CL A 5K 104K –
SIGNATURE BK NEW YORK N Y COM 2K 18K –
SKYWORKS SOLUTIONS INC COM 3K 30K –
SMITH A O COM 6K 93K –
TELEFLEX INC COM 6K 24K –
TETRA TECH INC NEW COM 4K 90K –
THOR INDS INC COM 4K 26K –
TOTAL SYS SVCS INC COM 5K 57K –
TYLER TECHNOLOGIES INC COM 2K 12K –
ULTA BEAUTY INC COM 2K 9K –
VULCAN MATLS CO COM 3K 25K –
WESTERN ALLIANCE BANCORP COM 5K 92K –