GAM USA INC.
Adviser information for GAM USA INC. last updated from Form ADV on March 29th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 3 |
| 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 |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 8 | $983.5M |
| Non-Discretionary | 0 | $0 |
| Total | 8 | $983.5M |
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 | 2 | $242.6M |
| Pension and profit sharing plans | <5 | $409.2M |
| Charitable organizations | <5 | $91.1M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $195.0M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $45.6M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 25 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Principal Office
600 FIFTH AVENUESUITE 200
NEW YORK
NY
United States
Monday - Friday, 9:00 AM-5:00 PM
Tel: 212-407-4600, Fax: 212-407-4684
Chief Compliance Officer
AIDA SAMARZIJA
CHIEF COMPLIANCE OFFICER
600 FIFTH AVENUE
SUITE 200
NEW YORK
NY
United States
Tel:
+1 9177544764
A*************@************M
(Full email address available in API data)
Regulatory Contact
CHRIS BEEVOR
GROUP COMPLIANCE COO
8 FINSBURY CIRCUS
LONDON
United Kingdom
Tel:
+442073938681
Fax:
917-267-7107
C***********@******M
(Full email address available in API data)
Industry Affiliates
| GAM (ITALIA) SGR S.P.A. | Sponsor, GP, manager of pooled investment vehicles |
| GAM (LUXEMBOURG) S.A. | Sponsor, GP, manager of pooled investment vehicles |
| GAM FUND MANAGEMENT LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| GAM HONG KONG LIMITED | Other investment adviser, including financial planners |
| GAM INTERNATIONAL MANAGEMENT LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| GAM INVESTMENT MANAGEMENT (SWITZERLAND) AG | Other investment adviser, including financial planners |
| GAM INVESTMENTS (AUSTRALIA) PTY LTD | Other investment adviser, including financial planners |
| GAM JAPAN LIMITED | Other investment adviser, including financial planners |
| GAM LONDON LIMITED | Other investment adviser, including financial planners |
| GAM STERLING MANAGEMENT LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| GAM SYSTEMATIC LLP | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| GAM MULTIBOND ABS POOL | Securitized Asset Fund | $6.1M | $0.0M | 3 |
| GAM STAR MBS TOTAL RETURN | Securitized Asset Fund | $236.5M | $0.0M | 53 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GAM HOLDING AG | Foreign Entity | GAM (SWITZERLAND) HOLDING AG | SHAREHOLDER OF GAM (SWITZERLAND) HOLDING AG | 11/2021 | > 75% |
| GAM (SWITZERLAND) HOLDING AG | Foreign Entity | – | SHAREHOLDER OF GAM USA | 11/2021 | > 75% |
| TINIO, MARIA, LOURDES | Individual | – | TREASURER | 11/2021 | < 5% |
| SAMARZIJA, AIDA, SNJEZANA | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2023 | < 5% |
| TAN, NICHOLAS, S | Individual | – | DIRECTOR | 08/2023 | < 5% |
| WALKER, IAN, ANDREW | Individual | – | DIRECTOR | 08/2023 | < 5% |