GARDNER LEWIS ASSET MANAGEMENT LP
Adviser information for GARDNER LEWIS ASSET MANAGEMENT LP 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 Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Pennsylvania, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| 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 | 18 | $356.5M |
| Non-Discretionary | 0 | $0 |
| Total | 18 | $356.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | <5 | $3.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $41.1M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 11 | $269.3M |
| 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 | <5 | $42.7M |
| 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 individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-36476 |
|---|---|
| SEC ERA File Number | 801-36476 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 105033 |
| Legal Entity Identifier | 254900FI4VX33VOBQL83 |
Principal Office
285 WILMINGTON WEST CHESTER PIKECHADDS FORD
PA
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 610-558-2800, Fax: 610-558-4839
Chief Compliance Officer
CARUSO, DENISE
CHIEF COMPLIANCE OFFICER
285 WILMINGTON-WEST CHESTER PIKE
CHADDS FORD
PA
United States
Tel:
610-558-2800
Fax:
610-558-4839
D************@***************M
(Full email address available in API data)
Industry Affiliates
| GARDNER LEWIS PARTNERS, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| GARDNER LEWIS EVENT DRIVEN FUND, L.P. | Hedge Fund | $60.8M | $1.0M | 6 |
| GARDNER LEWIS FUND, LP | Hedge Fund | $76.1M | $1.0M | 13 |
| GARDNER LEWIS MERGER ARBITRAGE FUND, LP | Hedge Fund | $11.6M | $1.0M | 10 |
| GARDNER LEWIS MERGER ARBITRAGE MASTER FUND, LP | Hedge Fund | $0.1M | $1.0M | 2 |
| GL EVENT AND SPECIAL SITUATION HOLDINGS, LLC | Hedge Fund | $7.8M | $0.0M | 2 |
| GL EVENT AND SPECIAL SITUATIONS MASTER FUND, LTD | Hedge Fund | $28.5M | $1.0M | 12 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GARDNER, WILLIAM, WHITFIELD | Individual | – | LIMITED PARTNER | 09/1994 | > 75% |
| GARDNER LEWIS ASSET MANAGEMENT, INC. | Domestic Entity | – | GENERAL PARTNER | 09/1994 | < 5% |
| GARDNER, WILLIAM, WHITFIELD | Individual | GARDNER LEWIS ASSET MANAGEMENT, INC. | CHAIRMAN & CEO | 09/1994 | > 75% |
| CARUSO, DENISE, M | Individual | – | CCO | 10/2022 | < 5% |