GROESBECK INVESTMENT MANAGEMENT CORP

Advisory Business

Type of Organization	Corporation
Fiscal Year End	DECEMBER
Legal Location	New Jersey, United States

Employees

Total Number of Employees	3
Investment Advisory/Research	3
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	2
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	37	$76.9M
Non-Discretionary	0	$0
Total	37	$76.9M

Clients

Type	Number	RAUM
Individuals	13	$3.4M
HNW Individuals	22	$63.6M
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	<5	$9.9M
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	37
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 businesses or institutional clients
Compensation	% of AUM

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	0
Portfolio Manager	5.8M
Both for Same	0

Portfolio Manager to Program	Sponsor
UBS MACAS	UBS FINANCIAL SERVICES INC.
MID ATLANTIC PORTFOLIO SOLUTIONS	MID ATLANTIC FINANCIAL MANAGEMENT, INC.
ENVESTNET	ENVESTNET PMC
MERRILL LYNCH SPA & MAS	MERRILL LYNCH
MORGAN STANLEY VISION	MORGAN STANLEY

Identifiers

SEC RIA File Number	801-44798
SEC ERA File Number	801-44798
SEC CIK Numbers	923116
SEC CRD Numbers	106679
Legal Entity Identifier	None

Principal Office

12 RTE. 17 NORTH
SUITE 130
PARAMUS
NJ
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic