GALLIARD CAPITAL MANAGEMENT
GALLIARD CAPITAL MANAGEMENT, LLC Legal Name
Adviser information for GALLIARD CAPITAL MANAGEMENT last updated from Form ADV on March 27th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 102 |
|---|---|
| Investment Advisory/Research | 20 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 8 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 277 | $84.9B |
| Non-Discretionary | 2 | $643.9M |
| Total | 279 | $85.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $363.7M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 8 | $17.2B |
| Pension and profit sharing plans | 105 | $38.1B |
| Charitable organizations | 19 | $3.8B |
| State or municipal gov entities | 47 | $24.0B |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $597.1M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $291.8M |
| Other | 9 | $1.2B |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
800 LASALLE AVE., STE 1400MINNEAPOLIS
MN
United States
Monday - Friday, 8:00 A.M. TO 5:00 P.M.
Tel: 612-667-3220, Fax: None
Chief Compliance Officer
PAUL FELSCH
800 LASALLE AVE., STE 1400
MINNEAPOLIS
MN
United States
Tel:
314-274-3099
P**********@******************M
(Full email address available in API data)
Regulatory Contact
ANDREW MCKESSOCK
COMPLIANCE OFFICER
800 LASALLE AVE., STE 1400
MINNEAPOLIS
MN
United States
Tel:
1 612-474-4969
A***************@***********M
(Full email address available in API data)
Industry Affiliates
| ALLSPRING FUNDS DISTRIBUTOR, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| ALLSPRING FUNDS MANAGEMENT, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| ALLSPRING GLOBAL INVESTMENTS (HONG KONG) LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| ALLSPRING GLOBAL INVESTMENTS (JAPAN) LIMITED | Other investment adviser, including financial planners |
| ALLSPRING GLOBAL INVESTMENTS (SINGAPORE) PTE. LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| ALLSPRING GLOBAL INVESTMENTS (UK) LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| ALLSPRING GLOBAL INVESTMENTS LUXEMBOURG S.A. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| ALLSPRING GLOBAL INVESTMENTS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| GALLIARD BROAD MARKET CORE FUND, LLC | POOLED INVESTMENT FUND | $0.0M | $5.0M | 0 |
| GALLIARD INTERMEDIATE AGGREGATE FUND, LLC | POOLED INVESTMENT FUND | $0.0M | $5.0M | 0 |
| GALLIARD SHORT CORE FUND, LLC | POOLED INVESTMENT FUND | $0.0M | $5.0M | 0 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MIRZA, AJAY, (NMN) | Individual | – | SENIOR MANAGING PRINCIPAL | 01/2020 | < 5% |
| NORMAN, MICHAEL, DAVID | Individual | – | PRESIDENT AND SENIOR MANAGING PRINCIPAL | 10/2022 | < 5% |
| ALLSPRING GLOBAL INVESTMENTS HOLDINGS, LLC | Domestic Entity | – | DIRECT PARENT COMPANY | 11/2021 | > 75% |
| ALLSPRING BUYER, LLC | Domestic Entity | ALLSPRING GLOBAL INVESTMENTS HOLDINGS, LLC | SHAREHOLDER | 11/2021 | > 75% |
| ALLSPRING INTERMEDIATE II, LLC | Domestic Entity | ALLSPRING BUYER, LLC | SHAREHOLDER | 11/2021 | > 75% |
| ALLSPRING INTERMEDIATE I, LLC | Domestic Entity | ALLSPRING INTERMEDIATE II, LLC | SHAREHOLDER | 11/2021 | > 75% |
| ALLSPRING GROUP HOLDINGS, LLC | Domestic Entity | ALLSPRING INTERMEDIATE I, LLC | SHAREHOLDER | 11/2021 | > 75% |
| GTCR FUND XIII/B LP | Domestic Entity | ALLSPRING GROUP HOLDINGS, LLC | SHAREHOLDER | 11/2021 | 25-50% |
| MCMILLIN, MOLLY, FESTA | Individual | ALLSPRING GLOBAL INVESTMENTS HOLDINGS, LLC | MANAGER | 11/2021 | |
| SQUIRE, SALLIE, CLEMENTS | Individual | ALLSPRING GLOBAL INVESTMENTS HOLDINGS, LLC | MANAGER | 11/2021 | |
| SULLIVAN, JOSEPH, ANDREW | Individual | ALLSPRING GLOBAL INVESTMENTS HOLDINGS, LLC | MANAGER | 11/2021 | |
| GTCR PARTNERS XIII/B LP | Domestic Entity | GTCR FUND XIII/B LP | GENERAL PARTNER | 07/2020 | |
| GTCR INVESTMENT XIII LLC | Domestic Entity | GTCR PARTNERS XIII/B LP | GENERAL PARTNER | 07/2020 | |
| Felsch, Paul, Werner | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2023 | < 5% |
| SQUIRE, SALLIE, CLEMENTS | Individual | – | CHIEF OPERATIONS OFFICER | 02/2023 | < 5% |