ROBOTTI & COMPANY ADVISORS, LLC
Adviser information for ROBOTTI & COMPANY ADVISORS, LLC 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 18 |
|---|---|
| Investment Advisory/Research | 14 |
| Registered Broker-Dealer Representatives | 12 |
| Registered State Investment Advisers | 4 |
| 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 | 249 | $987.9M |
| Non-Discretionary | 0 | $0 |
| Total | 249 | $987.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 37 | $22.7M |
| HNW Individuals | 186 | $312.7M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 7 | $603.6M |
| Pension and profit sharing plans | 13 | $21.9M |
| Charitable organizations | 5 | $23.7M |
| 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 | $3.3M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsFEE FOR INVESTMENT ADVICE |
|---|---|
| Compensation | % of AUMPerformance-based feesFEE FOR INVESTMENT ADVICE |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 62.6M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| ROBOTTI & COMPANY ADVISORS, LLC WRAP FEE PROGRAM | ROBOTTI & COMPANY ADVISORS, LLC |
Principal Office
125 PARK AVENUESUITE 1607
NEW YORK
NY
United States
Monday - Friday, 9:00 TO 5:00 EST
Tel: 212 986-4800, Fax: 212 986-0816
Chief Compliance Officer
DENNIS KELLEHER
125 PARK AVENUE
SUITE 1607
NEW YORK
NY
United States
Tel:
646-442-6719
Fax:
212-986-0816
K*******@**********M
(Full email address available in API data)
Regulatory Contact
NICHOLAS AMMANN
COLMPLIANCE ASSOCIATE
125 PARK AVENUE
SUITE 1607
NEW YORK
NY
United States
Tel:
212-986-4800
Fax:
212-986-0816
C*********@**********M
(Full email address available in API data)
Industry Affiliates
| BRW INVESTORS, L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| HAYASTAN MANAGEMENT, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| JB CAPITAL PARTNERS | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| JEN CAPITAL MANAGEMENT, LLC | Sponsor, GP, manager of pooled investment vehicles |
| MANOR BAY FUND, L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| METHODICAL INVESTMENTS, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| RAVENSWOOD MANAGEMENT COMPANY LLC | Sponsor, GP, manager of pooled investment vehicles |
| ROBOTTI GLOBAL MANAGEMENT COMPANY, LLC | Sponsor, GP, manager of pooled investment vehicles |
| ROBOTTI SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| RSK INVESTORS, L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| JEN CAPITAL PARTNERS, LLC | Hedge Fund | $23.4M | $1.0M | 17 |
| RAVENSWOOD INVESTMENTS III LP | Hedge Fund | $200.7M | $1.0M | 36 |
| ROBOTTI GLOBAL FUND, LLC | Hedge Fund | $33.5M | $1.0M | 34 |
| THE RAVENSWOOD INVESTMENT COMPANY LP | Hedge Fund | $318.6M | $1.0M | 51 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ROBOTTI & COMPANY, INCORPORATED | Domestic Entity | – | SOLE MEMBER OF APPLICANT | 07/2003 | > 75% |
| ROBOTTI, ROBERT, EDWARD | Individual | – | PRESIDENT, TREASURER AND DIRECTOR OF APPLICANT | 07/2003 | < 5% |
| WASIAK, KENNETH, RONALD | Individual | – | DIRECTOR | 07/2003 | < 5% |
| ROBOTTI, ROBERT, EDWARD | Individual | ROBOTTI & COMPANY, INCORPORATED | STOCKHOLDER | 01/1983 | 50-75% |
| MEVORAH, ERWIN, I | Individual | – | CHIEF FINANCIAL OFFICER AND SECRETARY OF APPLICANT | 12/2007 | < 5% |
| SEKLIR, NANCY, ELIZABETH | Individual | – | DIRECTOR | 06/2011 | < 5% |
| ROBOTTI, SUZANNE, BENSON | Individual | – | DIRECTOR | 10/2015 | < 5% |
| KELLEHER, DENNIS, MICHAEL | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2019 | < 5% |