ROUMELL ASSET MANAGEMENT, LLC
Adviser information for ROUMELL ASSET MANAGEMENT, LLC last updated from Form ADV on March 26th, 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 | Maryland, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 61 | $95.4M |
| Non-Discretionary | 0 | $0 |
| Total | 61 | $95.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 34 | $1.6M |
| HNW Individuals | 25 | $9.6M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $84.2M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| 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 | $7,857 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Principal Office
3516 RAYMOND STREETCHEVY CHASE
MD
United States
Monday - Friday, 8:30 TO 5:30
Tel: 301-656-8500, Fax: None
Chief Compliance Officer
CRAIG LUKIN
CHIEF OPERATING OFFICER
2 WISCONSIN CIRCLE
SUITE 700
CHEVY CHASE
MD
United States
Tel:
301-656-8500
C*****@***************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ROUMELL, JAMES, CHRISTOPHER | Individual | – | PRESIDENT/PORTFOLIO MANAGER/MANAGING MEMBER | 12/1998 | > 75% |
| LUKIN, CRAIG, L | Individual | – | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER/MEMBER | 03/2007 | 10-25% |
| CRAWFORD, EDWARD, ALEXANDER | Individual | – | MEMBER | 01/2013 | 5-10% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ACACIA RESH CORP | ACACIA TCH COM | 4M | 727K | – |
| CBRE GBL REAL ESTATE INC FD | COM | 2M | 395K | – |
| COLLPLANT BIOTECHNOLOGIES LT | SHS NEW | 1M | 276K | – |
| COMSCORE INC | COM NEW | 720K | 51K | – |
| KITE RLTY GROUP TR | COM NEW | 3M | 152K | – |
| KVH INDS INC | COM | 2M | 332K | – |
| LIBERTY ENERGY INC | COM CL A | 5M | 258K | – |
| LIQUIDITY SVCS INC | COM | 5M | 234K | – |
| MAGNITE INC | COM | 5M | 388K | – |
| OLO INC | CL A | 6M | 1M | – |
| OPERA LTD | SPONSORED ADS | 6M | 407K | – |
| PATTERSON-UTI ENERGY INC | COM | 3M | 325K | – |
| SELECT WATER SOLUTIONS INC | CL A COM | 5M | 491K | – |
| SITE CTRS CORP | COM | 2M | 110K | – |
| WHITESTONE REIT | COM | 3M | 192K | – |
| XAI OCTAGN FLT RAT & ALT INM | COM | 997K | 141K | – |