GLADSTONE MANAGEMENT CORPORATION
Adviser information for GLADSTONE MANAGEMENT CORPORATION last updated from Form ADV on September 25th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | JUNE |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 45 |
|---|---|
| Investment Advisory/Research | 40 |
| Registered Broker-Dealer Representatives | 10 |
| 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 | 4 | $4.2B |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $4.2B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 2 | $1.6B |
| 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 | 0 | $0 |
| Other | <5 | $2.6B |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companiesCERTAIN PORTFOLIO SERVICES FOR REITS (SEE BROCHURE) |
|---|---|
| Compensation | % of AUMPerformance-based feesCERTAIN PORTFOLIO SERVICES TO FUND CLIENTS (SEE BROCHURE) |
Principal Office
1521 WESTBRANCH DRIVESUITE 100
MCLEAN
VA
United States
Monday - Friday, 9:00AM TO 5:00PM
Tel: 703-287-5800, Fax: 703-287-5901
Chief Compliance Officer
JACK DELLAFIORA
CHIEF COMPLIANCE OFFICER
1521 WESTBRANCH DRIVE
SUITE 100
MCLEAN
VA
United States
Tel:
703-287-5872
Fax:
703-287-5874
J**************@*********************M
(Full email address available in API data)
Industry Affiliates
| GLADSTONE SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BRUBAKER, TERRY, LEE | Individual | – | DIRECTOR, VICE CHAIRMAN AND CHIEF OPERATING OFFICER | 06/2002 | < 5% |
| GLADSTONE, DAVID, JOHN | Individual | – | CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 06/2002 | < 5% |
| GLADSTONE, DAVID, JOHN | Individual | THE GLADSTONE COMPANIES, LTD | SHAREHOLDER | 06/2002 | > 75% |
| DELLAFIORA, JOHN, ANTHONY | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2007 | < 5% |
| THE GLADSTONE COMPANIES, INC. | Domestic Entity | – | SHAREHOLDER | 01/2010 | > 75% |
| LICALSI, MICHAEL, BERNARD | Individual | – | GENERAL COUNSEL | 10/2009 | < 5% |
| THE GLADSTONE COMPANIES, LTD | Foreign Entity | THE GLADSTONE COMPANIES, INC. | SHAREHOLDER | 05/2016 | > 75% |
| MALESARDI, MICHAEL, JOHN | Individual | – | CHIEF FINANCIAL OFFICER | 09/2018 | < 5% |
| GLADSTONE, LAURA, PATRICIA | Individual | – | DIRECTOR | 05/2023 | < 5% |