GRESHAM INVESTMENT MANAGEMENT LLC
Adviser information for GRESHAM INVESTMENT MANAGEMENT LLC last updated from Form ADV on March 28th, 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 | 47 |
|---|---|
| Investment Advisory/Research | 22 |
| Registered Broker-Dealer Representatives | 1 |
| 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 | 22 | $6.1B |
| Non-Discretionary | 0 | $0 |
| Total | 22 | $6.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 13 | $3.6B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | <5 | $2.1B |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $38.2M |
| Corporations or other businesses | 0 | $0 |
| Other | <5 | $391.0M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 50 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-64039 |
|---|---|
| SEC ERA File Number | 801-64039 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 134392 |
| Legal Entity Identifier | 5493007O8FKJ7YLMPQ42 |
Principal Office
257 PARK AVENUE SOUTH, 7TH FL.NEW YORK
NY
United States
Monday - Friday, 9AM-5PM
Tel: 212-984-1430, Fax: None
Chief Compliance Officer
ANNA M. TKACHEV
MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER
257 PARK AVENUE SOUTH, 7TH FL
NEW YORK
NY
United States
Tel:
212 913-2337
A**@*************M
(Full email address available in API data)
Regulatory Contact
FUNDA AKGOK
COMPLIANCE OFFICER
257 PARK AVENUE SOUTH, 7TH FLOOR
NEW YORK
NY
United States
Tel:
212 388-7711
F**@*************M
(Full email address available in API data)
Industry Affiliates
| AGR PARTNERS LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| CHURCHILL ASSET MANAGEMENT LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| CHURCHILL DLC ADVISOR LLC | Other investment adviser, including financial planners |
| CLEAN ENERGY PARTNERS LLP | Sponsor, GP, manager of pooled investment vehicles |
| GLENNMONT ASSET MANAGEMENT LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| GLENNMONT PARTNERS I LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| GRESHAM ASSET MANAGEMENT LLC | Sponsor, GP, manager of pooled investment vehicles |
| NUVEEN ALTERNATIVES ADVISORS LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NUVEEN ASSET MANAGEMENT EUROPE SARL | Other investment adviser, including financial planners |
| NUVEEN ASSET MANAGEMENT, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorPension consultantSponsor, GP, manager of pooled investment vehicles |
| NUVEEN FUND ADVISORS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| NUVEEN INVESTMENT MANAGEMENT INTERNATIONAL LIMITED | Other investment adviser, including financial planners |
| NUVEEN REAL ESTATE | Other investment adviser, including financial planners |
| NUVEEN SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NUVEEN SINGAPORE PRIVATE LTD | Other investment adviser, including financial planners |
| TEACHERS ADVISORS, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| TIAA-CREF INVESTMENT MANAGEMENT LLC | Other investment adviser, including financial planners |
| WESTCHESTER GROUP REAL ESTATE, INC. | Real estate broker or dealer |
| WINSLOW CAPITAL MANAGEMENT LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| GRESHAM DYNAMIC COMMODITIES MASTER FUND, LTD. | Hedge Fund | $59.4M | $1.0M | 14 |
| GRESHAMQUANT - ACAR MASTER FUND, LTD. | Hedge Fund | $1,401.5M | $5.0M | 136 |
| GRESHAMQUANT SAFI MASTER FUND, LTD. | Hedge Fund | $56.0M | $5.0M | 16 |
| THE A+ MASTER FUND, LTD. | Hedge Fund | $47.6M | $0.1M | 11 |
| THE DJF COMMODITYBUILDER FUND, L.L.C. | Hedge Fund | $112.8M | $0.0M | 2 |
| THE ETAP MASTER FUND, LTD. | Hedge Fund | $131.9M | $0.1M | 18 |
| THE G+ MASTER FUND, LTD. | Hedge Fund | $12.9M | $0.1M | 2 |
| THE MTAP COMMODITYBUILDER FUND, L.L.C. | Hedge Fund | $60.5M | $0.0M | 5 |
| THE TAP COMMODITYBUILDER FUND, L.L.C. | Hedge Fund | $273.3M | $0.0M | 23 |
| THE TAP MASTER FUND, LTD. | Hedge Fund | $402.9M | $0.1M | 38 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SPENCER, JONATHAN, SAMUEL | Individual | – | PRESIDENT & CHIEF INVESTMENT OFFICER | 12/2004 | < 5% |
| HEPWORTH, DOUGLAS, JON | Individual | – | CHIEF OPERATING OFFICER & CHIEF RISK OFFICER | 12/2004 | < 5% |
| THE GIMI 2011 TRUST | Domestic Entity | – | MEMBER | 11/2011 | 5-10% |
| NUVEEN INVESTMENTS, INC. | Domestic Entity | – | MANAGING MEMBER | 12/2011 | > 75% |
| NUVEEN HOLDINGS, INC | Domestic Entity | NUVEEN INVESTMENTS, INC. | OWNER | 11/2007 | > 75% |
| GEHRIE, ADAM, ISAAC | Individual | – | CHIEF ADMINISTRATIVE OFFICER, GENERAL COUNSEL | 03/2014 | < 5% |
| TIAA BOARD OF GOVERNORS | Domestic Entity | TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA | SHAREHOLDER | 10/2014 | > 75% |
| TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA | Domestic Entity | NUVEEN LLC | MEMBER | 10/2014 | > 75% |
| NUVEEN LLC | Domestic Entity | NUVEEN FINANCE, LLC | MEMBER | 10/2014 | > 75% |
| NUVEEN FINANCE, LLC | Domestic Entity | NUVEEN HOLDINGS 1, INC | SHAREHOLDER | 01/2017 | > 75% |
| NUVEEN HOLDINGS 1, INC. | Foreign Entity | NUVEEN HOLDINGS, INC | SHAREHOLDER | 01/2017 | > 75% |
| GRAMERCY TRUST COMPANY | Domestic Entity | THE TIMBER FALLS TRUST | TRUSTEE | 10/2016 | |
| Tkachev, Anna, M. | Individual | – | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | 01/2022 | < 5% |
| THE TIMBER FALLS TRUST | Domestic Entity | – | MEMBER | 03/2023 | 5-10% |
| WTC II FIDUCIARY SERVICES INC. | Domestic Entity | THE GIMI 2011 TRUST | TRUSTEE | 09/2023 |