EMERALD MUTUAL FUND ADVISERS TRUST
Adviser information for EMERALD MUTUAL FUND ADVISERS TRUST 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 | Other (specify) |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 3 |
| 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 | 5 | $1.9B |
| Non-Discretionary | 0 | $0 |
| Total | 5 | $1.9B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 3 | $1.9B |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Principal Office
3175 OREGON PIKELEOLA
PA
United States
Monday - Friday, 8:30 A.M - 5:00 P.M.
Tel: 717-396-1116, Fax: 717-399-3140
Chief Compliance Officer
JAMES A. MEEHAN
CCO
3175 OREGON PIKE
LEOLA
PA
United States
Tel:
717-396-1116
Fax:
717-399-3140
J******@**************M
(Full email address available in API data)
Industry Affiliates
| CONSERVATION RESOURCE PARTNERS, LLC | Other investment adviser, including financial planners |
| EMERALD ADVISERS, LLC | Other investment adviser, including financial planners |
| EMERALD FINANCIAL SERVICES PRIVATE EQUITY PARTNERS LLC | Sponsor, GP, manager of pooled investment vehicles |
| EMERALD SEPARATE ACCOUNT MANAGEMENT LLC | Other investment adviser, including financial planners |
| EMSTONE ADVISERS, LLC | Other investment adviser, including financial planners |
| F/M INVESTMENTS LLC | Other investment adviser, including financial planners |
| ZCM | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MERTZ, KENNETH, GEORGE | Individual | – | PRESIDENT, CHIEF INVESTMENT OFFICER AND PORTFOLIO MANAGER | 03/2005 | < 5% |
| SEARS, STACEY, LYNN | Individual | – | VICE PRESIDENT, SECRETARY AND PORTFOLIO MANAGER | 03/2005 | < 5% |
| MOYER, DANIEL, WEBSTER | Individual | – | EXECUTIVE VICE PRESIDENT | 03/2005 | < 5% |
| MEEHAN, JAMES, ANDREW | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2005 | < 5% |
| EMERALD ADVISERS, LLC | Domestic Entity | – | DIRECT OWNER | 03/2005 | > 75% |
| EMERALD ASSET MANAGEMENT, INC. | Domestic Entity | EMERALD ASSET MANAGEMENT PA, LLC | PARENT COMPANY | 01/1995 | 25-50% |
| EMERALD ASSET MANAGEMENT PA, LLC | Domestic Entity | EMERALD ADVISERS, LLC | MEMBER | 10/2018 | > 75% |
| EMERALD ASSET MANAGEMENT EMPLOYEE STOCK OWNERSHIP TRUST | Domestic Entity | EMERALD ASSET MANAGEMENT, INC. | MEMBER | 09/2012 | > 75% |
| MOYER, DANIEL, WEBSTER | Individual | EMERALD ASSET MANAGEMENT EMPLOYEE STOCK OWNERSHIP TRUST | TRUSTEE | 09/2012 | |
| WARE, PAUL, WILLARD | Individual | EMERALD ASSET MANAGEMENT EMPLOYEE STOCK OWNERSHIP TRUST | TRUSTEE | 09/2012 | |
| F/M MANAGERS GROUP, LLC | Domestic Entity | EMERALD ASSET MANAGEMENT PA, LLC | MEMBER | 10/2018 | 50-75% |
| DIFFRACTIVE MANAGERS GROUP PAYCO, LLC | Domestic Entity | F/M MANAGERS GROUP, LLC | MEMBER | 10/2018 | > 75% |
| 1251 FINANCING COMPANY, LLC | Domestic Entity | DIFFRACTIVE MANAGERS GROUP PAYCO, LLC | MEMBER | 10/2018 | > 75% |
| 1251 CAPITAL GROUP, INC. | Domestic Entity | 1251 FINANCING COMPANY, LLC | MANAGING MEMBER | 10/2018 | > 75% |
| 1251 CAPITAL GROUP HOLDINGS, LLC | Domestic Entity | 1251 CAPITAL GROUP, INC. | SHAREHOLDER | 10/2018 | |
| HAILER, JOHN, THOMAS | Individual | 1251 CAPITAL GROUP HOLDINGS, LLC | MEMBER/MANAGER | 01/2018 | 50-75% |
| Maguire, Christopher | Individual | 1251 CAPITAL GROUP HOLDINGS, LLC | MEMBER | 07/2016 | |
| Wilson, Michael, Arthur Ross | Individual | 1251 CAPITAL GROUP HOLDINGS, LLC | MEMBER | 07/2016 | |
| BRIZIUS, CHARLES, ALBERT | Individual | 1251 CAPITAL GROUP HOLDINGS, LLC | MEMBER/MANAGER | 06/2016 | |
| REHR, SCOTT, LAMBERT | Individual | EMERALD ASSET MANAGEMENT EMPLOYEE STOCK OWNERSHIP TRUST | TRUSTEE | 02/2024 |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 6th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| APPLIED OPTOELECTRONICS INC | COM | 3M | 399K | – |
| APPLE INC | COM | 2M | 9K | – |
| AMERIS BANCORP | COM | 224K | 4K | – |
| ACADIA PHARMACEUTICALS INC | COM | 9M | 559K | – |
| THE AES CORPORATION | COM | 160K | 9K | – |
| ATLAS ENERGY SOLUTIONS INC | COM | 1M | 62K | – |
| PLAYAGS INC | COM | 8M | 710K | – |
| AGILYSYS INC | COM | 19M | 181K | – |
| AAR CORPORATION | COM | 29M | 397K | – |
| AKERO THERAPEUTCS INC | COM | 10M | 425K | – |
| ASTERA LABS INC | COM | 8K | 133 | – |
| AMGEN INC | COM | 207K | 661 | – |
| AMAZON.COM, INC | COM | 1M | 6K | – |
| ANTERO RESOURCES CORP | COM | 76K | 2K | – |
| ARCBEST CORP | COM | 6M | 53K | – |
| ARHAUS INC | COM | 20M | 1M | – |
| ARIS WATER SOLUTION INC | COM | 150K | 10K | – |
| ARLO TECHNOLOGIES | COM | 9M | 722K | – |
| ALPHATEC HOLDINGS INC | COM | 9M | 837K | – |
| ALLEGHENY TECHNOLOGIES INC | COM | 28M | 510K | – |
| ATRICURE INC | COM | 6M | 255K | – |
| ATLANTIC UNION BANKSHARES CORP | COM | 174K | 5K | – |
| AEROVIRONMENT INC | COM | 29M | 159K | – |
| BROADCOM LTD | COM | 610K | 380 | – |
| AXOS FINANCIAL INC | COM | 22M | 382K | – |
| AUTOZONE INC | COM | 110K | 37 | – |
| BANC OF CALIFORNIA INC | COM | 7M | 519K | – |
| BRIDGEBIO PHARMA INC | COM | 13M | 498K | – |
| BURKE & HERBERT FINANCIAL | COM | 667K | 13K | – |
| BJ'S RESTAURANT INC | COM | 13M | 388K | – |
| BOWHEAD SPECIALTY HOLDINGS | COM | 5M | 193K | – |
| BLUEPRINT MEDICINES CORP | COM | 30M | 278K | – |
| POPULAR INC | COM | 4M | 41K | – |
| BLUE RIDGE BANKSHARES | COM | 52K | 20K | – |
| BALDWIN INSURANCE GROUP INC | COM | 26M | 735K | – |
| BOWMAN CONSULTING GROUP LTD | COM | 6M | 187K | – |
| BYLINE BANCORP INC | COM | 386K | 16K | – |
| CADENCE BANK | COM | 208K | 7K | – |
| CARTER BANCSHARES INC | COM | 334K | 22K | – |
| PATHWARD FINANCIAL INC | COM | 937K | 17K | – |
| COASTAL FINANCIAL CORP | COM | 462K | 10K | – |
| CNB FINL CORP PA | COM | 875K | 43K | – |
| COGENT COMMUNICATIONS HOLDINGS | COM | 12M | 210K | – |
| CADENCE DESIGN SYS INC | COM | 288K | 935 | – |
| CITIZENS FINANCIAL GROIP | COM | 294K | 8K | – |
| CHURCHILL DOWNS INC | COM | 13M | 90K | – |
| CHUY'S HOLDINGS INC | COM | 8M | 293K | – |
| CELLDEX THERAPEUTICS INC | COM | 5M | 127K | – |
| CHIPOTLE MEXICAN GRILL | COM | 218K | 3K | – |
| COMMUNITY HERITAGE FINANCIAL INC | COM | 2M | 106K | – |
| CONNECTONE BANCORP INC | COM | 479K | 25K | – |
| COLLEGIUM PHARMACEUTICAL INC | COM | 17M | 530K | – |
| COSTCO WHOLESALE CORP | COM | 258K | 304 | – |
| CREDO TECHNOLOGY GROUP HOLDINGS | COM | 39M | 1M | – |
| CARPENTER TECHNOLOGY CORP | COM | 47M | 426K | – |
| CROWDSTRIKE HOLDINGS INC | COM | 401K | 1K | – |
| CUSTOMERS BANCORP INC | COM | 808K | 17K | – |
| CVRx INC | COM | 4M | 370K | – |
| COMMUNITY WEST BANCSHARES | COM | 355K | 19K | – |
| DARLING INGREDIENTS INC | COM | 173K | 5K | – |
| DIGITALBRIDGE GROUP INC | COM | 147K | 11K | – |
| ESQUIRE FINANCIAL HOLDINGS | COM | 840K | 18K | – |
| EVERQUOTE INC | COM | 2M | 75K | – |
| EAST WEST BANCORP INC | COM | 924K | 13K | – |
| NATIONAL VISION HOLDINGS | COM | 7M | 561K | – |
| FIRST ADVANTAGE CORP | COM | 16M | 1M | – |
| FIRST BANCORP | COM | 392K | 21K | – |
| FIRST CITIZENS BANCSHARES INC CL A | COM | 2M | 938 | – |
| FIRST FINL BANCSHARES INC | COM | 618K | 21K | – |
| FIRST HORIZON NATL CORP | COM | 515K | 33K | – |
| FINWISE BANCORP | COM | 872K | 85K | – |
| FIFTH THIRD BANCORP | COM | 165K | 5K | – |
| FLYWIRE CORP | COM | 4M | 246K | – |
| FABRINET | COM | 10M | 41K | – |
| F N B CORP PA | COM | 875K | 64K | – |
| FORMFACTOR INC | COM | 28M | 465K | – |
| SHIFT4 PAYMENTS INC | COM | 22M | 305K | – |
| 1ST MERCHANTS | COM | 159K | 5K | – |
| FRESHPET INC | COM | 59M | 453K | – |
| PRIMIS FINANCIAL CORP | COM | 477K | 46K | – |
| FIVE STAR BANCORP | COM | 427K | 18K | – |
| FIRSTSUN CAPITAL BANCORP | COM | 340K | 10K | – |
| FTAI AVIATION LTD | COM | 68M | 657K | – |
| FULTON FINL CORP PA | COM | 4M | 232K | – |
| ALPHABET INC CLA A | COM | 1M | 7K | – |
| CHART INDS INC | COM | 29M | 202K | – |
| HYATT HOTELS CORPORATION | COM | 115K | 757 | – |
| HAEMONETICS CORPORATION | COM | 3M | 34K | – |
| HUNTINGTON BANCSHARES INC | COM | 70K | 5K | – |
| HOULIHAN LOKEY | COM | 9M | 70K | – |
| HARMONIC INC | COM | 539K | 46K | – |
| HOMESTREET INC | COM | 612K | 54K | – |
| HOME BANCSHARES INC | COM | 103K | 4K | – |
| INSTALLED BUILDING PRODUCTS | COM | 6M | 27K | – |
| IBOTTA INC | COM | 2M | 24K | – |
| INDEPENDENT BANK GROUP INC | COM | 129K | 3K | – |
| INTERDIGITAL INC PA COM | COM | 11M | 96K | – |
| IMMUNOVANT INC | COM | 5M | 201K | – |
| FIRST INTERNET BANCORP | COM | 912K | 34K | – |
| INDIE SEMICONDUCTOR INC | COM | 12M | 2M | – |
| INSMED INC | COM | 33M | 494K | – |
| IRONWOOD PHARMACEUTICALS INC | COM | 4M | 644K | – |
| INTRA CELLULAR THERAPIES | COM | 22M | 314K | – |
| INTEGER HOLDINGS CORP | COM | 4M | 34K | – |
| JACK IN THE BOX INC | COM | 8M | 158K | – |
| KALVISTA PHARMACEUTICALS INC | COM | 6M | 529K | – |
| KEYCORP | COM | 758K | 53K | – |
| KKR & CO. L.P. | COM | 152K | 1K | – |
| KULICKE AND SOFFA INDUSTRIES | COM | 17M | 356K | – |
| KINSALE CAPITAL GROUP INC | COM | 2M | 4K | – |
| KRATOS DEFENSE AND SECURITY | COM | 29M | 1M | – |
| LONGBOARD PHARMACEUTICALS INC | COM | 5M | 184K | – |
| LIFE360 INC | COM | 5M | 169K | – |
| LUMENTUM HOLDINGS INC | COM | 12M | 236K | – |
| LIVANOVA PLC | COM | 30M | 544K | – |
| ELI LILLY & CO | COM | 288K | 318 | – |
| CHENIERE ENERGY INC | COM | 245K | 1K | – |
| LINKBANCORP INC | COM | 686K | 112K | – |
| LIGHT & WONDER INC | COM | 15M | 140K | – |
| LIVE OAK BANCSHARES INC | COM | 491K | 14K | – |
| LOUISIANA-PACIFIC CORPORATION | COM | 19M | 229K | – |
| MEDIAALPHA INC | COM | 4M | 312K | – |
| MOELIS & CO | COM | 22M | 381K | – |
| METROPOLITAN BANK HOLDING CO | COM | 3M | 77K | – |
| MECHANICS BANK RICHMOND CA | COM | 1M | 53 | – |
| MONGODB INC | COM | 219K | 878 | – |
| MADRIGAL PHARMACEUTICALS INC | COM | 21M | 76K | – |
| MONTROSE ENVIRONMENTAL GROUP | COM | 27M | 600K | – |
| META PLATFORMS INC | COM | 838K | 2K | – |
| MERIT MED SYS INC | COM | 26M | 307K | – |
| MODINE MANUFACTURING CO | COM | 21M | 213K | – |
| MID PENN BANCORP INC | COM | 3M | 129K | – |
| MICROSOFT CORP | COM | 2M | 5K | – |
| M&T BANK CORP | COM | 110K | 727 | – |
| MACOM TECHNOLOGY SOLUTIONS | COM | 25M | 225K | – |
| NORTHEAST BANCORP | COM | 2M | 32K | – |
| NEOGENOMICS INC | COM | 21M | 2M | – |
| NETFLIX INC | COM | 152K | 225 | – |
| NORTHERN OIL AND GAS | COM | 17M | 453K | – |
| NAPCO SECURITY | COM | 21M | 400K | – |
| NVIDIA CORPORATION | COM | 3M | 21K | – |
| NV5 GLOBAL INC | COM | 21M | 229K | – |
| NEW YORK COMMUNITY BANCORP | COM | 950K | 295K | – |
| ORIGIN BANCORP INC | COM | 148K | 5K | – |
| OFG BANCORP | COM | 366K | 10K | – |
| ORTHOFIX MEDICAL INC | COM | 5M | 395K | – |
| OLLIE'S BARGAIN OUTLET HOLDINGS | COM | 18M | 179K | – |
| ONTO INNOVATION INC | COM | 22M | 102K | – |
| ONESPAWORLD HOLDINGS LIMITED | COM | 9M | 574K | – |
| BANK OZK | COM | 95K | 2K | – |
| PROFICIENT AUTO LOGISTICS INC | COM | 12M | 752K | – |
| PALO ALTO NETWORKS, INC | COM | 267K | 788 | – |
| PROSPERITY BANCSHARES INC | COM | 246K | 4K | – |
| PRIVATE BANCORP OF AMERICA INC | COM | 129K | 4K | – |
| PDF SOLUTIONS INC | COM | 26M | 716K | – |
| IMPINJ INC | COM | 22M | 138K | – |
| PINTEREST INC | COM | 187K | 4K | – |
| PALOMAR HOLDINGS INC | COM | 30M | 375K | – |
| PINNACLE FINL PARTNERS INC | COM | 679K | 8K | – |
| PACIFIC PREMIER BANCORP | COM | 227K | 10K | – |
| PERFICIENT INC | COM | 1M | 19K | – |
| PORTILLOS INC | COM | 8M | 805K | – |
| QCR HOLDINGS INC | COM | 787K | 13K | – |
| QUANTERIX CORP | COM | 7M | 559K | – |
| Q2 HOLDINGS INC | COM | 30M | 494K | – |
| ULTRAGENYX PHARMACEUTICAL INC | COM | 16M | 391K | – |
| RADNET INC | COM | 31M | 529K | – |
| REGENERAN PHARM | COM | 112K | 107 | – |
| RYMAN HOSPITALITY PROPERTIES | COM | 12M | 125K | – |
| RAMBUS INC | COM | 18M | 307K | – |
| RAPID7 INC | COM | 6M | 147K | – |
| RXO INC | COM | 9M | 356K | – |
| SHORE BANCSHARES INC | COM | 672K | 59K | – |
| SKYWARD SPECIALTY INSURANCE | COM | 26M | 728K | – |
| SKYWATER TECHNOLOGY INC | COM | 7M | 876K | – |
| SOLENO THERAPEUTICS INC | COM | 10M | 241K | – |
| SUN COUNTRY AIRLINES HOLDING | COM | 9M | 750K | – |
| SYNOVUS FINANCIAL CORP | COM | 418K | 10K | – |
| SPROUT SOCIAL INC | COM | 2M | 62K | – |
| SPX TECHNOLOGIES INC | COM | 11M | 75K | – |
| SOUTHSTATE CORP | COM | 139K | 2K | – |
| CONSTELLATION BRANDS INC | COM | 173K | 672 | – |
| SAVERS VALUE VILLAGE INC | COM | 5M | 401K | – |
| LATHAM GROUP INC | COM | 57K | 19K | – |
| SYNAPTICS INC | COM | 14M | 161K | – |
| THE BANCORP INC | COM | 1M | 29K | – |
| THIRD COAST BANCSHARES INC | COM | 406K | 19K | – |
| TIDEWATER INC | COM | 19M | 202K | – |
| TENABLE HOLDING | COM | 29M | 662K | – |
| TEVA PHARMACEUTICAL INDUSTRIES LIMITED | COM | 173K | 11K | – |
| TJX COS. | COM | 393K | 4K | – |
| TRANSMEDICS GROUP INC | COM | 38M | 249K | – |
| TRINET GROUP IN | COM | 21M | 205K | – |
| LENDINGTREE INC | COM | 12M | 281K | – |
| TREX INC | COM | 127K | 2K | – |
| TRINITY CAPITAL INC | COM | 10M | 681K | – |
| TERRENO REALTY CORP | COM | 10M | 174K | – |
| TESLA MOTORS, INC | COM | 180K | 912 | – |
| TETRA TECHNOLOGIES | COM | 3M | 923K | – |
| TRAVERE THERAPEUTICS INC | COM | 8M | 941K | – |
| UBER TECHNOLOGIES INC | COM | 178K | 2K | – |
| UTZ BRANDS INC | COM | 11M | 634K | – |
| VISA INC-CLASS A | COM | 275K | 1K | – |
| VALARIS LTD | COM | 16M | 215K | – |
| VERITEX HOLDINGS INC | COM | 611K | 29K | – |
| VISTEON CORP | COM | 9M | 84K | – |
| VITAL FARMS INC | COM | 13M | 274K | – |
| VIKING THERAPEUTICS INC | COM | 13M | 242K | – |
| VARONIS SYSTEMS INC | COM | 36M | 750K | – |
| VERTIV HOLDINGS | COM | 107K | 1K | – |
| WAYFAIR INC | COM | 109K | 2K | – |
| WESTERN ALLIANCE BANCORP | COM | 2M | 33K | – |
| WEBSTER FINANCIAL CORPORATION | COM | 230K | 5K | – |
| WEATHERFORD INTERNATIONAL PUBLIC LIMITED | COM | 7M | 61K | – |
| CACTUS INC | COM | 7M | 142K | – |
| WILLSCOT MOBILE MINI HOLDING | COM | 93K | 2K | – |
| WINTRUST FINANCIAL CORP | COM | 985K | 10K | – |
| WAVE LIFE SCIENCES LTD | COM | 9M | 2M | – |
| XPO LOGISTICS | COM | 150K | 1K | – |
| EXPRO GROUP HOLDINGS NV | COM | 10M | 449K | – |
| CLEAR SECURE INC | COM | 3M | 146K | – |
| ZIONS BANCORPORATION | COM | 653K | 15K | – |
| ZUORA INC | COM | 10M | 964K | – |