GAGNON SECURITIES, LLC
Adviser information for GAGNON SECURITIES, 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 | 22 |
|---|---|
| Investment Advisory/Research | 11 |
| Registered Broker-Dealer Representatives | 22 |
| Registered State Investment Advisers | 22 |
| 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 | 1,242 | $438.0M |
| Non-Discretionary | 0 | $0 |
| Total | 1,242 | $438.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,062 | $213.5M |
| HNW Individuals | 36 | $181.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| 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 | 144 | $43.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMCommissions |
| Other Business Activities | Broker-dealer |
Principal Office
1370 6TH AVENUE26TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 8:00AM - 5:30PM
Tel: 212-554-5060, Fax: (585) 496-3144
Chief Compliance Officer
LISA FERRANTE
CHIEF COMPLIANCE OFFICER
1370 6TH AVENUE
26TH FLOOR
NEW YORK
NY
United States
Tel:
212-554-5060
Fax:
(585) 496-3144
L***@************M
(Full email address available in API data)
Regulatory Contact
MARIANNE D'ALESSANDRO
COMPLIANCE
1370 6TH AVENUE
26TH FLOOR
NEW YORK
NY
United States
Tel:
212-554-5081
Fax:
(585) 496-3144
M*******@************M
(Full email address available in API data)
Industry Affiliates
| GAGNON ADVISORS LLC | Other investment adviser, including financial planners |
| GAGNON INVESTMENTS INC | Sponsor, GP, manager of pooled investment vehicles |
| GAGNONLEE ASSOCIATES | Sponsor, GP, manager of pooled investment vehicles |
| GAGNONLEE MANAGEMENT LLC | Other investment adviser, including financial planners |
| LEE ASSOCIATES LLC | Sponsor, GP, manager of pooled investment vehicles |
| OM CAPITAL PARTNERS LLC | Other investment adviser, including financial planners |
| SIMMONS VENTURES LLC | Other investment adviser, including financial planners |
| UPLAND ASSET MANAGEMENT LP | Sponsor, GP, manager of pooled investment vehicles |
| WGT ASSET MANAGEMENT LLC | Other investment adviser, including financial planners |
| WGT CAPITAL LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GAGNON, NEIL JOSEPH | Individual | – | MANAGER/CEO | 10/1999 | 50-75% |
| GAGNON, BRIAN JOSEPH | Individual | – | MEMBER | 01/2002 | 5-10% |
| DREW, MAUREEN ONEILL | Individual | – | MEMBER | 01/2002 | 5-10% |
| JAMPOLE, MATTHEW HOWARD | Individual | – | MEMBER | 12/2004 | < 5% |
| BEINSTEIN, HENRY CARL | Individual | – | MEMBER | 04/2005 | < 5% |
| ROBOHM, JONATHAN WILLIAMS | Individual | – | MEMBER | 04/2005 | < 5% |
| LEE, DWIGHT EISENHOWER | Individual | – | MEMBER | 08/2005 | < 5% |
| FERRANTE, LISA CATHERINE | Individual | – | MEMBER | 02/2006 | < 5% |
| TRANCHIDA, ALISON O'BRIEN | Individual | – | MEMBER | 03/2007 | < 5% |
| TAYLOR, WILLIS GITT | Individual | – | MEMBER | 05/2008 | 5-10% |
| D'ALESSANDRO, MARIANNE | Individual | – | MEMBER | 03/2011 | < 5% |
| SIMMONS, MICHELLE | Individual | – | MEMBER | 10/2014 | < 5% |
| GAROFALO, ADRIENNE MICHELLE | Individual | – | MEMBER | 03/2015 | < 5% |
| D'ALESSANDRO, MARIANNE | Individual | – | CHIEF FINANCIAL OFFICER | 08/2017 | < 5% |
| TRANCHIDA, ALISON O'BRIEN | Individual | – | OPERATIONS MANAGER | 12/2017 | < 5% |
| FERRANTE, LISA CATHERINE | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2017 | < 5% |
| FERRANTE, LISA CATHERINE | Individual | – | CROP/ROP | 12/2017 | < 5% |
| JILLA, SARAH G | Individual | – | MEMBER | 01/2018 | < 5% |
| ROBERTS, CYNTHIA ANDREA | Individual | – | MEMBER | 01/2018 | < 5% |
| CAPPELLO, JAMES MATTHEW | Individual | – | MEMBER | 01/2021 | < 5% |
| FERRANTE, LISA CATHERINE | Individual | – | CHIEF ADMINISTRATIVE OFFICER | 02/2023 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| AILERON THERAPEUTICS INC COM NEW | COM NEW | 105K | 38K | – |
| AIR LEASE CORP CL A | CL A | 35M | 737K | – |
| AKAMAI TECHNOLOGIES INC | COM | 3M | 30K | – |
| ALPHA & OMEGA SEMICONDUCTOR LT | SHS | 12M | 312K | – |
| ALPHABET INC CAP STK CL A | CAP STK CL A | 475K | 3K | – |
| AMERESCO INC CL A | CL A | 10M | 359K | – |
| AT&T INC | COM | 840K | 44K | – |
| BACKBLAZE INC COM CL A | COM CL A | 339K | 55K | – |
| BIOLIFE SOLUTIONS INC COM NEW | COM NEW | 12M | 577K | – |
| Bio-Techne Corp | COM | 510K | 7K | – |
| BLACKLINE INC | COM | 9M | 186K | – |
| BLACKSTONE INC | COM | 289K | 2K | – |
| BOSTON BEER INC CL A | CL A | 6M | 19K | – |
| CAREDX INC | COM | 34M | 2M | – |
| CARETRUST REIT INC | COM | 4M | 159K | – |
| CARGURUS INC COM CL A | COM CL A | 11M | 420K | – |
| CARMAX INC | COM | 12M | 159K | – |
| CELCUITY INC | COM | 871K | 53K | – |
| CES ENERGY SOLUTIONS CORP | COM | 273K | 49K | – |
| CHEESECAKE FACTORY INC | COM | 9M | 218K | – |
| CHIPOTLE MEXICAN GRILL INC | COM | 9M | 151K | – |
| CNFINANCE HLDGS LTD SPON ADS | SPON ADS | 2M | 2M | – |
| COGNEX CORP | COM | 241K | 5K | – |
| COMMVAULT SYS INC | COM | 448K | 4K | – |
| DEVON ENERGY CORP NEW | COM | 1M | 24K | – |
| DHI Group Inc | COM | 187K | 90K | – |
| DIGITAL TURBINE INC COM NEW | COM NEW | 87K | 52K | – |
| DOUBLEVERIFY HLDGS INC | COM | 4M | 197K | – |
| DURECT CORP COM NEW | COM NEW | 483K | 374K | – |
| E2OPEN PARENT HOLDINGS INC COM CL A | COM CL A | 7M | 2M | – |
| ENSIGN GROUP INC | COM | 29M | 235K | – |
| ENTERPRISE PRODS PARTNERS L P | COM | 14M | 496K | – |
| ENVIVA INC | COM | 48K | 112K | – |
| EOG RES INC | COM UNIT | 341K | 3K | – |
| EQUINIX INC | COM | 10M | 13K | – |
| ETSY INC | COM | 231K | 4K | – |
| EXACT SCIENCES CORP | COM | 10M | 247K | – |
| EXXON MOBIL CORP | COM | 883K | 8K | – |
| FIVE9 INC | COM | 11M | 254K | – |
| FRESHWORKS INC CLASS A COM | CLASS A COM | 9M | 736K | – |
| GENEDX HOLDINGS CORP COM CL A | COM CL A | 15M | 573K | – |
| GENERAC HLDGS INC | COM | 5M | 38K | – |
| GENTEX CORP | COM | 2M | 59K | – |
| GLOBAL NET LEASE INC COM NEW | COM NEW | 820K | 112K | – |
| GOODRX HLDGS INC COM CL A | COM CL A | 494K | 63K | – |
| HIMAX TECHNOLOGIES INC | SPONSORED ADR | 465K | 59K | – |
| ICU MED INC | COM | 3M | 24K | – |
| INTUITIVE SURGICAL INC COM NEW | COM NEW | 23M | 51K | – |
| IONQ INC | COM | 2M | 243K | – |
| KALTURA INC | COM | 2M | 2M | – |
| KYVERNA THERAPEUTICS INC | COM | 91K | 12K | – |
| LIFE TIME GROUP HOLDINGS INC COMMON STOCK | COM | 379K | 20K | – |
| LIVERAMP HLDGS INC | COM | 228K | 7K | – |
| LL FLOORING HOLDING INC | COM | 42K | 29K | – |
| MARVELL TECHNOLOGY INC | ORD | 1M | 16K | – |
| MAXCYTE INC | COM | 222K | 57K | – |
| MERCK & CO INC | COM | 555K | 4K | – |
| META PLATFORMS INC CL A | CL A | 496K | 984 | – |
| MICROCHIP TECHNOLOGY INC. | COM | 2M | 19K | – |
| MICRON TECHNOLOGY INC | COM | 344K | 3K | – |
| MICROSOFT CORP | COM | 425K | 952 | – |
| MOBILEYE GLOBAL INC COMMON CLASS A | COMMON CLASS A | 203K | 7K | – |
| MYT NETHERLANDS PARENT B V | ADS | 62K | 12K | – |
| NAVIGATOR HLDGS LTD | SHS | 14M | 811K | – |
| NEW YORK CMNTY BANCORP INC | COM | 958K | 298K | – |
| NINTENDO LTD UNSPON ADS | SPONSORED ADS | 1M | 77K | – |
| NVIDIA CORPORATION | COM | 378K | 3K | – |
| ONTO INNOVATION INC | COM | 293K | 1K | – |
| PACIRA BIOSCIENCES INC | COM | 17M | 597K | – |
| PATTERSON-UTI ENERGY INC | COM | 2M | 160K | – |
| PAYPAL HLDGS INC | COM | 303K | 5K | – |
| PENNANT GROUP INC | COM | 4M | 181K | – |
| PETMED EXPRESS INC | COM | 108K | 27K | – |
| PFIZER INC | COM | 1M | 38K | – |
| POWER SOLUTIONS INTL INC COM NEW | COM NEW | 8M | 1M | – |
| PROFOUND MED CORP COM NEW | COM | 13M | 2M | – |
| PROTO LABS INC | COM | 3M | 93K | – |
| QUIDELORTHO CORP | SPON ADS NEW | 6M | 175K | – |
| REDHILL BIOPHARMA LTD SPON ADS NEW | CL A | 43K | 116K | – |
| REVOLVE GROUP INC | CL A | 149K | 9K | – |
| RINGCENTRAL INC CL A | CL A | 204K | 7K | – |
| ROBLOX CORP CL A | CL A | 241K | 6K | – |
| SECUREWORKS CORP CL A | CL A | 10M | 1M | – |
| SHELL PLC SPON ADS | SPON ADS | 332K | 5K | – |
| SHOPIFY INC CL A | CL A | 483K | 7K | – |
| SL GREEN RLTY CORP | COM | 2M | 32K | – |
| STANDARD BIOTOOLS INC | COM | 2M | 899K | – |
| STARBUCKS CORP | COM | 738K | 9K | – |
| TAPESTRY INC | COM | 2M | 51K | – |
| TREACE MED CONCEPTS INC | COM | 3M | 484K | – |
| VEREN INC | COM NEW | 4M | 564K | – |
| VERTEX INC CL A | CL A | 6M | 178K | – |
| VIAVI SOLUTIONS INC | COM | 132K | 19K | – |
| WALGREENS BOOTS ALLIANCE INC | COM | 261K | 22K | – |
| WARNER BROS DISCOVERY INC COM SER A | COM SER A | 155K | 21K | – |
| YEXT INC | CL A | 99K | 18K | – |
| ZUORA INC COM | COM CL A | 10M | 1M | – |