Hedge Fund Database

GREENWICH INVESTMENT MANAGEMENT, INC.

Adviser information for GREENWICH INVESTMENT MANAGEMENT, INC. 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 Corporation
Fiscal Year End DECEMBER
Legal Location Connecticut, United States

Employees

Total Number of Employees 8
Investment Advisory/Research 4
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 4
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 816 $588.1M
Non-Discretionary 17 $4.6M
Total 833 $592.7M

Clients

Type Number RAUM
Individuals 135 $19.3M
HNW Individuals 670 $488.8M
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 <5 $4.4M
Charitable organizations <5 $34.4M
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies <5 $43.8M
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 4 $1.9M
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 businesses or institutional clients
Compensation % of AUM

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 147.9M
Both for Same 0
Portfolio Manager to Program Sponsor
MANAGED ACCOUNTS CONSULTING (MAC) UBS FINANCIAL SERVICES INC.

Identifiers

SEC RIA File Number 801-67774
SEC ERA File Number 801-67774
SEC CIK Numbers 1456511
SEC CRD Numbers 127161
Legal Entity Identifier None

Principal Office

50 WASHINGTON STREET
SUITE 402W
NORWALK
CT
United States
Monday - Friday, 9:00AM TO 5:00PM
Tel: 203-930-7200, Fax: 203-930-7207

Websites

www.greenwichinvestmentmgt.com www.linkedin.com/company/1159105/ www.facebook.com/greenwich-investment-management-154832711222516/

Chief Compliance Officer

L GEORGE RIEGER
CHIEF COMPLIANCE OFFICER
50 WASHINGTON STREET
SUITE 402W
NORWALK
CT
United States
Tel: (203) 930-7200
Fax: (203) 930-7207
(Full email address available in API data)

Regulatory Contact

HEATHER SEVILLANO
CHIEF OPERATING OFFICER
50 WASHINGTON STREET
SUITE 402W
NORWALK
CT
United States
Tel: (203) 930-7200
Fax: (203) 930-7207
(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
HU, JIN Individual – DIRECTOR/PORTFOLIO MANAGER 10/2018 < 5%
RIEGER, LOUIS, GEORGE Individual – CHIEF COMPLIANCE OFFICER 01/2007 > 75%
SEVILLANO, HEATHER, SIMON Individual – CHIEF OPERATING OFFICER 07/2014 < 5%
COURTNEY, PETER, L'HOMMEDIEU Individual – SHAREHOLDER 10/2023 10-25%

No. Employees, Historic

20100201920202021202220232024202513 on 12/6/201913 on 12/18/201913 on 3/27/202013 on 4/22/202013 on 6/29/202013 on 3/31/202113 on 4/1/202113 on 3/31/202211 on 5/2/202211 on 9/2/202211 on 3/3/202312 on 3/31/202312 on 4/27/202312 on 11/3/20238 on 3/29/2024

RAUM, Historic

2B1B02019202020212022202320242025824663252 on 12/6/2019824663252 on 12/18/20191135459391 on 3/27/20201135459391 on 4/22/20201135459391 on 6/29/20201125079238 on 3/31/20211125079238 on 4/1/20211177669418 on 3/31/20221177669418 on 5/2/20221177669418 on 9/2/20221177669418 on 3/3/2023816894670 on 3/31/2023816894670 on 4/27/2023816894670 on 11/3/2023592698214 on 3/29/2024

No. Clients, Historic

2,0001,00002019202020212022202320242025982 on 12/6/2019982 on 12/18/20191184 on 3/27/20201184 on 4/22/20201184 on 6/29/20201188 on 3/31/20211188 on 4/1/20211243 on 3/31/20221243 on 5/2/20221243 on 9/2/20221243 on 3/3/20231082 on 3/31/20231082 on 4/27/20231082 on 11/3/2023816 on 3/29/2024

Holdings

From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ASML HOLDING N V N Y REGISTRY SHS 276K 270 –
MAINZ BIOMED N V ORDINARY SHARES 4K 11K –
APPLE INC COM 3M 14K –
ARES MANAGEMENT CORPORATION CL A COM STK 661K 5K –
ARES CAPITAL CORP COM 8M 393K –
ARES COML REAL ESTATE CORP COM 260K 39K –
BARINGS BDC INC COM 131K 14K –
BARINGS CORPORATE INVS COM 1M 78K –
BARINGS PARTN INVS SH BEN INT 6M 342K –
BGC GROUP INC CL A 577K 69K –
CAMDEN PPTY TR SH BEN INT 536K 5K –
CINCINNATI FINL CORP COM 482K 4K –
CITIZENS FINL GROUP INC COM 349K 10K –
DORCHESTER MINERALS LP COM UNIT 18M 582K –
ENACT HLDGS INC COM 2M 52K –
EXXON MOBIL CORP COM 8M 71K –
FS KKR CAP CORP COM 2M 101K –
FIRST NORTHWEST BANCORP COM 109K 11K –
FISERV INC COM 304K 2K –
GOLDMAN SACHS BDC INC SHS 5M 365K –
HERCULES CAPITAL INC COM 472K 23K –
HOMETRUST BANCSHARES INC COM 455K 15K –
INVESTAR HLDG CORP COM 373K 24K –
NVE CORP COM NEW 3M 34K –
NETWORK-1 TECHNOLOGIES INC COM 1M 655K –
OAKTREE SPECIALTY LENDING CO COM 2M 93K –
180 DEGREE CAP CORP COM NEW 194K 51K –
ONEOK INC NEW COM 360K 4K –
BLUE OWL CAPITAL CORPORATION COM 5M 294K –
POSTAL REALTY TRUST INC CL A 257K 19K –
RUNWAY GROWTH FINANCE CORP COM 3M 271K –
SIXTH STREET SPECIALTY LENDI COM 12M 564K –
SOUND FINL BANCORP INC COM 447K 10K –
ARROWMARK FINANCIAL CORP COM 6M 299K –
CARLYLE SECURED LENDING INC COM 2M 104K –
TRINITY CAP INC COM 16M 1M –
VERSABANK NEW COM 743K 69K –