COMMERCE STREET INVESTMENT MANAGEMENT
COMMERCE STREET INVESTMENT ADVISOR, LLC Legal Name
Adviser information for COMMERCE STREET INVESTMENT MANAGEMENT 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 | Texas, United States |
Employees
| Total Number of Employees | 16 |
|---|---|
| Investment Advisory/Research | 12 |
| Registered Broker-Dealer Representatives | 11 |
| Registered State Investment Advisers | 11 |
| 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 | 12 | $214.1M |
| Non-Discretionary | 58 | $531.0M |
| Total | 70 | $745.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | <5 | $1.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $75.8M |
| Pension and profit sharing plans | 58 | $531.0M |
| Charitable organizations | 6 | $136.9M |
| 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 | 1 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees% OF ASSETS ON COMMITTED CAPITAL, % OF CLIENT INVESTABLE ASSETS |
Identifiers
| SEC RIA File Number | 801-68792 |
|---|---|
| SEC ERA File Number | 801-68792 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 144278 |
| Legal Entity Identifier | None |
Principal Office
1445 ROSS AVENUE, SUITE 2700DALLAS
TX
United States
Monday - Friday, 8:00AM TO 5:00PM
Tel: 214-545-6800, Fax: 214-545-6855
Chief Compliance Officer
BOBBY L. HASHAWAY
COO
1445 ROSS AVENUE, SUITE 2700
DALLAS
TX
United States
Tel:
214-545-6813
Fax:
214-545-6855
B********@******************M
(Full email address available in API data)
Regulatory Contact
CARLA J. BROOKS
MANAGING DIRECTOR
1445 ROSS AVENUE, SUITE 2700
DALLAS
TX
United States
Tel:
214-545-6823
Fax:
214-545-6850
C******@******************M
(Full email address available in API data)
Industry Affiliates
| COMMERCE STREET CAPITAL, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| COMMERCE STREET CARLYLE PE FUND I GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| CS FINANCIAL PARTNERS II GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| COMMERCE STREET CARLYLE PRIVATE EQUITY FUND I, LP | Private Equity Fund | $13.1M | $0.3M | 35 |
| COMMERCE STREET FINANCIAL PARTNERS II, LP | Private Equity Fund | $62.7M | $1.0M | 40 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WILEY, DORY, ALAN | Individual | – | PRESIDENT AND MANAGING PARTNER | 05/2008 | < 5% |
| COMMERCE STREET HOLDINGS, LLC | Domestic Entity | – | MEMBER | 05/2008 | > 75% |
| WILEY, DORY, ALAN | Individual | COMMERCE STREET HOLDINGS, LLC | MEMBER | 09/2006 | 50-75% |
| HASHAWAY, BOBBY, LEE | Individual | – | EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER, HEAD OF ACCOUNTING, CCO | 05/2008 | < 5% |
| GROSS, WILLIAM, DUDLEY | Individual | COMMERCE STREET HOLDINGS, LLC | MEMBER | 09/2006 | 50-75% |
| GROSS, WILLIAM, DUDLEY | Individual | – | CHAIRMAN | 05/2008 | < 5% |
| MAIMO, BERTRAND, KIVER | Individual | – | CHIEF FINANCIAL OFFICER | 02/2017 | < 5% |