CLINTON INVESTMENT MANAGEMENT, LLC
Adviser information for CLINTON INVESTMENT MANAGEMENT, LLC last updated from Form ADV on March 25th, 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 | 14 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 8 |
| 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 | 1,402 | $2.8B |
| Non-Discretionary | 0 | $0 |
| Total | 1,402 | $2.8B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 723 | $400.8M |
| HNW Individuals | 627 | $2.0B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 3 | $148.8M |
| 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 | 49 | $270.9M |
| 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 investment companiesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 1.8B |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| ML ONE (MERRILL LYNCH INVESTMENT ADVISORY PROGRAM) | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
| UBS ACCESS | UBS FINANCIAL SERVICES INC. |
| ENVESTNET WRAP PROGRAM | ENVESTNET PMC |
| PERSONALIZED UMA | WELLS FARGO CLEARING SERVICES, LLC |
| UBS STRATEGIC WEALTH PORTFOLIO | UBS FINANCIAL SERVICES INC. |
| SELECT UMA PROGRAM | MORGAN STANLEY |
| STEPHENS MANAGED ASSETS PROGRAM | PERSHING LLC |
| ADVISOR DIRECTED PROGRAM | HIGHTOWER ADVISORS, LLC |
| ROCKEFELLER PRIVATE WEALTH ADVISORY PLATFORM | ROCKEFELLER CAPITAL MANAGEMENT |
| UBS MANAGED ACCOUNT CONSULTING (MAC) | UBS FINANCIAL SERVICES INC. |
| MANAGED360 | BNY MELLON ADVISORS, INC. |
| CES PROGRAM | MORGAN STANLEY |
| IMS PROGRAM | MORGAN STANLEY |
Identifiers
| SEC RIA File Number | 801-69342 |
|---|---|
| SEC ERA File Number | 801-69342 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 143599 |
| Legal Entity Identifier | 254900N4PHFJYDPF7S08 |
Principal Office
201 BROAD STREET8TH FLOOR
STAMFORD
CT
United States
Monday - Friday, 9:00AM TO 5:00PM
Tel: (203) 276-6246, Fax: (203) 276-6250
Chief Compliance Officer
LANE BUCKLAN
GENERAL COUNSEL
201 BROAD STREET
8TH FLOOR
STAMFORD
CT
United States
Tel:
(203) 276-6246
Fax:
(203) 276-6250
L*******@********************M
(Full email address available in API data)
Regulatory Contact
ANDREW CLINTON
CEO
201 BROAD STREET
8TH FLOOR
STAMFORD
CT
United States
Tel:
(203) 276-6246
Fax:
(203) 276-6250
A*******@********************M
(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 |
|---|---|---|---|---|---|
| CLINTON, ANDREW, IRA | Individual | – | CEO | 04/2007 | > 75% |
| BUCKLAN, LANE, STEVEN | Individual | – | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 11/2023 | < 5% |