ELLINGTON FINANCIAL MANAGEMENT LLC
Adviser information for ELLINGTON FINANCIAL MANAGEMENT LLC last updated from Form ADV on March 27th, 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 | 162 |
|---|---|
| Investment Advisory/Research | 69 |
| Registered Broker-Dealer Representatives | 8 |
| Registered State Investment Advisers | 0 |
| 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 | $15.3B |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $15.3B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $15.3B |
| 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 pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-70630 |
|---|---|
| SEC ERA File Number | 801-70630 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 150510 |
| Legal Entity Identifier | TJMS9LO0WH2QY5ZZS590 |
Principal Office
53 FOREST AVE3RD FLOOR
OLD GREENWICH
CT
United States
Monday - Friday, 9:00A.M. TO 5:00P.M.
Tel: 203-698-1200, Fax: 203-698-0869
Chief Compliance Officer
PATRICK MALONEY
ASSOCIATE GENERAL COUNSEL
711 THIRD AVENUE
5TH FLOOR
NEW YORK
NY
United States
Tel:
929-564-0939
P*******@************M
(Full email address available in API data)
Regulatory Contact
DANIEL MARGOLIS
GENERAL COUNSEL
711 THIRD AVENUE
5TH FLOOR
NEW YORK
NY
United States
Tel:
203-698-1200
D********@************M
(Full email address available in API data)
Industry Affiliates
| ARMSTRONG SECURITIES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CII GP LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| DUKE FUNDING MANAGEMENT, L.L.C. | Other investment adviser, including financial planners |
| E/S MBS GP I LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| E/S MBS GP II LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| ECOP GP LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| ECRE GP LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| EEI MM LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| ELLINGTON CLO MANAGEMENT LLC | Other investment adviser, including financial planners |
| ELLINGTON GLOBAL ASSET MANAGEMENT, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| ELLINGTON M CREDIT GP LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| ELLINGTON MANAGEMENT GROUP (UK) LLP | Other investment adviser, including financial planners |
| ELLINGTON MANAGEMENT GROUP, L.L.C. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| ELLINGTON RESIDENTIAL MORTGAGE MANAGEMENT LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| EMPIRE MM LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| EMR GP II LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| EMR GP LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| EOF GP LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| EPO GP LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| EPO II GP LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| EPO III GP LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| ESO MM LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| ESOP GP LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| ESRV MM LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| HHE INVESTORS II LLC | Sponsor, GP, manager of pooled investment vehicles |
| NMP MM LLC | Commodity pool operator or commodity trading advisorSponsor, 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 |
|---|---|---|---|---|---|
| PENN, LAURENCE, ERIC | Individual | – | EXECUTIVE VICE PRESIDENT | 08/2007 | < 5% |
| VRANOS, MICHAEL, WILLIAM | Individual | – | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 08/2007 | < 5% |
| TECOTZKY, MARK, IRA | Individual | – | CHIEF INVESTMENT OFFICER | 03/2008 | < 5% |
| EMG HOLDINGS, L.P. | Domestic Entity | – | MEMBER | 03/2009 | > 75% |
| VRANOS, MICHAEL, WILLIAM | Individual | EMG HOLDINGS, L.P. | LIMITED PARTNER | 04/2007 | 25-50% |
| VC INVESTMENTS, L.L.C. | Domestic Entity | EMG HOLDINGS, L.P. | GENERAL PARTNER | 01/2007 | |
| VRANOS, MICHAEL, WILLIAM | Individual | VC INVESTMENTS, L.L.C. | MANAGING MEMBER | 08/1995 | > 75% |
| VC INVESTMENTS, L.L.C. | Domestic Entity | – | MANAGER | 03/2009 | < 5% |
| HERLIHY, JOHN, ROBERT | Individual | – | CHIEF FINANCIAL OFFICER | 04/2018 | < 5% |
| MARGOLIS, DANIEL, REUVEN | Individual | – | GENERAL COUNSEL | 08/2013 | < 5% |
| MALONEY, PATRICK, BRADY | Individual | – | CHIEF COMPLIANCE OFFICER & ASSOCIATE GENERAL COUNSEL | 01/2024 | < 5% |