OXFORD LANE MANAGEMENT, LLC
Adviser information for OXFORD LANE 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 | Connecticut, United States |
Employees
| Total Number of Employees | 24 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 2 |
| 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 | $1.6B |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $1.6B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $1.6B |
| 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 | 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 investment companies |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-71654 |
|---|---|
| SEC ERA File Number | 801-71654 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 154380 |
| Legal Entity Identifier | None |
Principal Office
8 SOUND SHORE DRIVESUITE 255
GREENWICH
CT
United States
Monday - Friday, 9:00AM-5:00PM
Tel: 203-983-5275, Fax: 203-983-5290
Chief Compliance Officer
GERALD CUMMINS
CHIEF COMPLIANCE OFFICER
8 SOUND SHORE DRIVE
SUITE 255
GREENWICH
CT
United States
Tel:
845-224-3808
J*******@**************M
(Full email address available in API data)
Industry Affiliates
| OXFORD FUNDS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| OXFORD GATE MANAGEMENT, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| OXFORD PARK MANAGEMENT, LLC | Other investment adviser, including financial planners |
| OXFORD SQUARE MANAGEMENT, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| COHEN, JONATHAN, HARRIS | Individual | – | CEO | 06/2010 | < 5% |
| ROSENTHAL, SAUL, BARAK | Individual | – | PRESIDENT | 06/2010 | < 5% |
| OXFORD FUNDS, LLC | Domestic Entity | – | MANAGING MEMBER | 06/2010 | > 75% |
| COHEN, JONATHAN, HARRIS | Individual | OXFORD FUNDS, LLC | MANAGING MEMBER | 12/2002 | 50-75% |
| ROSENTHAL, SAUL, BARAK | Individual | OXFORD FUNDS, LLC | MEMBER | 12/2002 | 25-50% |
| ROYCE, CHARLES, MORGAN | Individual | – | MEMBER | 06/2010 | 10-25% |
| CUMMINS, GERALD, RICHARD | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2015 | < 5% |
| RUBIN, BRUCE, LAWRENCE | Individual | – | CHIEF FINANCIAL OFFICER | 08/2015 | < 5% |