SECOR INVESTMENT MANAGEMENT, LP
Adviser information for SECOR INVESTMENT MANAGEMENT, LP 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 Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 33 |
|---|---|
| Investment Advisory/Research | 17 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 7 | $2.1B |
| Non-Discretionary | 2 | $10.3M |
| Total | 9 | $2.1B |
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 | 2 | $721.9M |
| Pension and profit sharing plans | 6 | $1.3B |
| 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 | <5 | $21,845 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 7 |
| No. of Non-U.S. Clients | 82 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based feesPERCENTAGE OF TOTAL ASSETS; A PERCENTAGE OF NOTIONAL VALUE |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-72076 |
|---|---|
| SEC ERA File Number | 801-72076 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 155919 |
| Legal Entity Identifier | 549300SV4EJ2RT08LH72 |
Principal Office
1290 AVENUE OF THE AMERICAS34TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 8AM-5PM
Tel: 212-980-7350, Fax: None
Chief Compliance Officer
PATTIE HAND
1290 AVENUE OF THE AMERICAS
34TH FLOOR
NEW YORK
NY
United States
Tel:
212-980-7364
C**@***********M
(Full email address available in API data)
Industry Affiliates
| SECOR INVESTMENT ADVISORS (UK), LLP | Other investment adviser, including financial plannersPension consultant |
| SECOR INVESTMENT ADVISORS, LP | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorPension consultant |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KAO, TONY DUEN-LI | Individual | – | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | 08/2010 | < 5% |
| SECOR ASSET MANAGEMENT, LP | Domestic Entity | – | LIMITED PARTNER | 08/2010 | > 75% |
| KAO, TONY DUEN-LI | Individual | SECOR ASSET MANAGEMENT, LP | LIMITED PARTNER | 08/2010 | 50-75% |
| SECOR PARTNERS III, LLC | Domestic Entity | – | GENERAL PARTNER | 06/2011 | < 5% |
| SECOR PARTNERS, LLC | Domestic Entity | SECOR ASSET MANAGEMENT, LP | GENERAL PARTNER | 08/2010 | |
| IWANOWSKI, RAYMOND, JOSEPH | Individual | SECOR PARTNERS, LLC | NON-MANAGING MEMBER | 01/2022 | 50-75% |
| KAO, TONY DUEN-LI | Individual | SECOR PARTNERS, LLC | MANAGING MEMBER AND CHIEF EXECUTIVE OFFICER | 08/2010 | 50-75% |
| HAND, PATTIE, LEIGH | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2015 | < 5% |
| GILLIS, MATT | Individual | – | HEAD OF INFRASTRUCTURE | 03/2023 | < 5% |
| DRAKEFORD, DAWN | Individual | – | DIRECTOR OF FINANCE | 01/2023 | < 5% |