SM INVESTORS
S. MUOIO & CO. LLC Legal Name
Adviser information for SM INVESTORS last updated from Form ADV on March 29th, 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 | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| 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 | 8 | $101.0M |
| Non-Discretionary | 0 | $0 |
| Total | 8 | $101.0M |
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 | 8 | $91.1M |
| 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 | <5 | $9.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 25 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsRESEARCH SERVICES |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-72307 |
|---|---|
| SEC ERA File Number | 801-72307 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 155549 |
| Legal Entity Identifier | None |
Principal Office
7. EAST 60TH STREET2ND FLOOR
NEW YORK
NY
United States
Monday - Friday, 9AM-5PM
Tel: 212-297-2555, Fax: 212-297-2550
Websites
Chief Compliance Officer
SALVATORE MUOIO
CIO, MANAGING MEMBER
7 EAST 60TH STREET
2ND FLOOR
NEW YORK
NY
United States
Tel:
(212) 297-2555
Fax:
(212) 297-2550
S*****@**************M
(Full email address available in API data)
Industry Affiliates
| GAMCO ASSET MANAGEMENT INC. | Other investment adviser, including financial planners |
| GEORGE HAMILTON | Sponsor, GP, manager of pooled investment vehicles |
| JAMES DEVAS | Sponsor, GP, manager of pooled investment vehicles |
| S. MUOIO & CO. LLC | Sponsor, GP, manager of pooled investment vehicles |
| SALVATORE MUOIO | Sponsor, GP, manager of pooled investment vehicles |
| SM INVESTORS BROADCAST GP LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| SM BROADCAST KQTV, L.P. | Private Equity Fund | $3.0M | $0.0M | 16 |
| SM INVESTORS BROADCAST PARTNERS, L.P. | Private Equity Fund | $11.4M | $0.0M | 23 |
| SM INVESTORS II, L.P. | Hedge Fund | $29.5M | $0.5M | 19 |
| SM INVESTORS, L.P. | Hedge Fund | $12.2M | $0.5M | 33 |
| SM MERGER/ARBITRAGE, L.P. | Hedge Fund | $34.8M | $0.5M | 35 |
| SM/HL ACQUISITION L.P. | Private Equity Fund | $0.1M | $0.0M | 15 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MUOIO, SALVATORE | Individual | – | CIO, MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | 04/1997 | > 75% |
| ASSOCIATED CAPITAL GROUP INC. | Domestic Entity | – | MEMBER | 04/1997 | 10-25% |