FUNDAMENTAL ADVISORS LP
Adviser information for FUNDAMENTAL ADVISORS LP 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 Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 38 |
|---|---|
| Investment Advisory/Research | 23 |
| 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 | 9 | $4.0B |
| Non-Discretionary | 0 | $0 |
| Total | 9 | $4.0B |
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 | 9 | $4.0B |
| 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 vehiclesFUNDAMENTAL ASSET MANAGEMENT LLC IS AN ASSET MANAGEMENT BUSINESS FORMED BY FUNDAMENTAL ADVISORS IN 2009 |
|---|---|
| Compensation | % of AUMPerformance-based feesREFER TO DISCUSSION OF OTHER FEES IN ITEM 5 OF FORM ADV PART 2A |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-73278 |
|---|---|
| SEC ERA File Number | 801-73278 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 157899 |
| Legal Entity Identifier | 54930027N2W144Q5NO96 |
Principal Office
745 FIFTH AVE25TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9AM - 5PM
Tel: 212-205-5000, Fax: 212-205-5050
Chief Compliance Officer
JENNIFER M. LIN
745 FIFTH AVENUE
25TH FLOOR
NEW YORK
NY
United States
Tel:
212-205-5047
J***@**************M
(Full email address available in API data)
Regulatory Contact
JUSTIN VINCI
CHIEF OPERATING OFFICER
745 FIFTH AVENUE
25TH FLOOR
NEW YORK
NY
United States
Tel:
212-205-5007
J*****@**************M
(Full email address available in API data)
Industry Affiliates
| FP SOLAR FINANCE GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| FUNDAMENTAL EMPIRE FUND GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| FUNDAMENTAL PARTNERS II GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| FUNDAMENTAL PARTNERS III GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| FUNDAMENTAL PARTNERS IV GP LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| FUNDAMENTAL 636 CHICAGO HOTEL LLC | Hedge Fund | $11.4M | $0.0M | 4 |
| FUNDAMENTAL EMPIRE FUND LP | Hedge Fund | $390.3M | $0.0M | 2 |
| FUNDAMENTAL PARTNERS II LP | Hedge Fund | $2.4M | $0.0M | 41 |
| FUNDAMENTAL PARTNERS III LP | Hedge Fund | $1,418.8M | $10.0M | 441 |
| FUNDAMENTAL PARTNERS IV LP | Hedge Fund | $1,640.7M | $10.0M | 621 |
| FUNDAMENTAL SOLAR FINANCE LP | Hedge Fund | $495.3M | $0.0M | 8 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FUNDAMENTAL ADVISORS GROUP LLC | Domestic Entity | – | GENERAL PARTNER | 04/2007 | < 5% |
| FUNDAMENTAL ADVISORS HOLDINGS LP | Domestic Entity | – | LIMITED PARTNER | 06/2007 | > 75% |
| FP I MANAGER HOLDINGS LLC | Domestic Entity | – | LIMITED PARTNER | 09/2007 | 10-25% |
| GOTTLIEB, LAURENCE, L. | Individual | – | CHAIRMAN AND CEO | 12/2014 | < 5% |
| GOTTLIEB, LAURENCE, L. | Individual | FUNDAMENTAL ADVISORS GROUP LLC | MANAGING MEMBER | 04/2007 | > 75% |
| GOTTLIEB, LAURENCE, L. | Individual | FUNDAMENTAL ADVISORS HOLDINGS LP | LIMITED PARTNER | 06/2007 | > 75% |
| FUNDAMENTAL ADVISORS GROUP LLC | Domestic Entity | FUNDAMENTAL ADVISORS HOLDINGS LP | GENERAL PARTNER | 04/2007 | |
| VINCI, JUSTIN, MICHAEL | Individual | – | CHIEF OPERATING OFFICER | 03/2022 | < 5% |
| KAYLE, BRUCE, EVAN | Individual | – | GENERAL COUNSEL | 01/2020 | < 5% |
| LIN, JENNIFER, MICHELLE | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2021 | < 5% |
| KEANE, RYAN, S | Individual | – | MANAGING DIRECTOR | 01/2019 | < 5% |
| WEISS, ROBERT, LEONARD | Individual | – | CHIEF FINANCIAL OFFICER | 03/2022 | < 5% |
| DOMIN�, MARK | Individual | – | MANAGING DIRECTOR | 08/2021 | < 5% |
| HOPPER, ROBERT, JAMES | Individual | – | MANAGING DIRECTOR | 08/2021 | < 5% |