TALL TREE INVESTMENT MANAGEMENT, LLC
Adviser information for TALL TREE INVESTMENT 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 | 6 |
|---|---|
| Investment Advisory/Research | 6 |
| 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 | 3 | $235.3M |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $235.3M |
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 | 3 | $235.3M |
| 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 | 100 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-73578 |
|---|---|
| SEC ERA File Number | 801-73578 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 160035 |
| Legal Entity Identifier | None |
Principal Office
27475 FERRY RDSUITE 131
WARRENVILLE
IL
United States
Monday - Friday, 8AM TO 5PM
Tel: 312-224-7822, Fax: 312-242-3031
Chief Compliance Officer
FRANK SHERROD
CHIEF OPERATING OFFICER
27475 FERRY RD
SUITE 131
WARRENVILLE
IL
United States
Tel:
312-224-7822
Fax:
312-242-3031
F************@*************M
(Full email address available in API data)
Regulatory Contact
IQEQ US
CONSULTANT
2777 NORTH STEMMONS FWY
SUITE 1425
DALLAS
TX
United States
Tel:
214-748-7556
C*********@***********************M
(Full email address available in API data)
Industry Affiliates
| TALL TREE RR GP I, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| EVANS GROVE CLO, LTD. | Securitized Asset Fund | $0.2M | $0.1M | 0 |
| LOCKWOOD GROVE CLO, LTD. | Securitized Asset Fund | $234.9M | $0.1M | 0 |
| MONARCH GROVE CLO, LTD. | Securitized Asset Fund | $0.2M | $0.1M | 0 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SHERROD, FRANK, JOHN | Individual | – | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | 07/2005 | < 5% |
| LENGA, WILLIAM, DEAN | Individual | – | CHIEF EXECUTIVE OFFICER | 07/2005 | > 75% |
| TALL TREE FINANCIAL PARTNERS, LLC | Domestic Entity | – | MANAGING MEMBER | 09/2005 | < 5% |
| LENGA, WILLIAM, DEAN | Individual | TALL TREE FINANCIAL PARTNERS, LLC | MANAGING MEMBER | 07/2005 | > 75% |