TRANSWESTERN INVESTMENT MANAGEMENT, LLC
Adviser information for TRANSWESTERN 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 | 31 |
|---|---|
| Investment Advisory/Research | 26 |
| 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 | 2 | $573.8M |
| Non-Discretionary | 8 | $3.4B |
| Total | 10 | $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 | 7 | $1.2B |
| 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 | <5 | $2.9B |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based feesACQUISITION FEE |
Identifiers
| SEC RIA File Number | 801-76546 |
|---|---|
| SEC ERA File Number | 801-76546 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 159520 |
| Legal Entity Identifier | None |
Principal Office
8235 DOUGLAS AVENUESUITE 450
DALLAS
TX
United States
Monday - Friday, 8:30A.M. - 5:30P.M.
Tel: 214-572-9817, Fax: None
Websites
Chief Compliance Officer
REID BOURGEOIS
CFO
8235 DOUGLAS AVENUE
SUITE 450
DALLAS
TX
United States
Tel:
214-572-9817
R*************@*********************M
(Full email address available in API data)
Industry Affiliates
| CORPORATE PROPERTIES TRUST I GP, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| CORPORATE PROPERTIES TRUST II GP, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| MIP MASTER GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| TRANSWESTERN COMMERCIAL SERVICES, LLC | Real estate broker or dealer |
| TRANSWESTERN DEVELOPMENT COMPANY, LLC | Sponsor or syndicator of limited partnerships |
| TRANSWESTERN STRATEGIC PARTNERS FUND III GP, L.L.C | Sponsor, GP, manager of pooled investment vehicles |
| TSP VALUE AND INCOME FUND II GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CORPORATE PROPERTIES TRUST I, LP | Real Estate Fund | $9.7M | $20.0M | 3 |
| CORPORATE PROPERTIES TRUST II, LP | Real Estate Fund | $226.4M | $20.0M | 2 |
| DIVERSIFIED INTERNATIONAL PARTNERS (DEBT), L.P. | Real Estate Fund | $9.9M | $0.3M | 92 |
| DIVERSIFIED INTERNATIONAL PARTNERS (EQUITY), L.P. | Real Estate Fund | $14.8M | $0.3M | 92 |
| MIP MASTER PARTNERSHIP II, LP | Real Estate Fund | $328.7M | $0.0M | 2 |
| TRANSWESTERN STRATEGIC PARTNERS FUND III, L.P. | Real Estate Fund | $450.7M | $1.0M | 89 |
| TSP VALUE AND INCOME FUND II, LP | Real Estate Fund | $123.1M | $10.0M | 23 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| TRANSWESTERN INVESTMENT GROUP, LLC | Domestic Entity | – | MEMBER, TRANSWESTERN INVESTMENT MANAGEMENT, LLC AND TRANSWESTERN STRATEGIC PARTNERS, LLC | 03/2011 | > 75% |
| DUNCAN, ROBERT, DOUGLAS | Individual | – | CHAIRMAN | 10/2010 | < 5% |
| HEARD, LAWRENCE, PIKE | Individual | – | CHIEF EXECUTIVE OFFICER | 10/2010 | < 5% |
| DUNCAN, ROBERT, DOUGLAS | Individual | TRANSWESTERN INVESTMENT GROUP, LLC | MEMBER | 03/2011 | 25-50% |
| BOURGEOIS, REID, MICHAEL | Individual | – | CHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER | 06/2017 | < 5% |
| HAZEN, CHARLES, NICHOLAS | Individual | – | PRESIDENT | 09/2017 | < 5% |
| Garancis, Paul | Individual | – | EXECUTIVE MANAGING DIRECTOR, HEAD OF PORTFOLIO MANAGEMENT | 06/2022 | < 5% |
| Jaye, Gary, Raymond | Individual | – | CHIEF INVESTMENT OFFICER | 10/2022 | < 5% |