ALUMINA INVESTMENT MANAGEMENT
ALUMINA INVESTMENT MANAGEMENT, LLC Legal Name
Adviser information for ALUMINA INVESTMENT MANAGEMENT last updated from Form ADV on March 5th, 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 | North Carolina, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| 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 | 0 | $0 |
| Non-Discretionary | 2 | $12.0B |
| Total | 2 | $12.0B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | <5 | $4.6B |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| 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 | $7.4B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 50 |
Services
| Advisory Services | Portfolio management for businesses or institutional clientsINVESTMENT CONSULTATION AND ANALYSIS |
|---|---|
| Compensation | Fixed feesFEE DETERMINED AS A % OF CLIENT TOTAL CAPITAL |
Identifiers
| SEC RIA File Number | 801-76782 |
|---|---|
| SEC ERA File Number | 801-76782 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 164273 |
| Legal Entity Identifier | None |
Principal Office
6302 FAIRVIEW ROADSUITE 520
CHARLOTTE
NC
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 980-233-3000, Fax: 980-233-3090
Chief Compliance Officer
KEVIN SWEENEY
PRINCIPAL
1866 SECOND BAXTER XING
FORT MILL
SC
United States
Tel:
980-233-3002
K************@************M
(Full email address available in API data)
Regulatory Contact
GREGORY KARES
MANAGING PARTNER/CHIEF INVESTMENT OFFICER
1821 SHOREHAM DRIVE
CHARLOTTE
NC
United States
Tel:
980-233-3001
G*********@************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KARES, GREGORY, ALEXANDER | Individual | – | FOUNDER/CHIEF INVESTMENT OFFICER | 05/2012 | > 75% |
| STERNER, CAREN, MARGARET | Individual | – | CHIEF FINANCIAL OFFICER | 05/2012 | < 5% |
| SWEENEY, KEVIN, PATRICK | Individual | – | PRINCIPAL/CHIEF COMPLIANCE OFFICER | 07/2012 | < 5% |