KOSMOS MANAGEMENT LLC
Adviser information for KOSMOS MANAGEMENT LLC 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 | 22 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 12 | $1.3B |
| Non-Discretionary | 1 | $111.8M |
| Total | 13 | $1.4B |
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 | $1.4B |
| 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 vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Principal Office
601 UNION STREETSUITE 3900
SEATTLE
WA
United States
Monday - Friday, 8:30 A.M. TO 5:00 P.M.
Tel: 206-624-8111, Fax: 206-624-4050
Chief Compliance Officer
DAVID BUNKER
CHIEF OPERATING OFFICER
601 UNION STREET
SUITE 3900
SEATTLE
WA
United States
Tel:
206 946-6280
Fax:
206 624-4050
D***********@************M
(Full email address available in API data)
Regulatory Contact
FRANCIS GANNON
CHIEF FINANCIAL OFFICER
601 UNION STREET
SUITE 3900
SEATTLE
WA
United States
Tel:
206 946-6290
Fax:
206 624-4050
F*************@************M
(Full email address available in API data)
Industry Affiliates
| CSM PACIFIC | Insurance company or agency |
| KOSMOS FUNDS KUV LLC | Sponsor, GP, manager of pooled investment vehicles |
| KOSMOS FUNDS LLC | Sponsor, GP, manager of pooled investment vehicles |
| KOSMOS INSURANCE SERVICES | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| KDP PARTNERS LP | Private Equity Fund | $626.3M | $100.0M | 2 |
| KEB-1 HOLDINGS, LP | Securitized Asset Fund | $194.6M | $0.1M | 2 |
| KSB-1 HOLDINGS, LP | Securitized Asset Fund | $92.0M | $0.1M | 2 |
| KSN-1 HOLDINGS, LP | Securitized Asset Fund | $104.3M | $0.1M | 2 |
| KUV PARTNERS, LP | Private Equity Fund | $58.3M | $50.0M | 2 |
| PEK HOLDINGS-1, LP | Securitized Asset Fund | $159.7M | $1.0M | 2 |
| RANGELEY LAKE PARTNERS LP | Private Equity Fund | $180.6M | $100.0M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KOSMOS, GEORGE, CHRIS | Individual | – | EXECUTIVE CHAIRMAN AND MANAGING MEMBER | 03/2023 | 25-50% |
| BAUTISTA, AMY, KOSMOS | Individual | – | CEO AND CIO | 03/2023 | 10-25% |
| KRAFT, DAVID, WARREN | Individual | – | MEMBER | 09/2011 | 5-10% |
| KOSMOS, DAVID, ALEXANDER | Individual | – | MEMBER | 09/2011 | 10-25% |
| BUNKER, DAVID, JONATHAN GARAVAN | Individual | – | COO & CCO | 03/2022 | < 5% |
| NAGEL, KYLE, GARY | Individual | – | EVP OF CAPITAL MARKETS | 12/2022 | < 5% |
| GANNON, FRANCIS, XAVIER | Individual | – | CFO | 05/2023 | < 5% |