CION INVESTMENT MANAGEMENT, LLC
Adviser information for CION INVESTMENT MANAGEMENT, LLC last updated from Form ADV on March 28th, 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 | 27 |
|---|---|
| Investment Advisory/Research | 11 |
| 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 | 1 | $2.0B |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $2.0B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 1 | $2.0B |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| 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 investment companies |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
100 PARK AVENUE25TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00 AM - 6:00 PM
Tel: 212-418-4700, Fax: None
Websites
Chief Compliance Officer
STEPHEN ROMAN
CHIEF COMPLIANCE OFFICER, SECRETARY
100 PARK AVENUE, 25TH FLOOR
NEW YORK
NY
United States
Tel:
212-418-4700
S*****@******************M
(Full email address available in API data)
Regulatory Contact
ERIC A. PINERO
CHIEF LEGAL OFFICER
100 PARK AVENUE, 25TH FLOOR
NEW YORK
NY
United States
Tel:
212-418-4700
E******@******************M
(Full email address available in API data)
Industry Affiliates
| CION INVESTMENT GROUP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| CION INVESTMENT MANAGEMENT II, LLC | Other investment adviser, including financial planners |
| CION SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GATTO, MARK | Individual | – | CO-CEO, DIRECTOR | 09/2011 | < 5% |
| REISNER, MICHAEL, ADAM | Individual | – | CO-CEO, DIRECTOR | 09/2011 | < 5% |
| FRANZ, KEITH, SCOTT | Individual | – | MANAGING DIRECTOR AND CFO | 09/2011 | < 5% |
| SCHILL, GREGORY, MICHAEL | Individual | – | MANAGING DIRECTOR | 09/2011 | < 5% |
| CION INVESTMENT GROUP, LLC | Domestic Entity | – | MEMBER - SERIES A INTERESTS | 09/2011 | > 75% |
| GATTO, MARK | Individual | GATTO LIVING TRUST | TRUSTEE | 12/2022 | > 75% |
| REISNER, MICHAEL, ADAM | Individual | MICHAEL REISNER REVOCABLE LIVING TRUST | TRUSTEE | 02/2024 | > 75% |
| WARRENTON CAPITAL CORP. | Domestic Entity | CION INVESTMENT GROUP, LLC | MEMBER SERIES B | 01/2020 | 50-75% |
| NOIC VENTURES, LLC | Domestic Entity | – | MEMBER - SERIES B INTERESTS | 12/2013 | > 75% |
| ROMAN, STEPHEN | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2016 | < 5% |
| BRESNER, GREGG, ALAN | Individual | – | PRESIDENT AND CHIEF INVESTMENT OFFICER | 04/2016 | < 5% |
| WIDRA, HOWARD, TODD | Individual | – | DIRECTOR | 07/2017 | < 5% |
| APOLLO INVESTMENT MANAGEMENT, L.P. | Domestic Entity | – | MEMBER - SERIES C INTERESTS | 07/2017 | > 75% |
| ACC MANAGEMENT, LLC | Domestic Entity | APOLLO INVESTMENT MANAGEMENT, L.P. | GENERAL PARTNER | 02/2004 | |
| APOLLO MANAGEMENT HOLDINGS, L.P. | Domestic Entity | APOLLO INVESTMENT MANAGEMENT, L.P. | LIMITED PARTNER | 02/2007 | > 75% |
| APOLLO CAPITAL MANAGEMENT, L.P. | Domestic Entity | ACC MANAGEMENT, LLC | SOLE MEMBER-MANAGER | 08/2007 | |
| APOLLO CAPITAL MANAGEMENT GP, LLC | Domestic Entity | APOLLO CAPITAL MANAGEMENT, L.P. | GENERAL PARTNER | 08/2007 | |
| APOLLO MANAGEMENT HOLDINGS, L.P. | Domestic Entity | APOLLO MANAGEMENT HOLDINGS, L.P. | SOLE MEMBER-MANAGER | 01/2007 | |
| APOLLO GLOBAL MANAGEMENT, INC. | Domestic Entity | AMH HOLDINGS (CAYMAN), L.P. | LIMITED PARTNER | 01/2022 | 25-50% |
| APOLLO MANAGEMENT HOLDINGS GP, LLC | Domestic Entity | APOLLO MANAGEMENT HOLDINGS, L.P. | GENERAL PARTNER | 01/2007 | |
| APO CORP. | Domestic Entity | AMH HOLDINGS (CAYMAN), L.P. | LIMITED PARTNER | 10/2012 | 50-75% |
| APO CORP. | Domestic Entity | APOLLO MANAGEMENT HOLDINGS GP, LLC | SOLE MEMBER | 08/2007 | |
| AMH HOLDINGS (CAYMAN), L.P. | Foreign Entity | APOLLO MANAGEMENT HOLDINGS, L.P. | LIMITED PARTNER | 10/2012 | > 75% |
| AMH HOLDINGS GP, LTD. | Foreign Entity | AMH HOLDINGS (CAYMAN), L.P. | GENERAL PARTNER | 10/2012 | |
| PINERO, ERIC, ANTHONY | Individual | – | CHIEF LEGAL OFFICER | 11/2021 | < 5% |
| APOLLO ASSET MANAGEMENT, INC | Domestic Entity | APO CORP. | SOLE MEMBER | 01/2022 | > 75% |
| APOLLO GLOBAL MANAGEMENT, INC. | Domestic Entity | APOLLO ASSET MANAGEMENT, INC | SOLE SHAREHOLDER | 01/2022 | > 75% |
| Arestia, Charles | Individual | – | MANAGING DIRECTOR | 03/2024 | < 5% |
| MICHAEL REISNER REVOCABLE LIVING TRUST | Domestic Entity | WARRENTON CAPITAL CORP. | SHAREHOLDER | 02/2024 | 25-50% |
| GATTO LIVING TRUST | Domestic Entity | WARRENTON CAPITAL CORP. | SHAREHOLDER | 02/2024 | 25-50% |