GULFSTREAM CM, LLC
Adviser information for GULFSTREAM CM, 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 | 8 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 21 | $244.0M |
| Non-Discretionary | 0 | $0 |
| Total | 21 | $244.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 19 | $39.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $204.3M |
| 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 | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-77699 |
|---|---|
| SEC ERA File Number | 801-77699 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 165459 |
| Legal Entity Identifier | None |
Principal Office
450 SPRINGFIELD AVENUE, SUITE 204SUMMIT
NJ
United States
Monday - Friday, 8:30 AM TO 5:00 PM
Tel: 908-918-1600, Fax: 908-918-1610
Websites
Chief Compliance Officer
KATHRYN E LAWLOR
450 SPRINGFIELD AVENUE
SUITE 204
SUMMIT
NJ
United States
Tel:
908-918-1600
Fax:
908-918-1610
K******@***************M
(Full email address available in API data)
Regulatory Contact
STEPHEN M BARRAL
450 SPRINGFIELD AVENUE
SUITE 204
SUMMIT
NJ
United States
Tel:
908-918-1600
S******@***************M
(Full email address available in API data)
Industry Affiliates
| GULFSTREAM GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| MOUNTAINSIDE SECURITIES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| GULFSTREAM OPPORTUNITY FUND, LP | Hedge Fund | $144.1M | $3.0M | 46 |
| GULFSTREAM VALUE FUND, LP | Hedge Fund | $60.2M | $1.0M | 27 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BARRAL, STEPHEN, MICHAEL | Individual | – | MEMBER | 02/2011 | 25-50% |
| POSNER, RYAN, KEITH | Individual | – | MEMBER | 09/2005 | 50-75% |
| LAWLOR, KATHRYN, ELIZABETH | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2017 | < 5% |