GLOBAL ATLANTIC INVESTMENT ADVISORS, LLC
GLOBAL ATLANTIC INVESTMENT ADVISORS, LLC Legal Name
Adviser information for GLOBAL ATLANTIC INVESTMENT ADVISORS, LLC last updated from Form ADV on March 26th, 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 | Indiana, United States |
Employees
| Total Number of Employees | 15 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 16 | $2.9B |
| Non-Discretionary | 0 | $0 |
| Total | 16 | $2.9B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 16 | $2.9B |
| 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 | 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 investment companiesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-78132 |
|---|---|
| SEC ERA File Number | 801-78132 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 167429 |
| Legal Entity Identifier | 5493003HU7SS8IUK9T79 |
Principal Office
10 WEST MARKET STREETSUITE 2300
INDIANAPOLIS
IN
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 317-223-2708, Fax: None
Chief Compliance Officer
DAVID DONALD CAPALBO
CHIEF COMPLIANCE OFFICER
20 GUEST STREET
BRIGHTON
MA
United States
Tel:
508-460-2594
Fax:
508-460-2401
D************@*******M
(Full email address available in API data)
Industry Affiliates
| ACCORDIA LIFE AND ANNUITY COMPANY | Insurance company or agency |
| COMMONWEALTH ANNUITY AND LIFE INSURANCE COMPANY | Insurance company or agency |
| FIRST ALLMERICA FINANCIAL LIFE INSURANCE COMPANY | Insurance company or agency |
| FORELIFE AGENCY INC | Insurance company or agency |
| FORETHOUGHT LIFE INSURANCE COMPANY | Insurance company or agency |
| GLOBAL ATLANTIC ASSURANCE LIMITED | Insurance company or agency |
| GLOBAL ATLANTIC DISTRIBUTORS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| GLOBAL ATLANTIC INSURANCE NETWORK LLC | Insurance company or agency |
| GLOBAL ATLANTIC RE LIMITED | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ARENA, ROBERT, MICHAEL | Individual | – | ELECTED MANAGER | 10/2016 | < 5% |
| TODD, ERIC, DAVID | Individual | – | ELECTED MANAGER, PRESIDENT | 04/2013 | < 5% |
| GLOBAL ATLANTIC (FIN) COMPANY | Domestic Entity | – | MEMBER | 12/2017 | > 75% |
| GLOBAL ATLANTIC FINANCIAL GROUP LIMITED | Foreign Entity | GLOBAL ATLANTIC LIMITED | SHAREHOLDER | 02/2021 | > 75% |
| CAPALBO, DAVID, DONALD | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2016 | < 5% |
| NELSON, PAULA, GENEVIEVE | Individual | – | ELECTED MANAGER | 10/2016 | < 5% |
| GLOBAL ATLANTIC LIMITED | Domestic Entity | GLOBAL ATLANTIC (FIN) COMPANY | SHAREHOLDER | 04/2016 | > 75% |
| KKR & CO. INC. | Domestic Entity | KKR GROUP CO. INC. | SHAREHOLDER OF KKR GROUP CO. INC. | 05/2022 | > 75% |
| KKR GROUP HOLDINGS L.P. | Domestic Entity | KKR GROUP PARTNERSHIP L.P. | LIMITED PARTNER OF KKR GROUP PARTNERSHIP L.P. | 01/2020 | 25-50% |
| KKR GROUP HOLDINGS CORP. | Domestic Entity | KKR GROUP PARTNERSHIP L.P. | GENERAL PARTNER OF KKR GROUP PARTNERSHIP L.P. | 01/2020 | |
| KKR GROUP PARTNERSHIP L.P. | Foreign Entity | KKR GROUP ASSETS HOLDINGS L.P. | LIMITED PARTNER OF KKR GROUP ASSETS HOLDINGS L.P. | 01/2020 | > 75% |
| KKR GROUP PARTNERSHIP L.P. | Foreign Entity | KKR GROUP ASSETS GP LLC | SOLE MEMBER OF KKR GROUP ASSETS GP LLC | 01/2020 | > 75% |
| KKR GROUP ASSETS GP LLC | Domestic Entity | KKR GROUP ASSETS HOLDINGS L.P. | GENERAL PARTNER OF KKR GROUP ASSETS HOLDINGS L.P. | 07/2020 | |
| KKR GROUP ASSETS HOLDINGS L.P. | Domestic Entity | KKR MAGNOLIA HOLDINGS LLC | SOLE MEMBER OF KKR MAGNOLIA HOLDINGS LLC | 07/2020 | > 75% |
| KKR MAGNOLIA HOLDINGS LLC | Foreign Entity | THE GLOBAL ATLANTIC FINANCIAL GROUP LLC | VOTING CLASS SHAREHOLDER OF THE GLOBAL ATLANTIC FINANCIAL GROUP LLC | 07/2020 | 50-75% |
| THE GLOBAL ATLANTIC FINANCIAL GROUP LLC | Foreign Entity | GLOBAL ATLANTIC FINANCIAL GROUP LIMITED | SHAREHOLDER OF GLOBAL ATLANTIC FINANCIAL GROUP LIMITED | 02/2021 | > 75% |
| JACOBY, DAVID, ALLEN | Individual | – | CHIEF FINANCIAL OFFICER | 01/2021 | < 5% |
| KKR GROUP CO. INC. | Domestic Entity | KKR GROUP HOLDINGS CORP. | SHAREHOLDER OF KKR GROUP HOLDINGS CORP. | 07/2018 | > 75% |
| KKR GROUP HOLDINGS CORP. | Domestic Entity | KKR GROUP PARTNERSHIP L.P. | GENERAL PARTNER OF KKR GROUP HOLDINGS L.P. | 05/2022 |