Hedge Fund Database

ASTOR INVESTMENT MANAGEMENT LLC

Adviser information for ASTOR INVESTMENT 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 8
Investment Advisory/Research 3
Registered Broker-Dealer Representatives 1
Registered State Investment Advisers 4
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 524 $261.4M
Non-Discretionary 0 $0
Total 524 $261.4M

Clients

Type Number RAUM
Individuals 505 $106.1M
HNW Individuals 11 $16.3M
Banking or thrift institutions 0 $0
Investment companies 3 $122.1M
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans <5 $7.6M
Charitable organizations <5 $6.6M
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 $2.6M
Other <5 $44,888
Type Number
No. of Non-RAUM Clients 5000
No. of Non-U.S. Clients 0

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for businesses or institutional clients
Compensation % of AUM
Other Business Activities Commodity pool operator or commodity trading advisor

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 139.3M
Both for Same 0
Portfolio Manager to Program Sponsor
MANAGER SELECT LPL FINANCIAL
CONNECT PROGRAM STIFEL NICOLAUS
INVESTMENT MANAGEMENT SOLUTIONS MORGAN STANLEY SMITH BARNEY
MAC ELIGIBLE UBS FINANCIAL SERVICES
MANAGED ACCOUNT PLATFORM RBC WEALTH MANAGEMENT
OUTSIDE MANAGER PROGRAM RAYMOND JAMES & ASSOCIATES, INC
PRIVATE ADVISOR NETWORK WELLS FARGO ADVISORS
RECOMMENDED MANAGERS RW BAIRD
MANAGER ACCESS SELECT LPL FINANCIAL LLC
PAS PLATFORM LOCKWOOD ADVISORS, INC.

Identifiers

SEC RIA File Number 801-78794
SEC ERA File Number 801-78794
SEC CIK Numbers 1598416
SEC CRD Numbers 169679
Legal Entity Identifier None

Principal Office

111 S WACKER DRIVE
SUITE 3950
CHICAGO
IL
United States
Monday - Friday, 8:30AM-5:00PM
Tel: 800-899-8230, Fax: 312-228-5901

Websites

www.astormacrofund.com twitter.com/astorinvmgmt www.youtube.com/channel/ucptgmqtcyzawhu5qmvr3pkw www.astorimfunds.com www.linkedin.com/company/astor-asset-management podcasts.apple.com/us/podcast/astor-investment-management/id1493798286?mt=2&ls=1 podcasts.google.com/feed/ahr0chm6ly9hc3rvcmltlmnvbs9mzwvklw open.spotify.com/show/1poaqwzzzjtcaxt6gp20ni www.astorim.com www.subscribeonandroid.com/astorim.com/feed/podcast/

Chief Compliance Officer

BRYAN TENNANT
111 SOUTH WACKER DRIVE
SUITE 3950
CHICAGO
IL
United States
Tel: 312-228-5930
Fax: 312-228-5901
(Full email address available in API data)

Regulatory Contact

SCOTT THOMAS
DIRECTOR, CHIEF FINANCIAL OFFICER, CHIEF OPERATIONS OFFICER
111 SOUTH WACKER DRIVE
SUITE 3950
CHICAGO
IL
United States
Tel: 312-228-5904
Fax: 312-228-5901
(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
LAKEWOOD INVESTMENT MANAGEMENT LLC Domestic Entity – OWNER / MANAGING MEMBER 10/2013 > 75%
STEIN, ROBERT, NEIL Individual ASTOR FINANCIAL LLC OWNER / MANAGING MEMBER 10/2019 > 75%
ECKSTEIN, JOHN, FRANCIS Individual – CHIEF INVESTMENT OFFICER 10/2013 < 5%
NOVAK, BRYAN, MICHAEL Individual – CHIEF EXECUTIVE OFFICER 10/2013 < 5%
THOMAS, SCOTT, ANTHONY Individual – DIRECTOR, CHIEF FINANCIAL OFFICER, CHIEF OPERATIONS OFFICER 11/2014 < 5%
HARVEST CAPITAL STRATEGIES LLC Domestic Entity – OWNER 11/2017 10-25%
TENNANT, BRYAN, CHARLES Individual – CHIEF COMPLIANCE OFFICER 07/2022 < 5%
ASTOR FINANCIAL LLC Domestic Entity LAKEWOOD INVESTMENT MANAGEMENT LLC MEMBER 10/2019 50-75%

No. Employees, Historic

30150201920202021202220232024202517 on 4/9/201917 on 6/4/201917 on 10/31/201921 on 3/2/202021 on 6/30/202018 on 8/5/202018 on 8/6/202018 on 10/30/202018 on 11/23/202016 on 3/24/202116 on 4/8/202116 on 5/6/202116 on 1/4/202215 on 3/30/202215 on 5/31/202215 on 6/13/202215 on 7/27/202215 on 10/28/20229 on 3/30/20239 on 10/31/20239 on 11/22/20239 on 12/4/20239 on 12/5/20238 on 3/29/2024

RAUM, Historic

700M350M02019202020212022202320242025588376203 on 4/9/2019588376203 on 6/4/2019588376203 on 10/31/2019625975800 on 3/2/2020625975800 on 6/30/2020514582411 on 8/5/2020514582411 on 8/6/2020514582411 on 10/30/2020514582411 on 11/23/2020443926250 on 3/24/2021443926250 on 4/8/2021443926250 on 5/6/2021443926250 on 1/4/2022429163565 on 3/30/2022429163565 on 5/31/2022429163565 on 6/13/2022429163565 on 7/27/2022429163565 on 10/28/2022324778642 on 3/30/2023324778642 on 10/31/2023324778642 on 11/22/2023324778642 on 12/4/2023324778642 on 12/5/2023261448150 on 3/29/2024

No. Clients, Historic

2,0001,000020192020202120222023202420251424 on 4/9/20191424 on 6/4/20191424 on 10/31/20191077 on 3/2/20201077 on 6/30/2020984 on 8/5/2020984 on 8/6/2020984 on 10/30/2020984 on 11/23/2020863 on 3/24/2021863 on 4/8/2021863 on 5/6/2021863 on 1/4/2022823 on 3/30/2022823 on 5/31/2022823 on 6/13/2022823 on 7/27/2022823 on 10/28/2022706 on 3/30/2023706 on 10/31/2023706 on 11/22/2023706 on 12/4/2023706 on 12/5/2023519 on 3/29/2024

Holdings

From latest 13F, filed July 31st, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
SPDR SER TR PORTFOLIO SandP500 Com 22M 343K –
JANUS DETROIT STR TR HENDRSON AAA CL Com 21M 413K –
FIRST TR EXCHNG TRADED FD VIII FT VEST UQ EQT Com 20M 468K –
INVESCO EXCHANGE TRADED FD TR SandP500 EQL Com 16M 99K –
PIMCO ETF TR MULTISECTOR BD Com 13M 498K –
SPDR SER TR BLOOMBERG INVT Com 12M 404K –
SELECT SECTOR SPDR TR RL EST SEL SEC Com 11M 273K –
ISHARES INC MSCI EMRG CHN Com 9M 155K –
SPDR SER TR PORTFOLI SandP1500 Com 9M 138K –
SPDR INDEX SHS FDS PORTFOLIO EMG MK Com 9M 242K –
SSGA ACTIVE ETF TR BLACKSTONE SENR Com 9M 213K –
SIMPLIFY EXCHANGE TRADED FUNDS ENHANCED INM Com 9M 364K –
SELECT SECTOR SPDR TR SBI CONS DISCR Com 8M 42K –
INVESCO EXCH TRADED FD TR II NASDAQ 100 ETF Com 7M 37K –
BONDBLOXX ETF TRUST BLOOMBERG SEVEN Com 7M 154K –
FIRST TR EXCHANGE-TRADED FD VI SMID RISNG ETF Com 7M 214K –
VANGUARD WORLD FD COMM SRVC ETF Com 7M 48K –
SELECT SECTOR SPDR TR INDL Com 6M 49K –
ISHARES TR SHORT TREAS BD Com 5M 44K –
SELECT SECTOR SPDR TR SBI CONS STPLS Com 5M 60K –
SELECT SECTOR SPDR TR ENERGY Com 3M 29K –
GOLDMAN SACHS ETF TR ACCES TREASURY Com 2M 16K –
ISHARES U S ETF TR BLACKROCK SH DUR Com 1M 23K –
SPDR SandP 500 ETF TR TR UNIT Com 190K 350 –
VICTORY PORTFOLIOS II SHORT TRM BD ETF Com 65K 1K –
PIMCO ETF TR 0-5 HIGH YIELD Com 31K 338 –
FIRST TR EXCHANGE-TRADED FD IV SENIOR LN FD Com 23K 496 –
ISHARES TR ISHS 5-10YR INVT Com 18K 348 –
BNY MELLON ETF TRUST HIGH YIELD ETF Com 16K 342 –
POWERSHARES ACTIVELY MANAGED ULTRA SHRT DUR Com 12K 233 –