GAGNON ADVISORS
GAGNON ADVISORS, LLC Legal Name
Adviser information for GAGNON ADVISORS 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 | 10 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 10 |
| Registered State Investment Advisers | 10 |
| 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 | 3 | $141.9M |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $141.9M |
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 | 3 | $141.9M |
| 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 | 23 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Principal Office
1370 6TH AVENUE, 26TH FLOORNEW YORK
NY
United States
Monday - Friday, 9-5
Tel: 212-554-5060, Fax: (585) 496-3144
Chief Compliance Officer
LISA FERRANTE
CHIEF COMPLIANCE OFFICER
1370 6TH AVENUE
26TH FLOOR
NEW YORK
NY
United States
Tel:
212-554-5060
Fax:
(585) 496-3144
L***@************M
(Full email address available in API data)
Regulatory Contact
MARIANNE D'ALESSANDRO
CHIEF FINANCIAL OFFICER
1370 6TH AVENUE
26TH FLOOR
NEW YORK
NY
United States
Tel:
212-554-5080
Fax:
(585) 496-3144
M*******@************M
(Full email address available in API data)
Industry Affiliates
| GAGNON INVESTMENTS INC | Sponsor, GP, manager of pooled investment vehicles |
| GAGNON SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| GAGNONLEE ASSOCIATES LLC | Sponsor, GP, manager of pooled investment vehicles |
| GAGNONLEE MANAGEMENT LLC | Other investment adviser, including financial planners |
| LEE ASSOCIATES LLC | Sponsor, GP, manager of pooled investment vehicles |
| UPLAND ASSET MANAGEMENT LP | Sponsor, GP, manager of pooled investment vehicles |
| WGT ASSET MANAGEMENT LLC | Other investment adviser, including financial planners |
| WGT CAPITAL LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| GAGNON INVESTMENT ASSOCIATES LLC | Hedge Fund | $52.8M | $0.3M | 47 |
| GAGNON INVESTMENT ASSOCIATES MASTER FUND | Hedge Fund | $85.3M | $0.3M | 72 |
| GAGNON INVESTMENT ASSOCIATES OFFSHORE | Hedge Fund | $32.5M | $0.3M | 25 |
| GIS FUND OF FUNDS LLC | Hedge Fund | $56.6M | $0.5M | 52 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GAGNON ADMINISTRATIVE SERVICES LLC | Domestic Entity | – | OWNER | 07/2009 | > 75% |
| GAGNON, NEIL, JOSEPH | Individual | – | CHIEF EXECUTIVE OFFICER | 02/2002 | 25-50% |
| GAGNON, NEIL, JOSEPH | Individual | GAGNON ADMINISTRATIVE SERVICES LLC | OWNER | 07/2004 | 25-50% |
| GAGNON, BRIAN, JOSEPH | Individual | – | MEMBER | 01/2009 | 10-25% |
| DREW, MAUREEN, ONEILL | Individual | – | MEMBER | 01/2009 | 10-25% |
| FERRANTE, LISA, CATHERINE | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2018 | < 5% |
| D'ALESSANDRO, MARIANNE | Individual | – | CHIEF FINANCIAL OFFICER | 01/2018 | < 5% |
| TAYLOR, WILLIS, GITT | Individual | – | MEMBER | 01/2009 | 10-25% |
| TRANCHIDA, ALISON, O'BRIEN | Individual | – | OPERATIONS MANAGER | 01/2018 | < 5% |
| LEE, DWIGHT, EISENHOWER | Individual | – | MEMBER | 04/2022 | < 5% |
| ROBOHM, JONATHAN, WILLIAMS | Individual | – | MEMBER | 04/2022 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| AIR LEASE CORP | CL A | 9M | 196K | – |
| ALPHA & OMEGA SEMICONDUCTOR | SHS | 7M | 189K | – |
| AMERESCO INC | CLA | 6M | 193K | – |
| BIOLIFE SOLUTIONS INC | COM NEW | 6M | 274K | – |
| BLACKLINE INC | COM | 5M | 104K | – |
| CAREDX INC | COM | 9M | 610K | – |
| CNFINANCE HLDGS LTD | SPON ADS | 1M | 785K | – |
| DOUBLEVERIFY HLDGS INC | COM | 3M | 135K | – |
| E2OPEN PARENT HOLDINGS INC | COM CL A | 4M | 781K | – |
| ENTERPRISE PRODS PARTNERS L | COM | 10M | 340K | – |
| ENVIVA INC | COM UNIT | 64K | 149K | – |
| EQUINIX INC | COM | 5M | 7K | – |
| EXACT SCIENCES CORP | COM | 4M | 105K | – |
| FIVE9 INC | COM | 6M | 126K | – |
| FRESHWORKS INC | CLASS A COM | 4M | 341K | – |
| GENEDX HOLDINGS CORP | COM CL A | 7M | 255K | – |
| IONQ INC | COM | 1M | 158K | – |
| KALTURA INC | COM | 1M | 1M | – |
| NAVIGATOR HLDGS LTD | SHS | 9M | 517K | – |
| PACIRA BIOSCIENCES INC | COM | 4M | 133K | – |
| POWER SOLUTIONS INTL INC COM NEW | COM | 5M | 758K | – |
| PROFOUND MED CORP | COM NEW | 6M | 747K | – |
| SECUREWORKS CORP | CL A | 5M | 744K | – |
| STANDARD BIOTOOLS INC | COM | 1M | 672K | – |
| VEREN INC | COM NEW | 4M | 474K | – |
| VERTEX INC | CL A | 4M | 116K | – |
| ZUORA INC | COM CL A | 5M | 514K | – |