EAM GLOBAL INVESTORS LLC
Adviser information for EAM GLOBAL INVESTORS 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 | 21 |
|---|---|
| Investment Advisory/Research | 12 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 14 | $1.4B |
| Non-Discretionary | 0 | $0 |
| Total | 14 | $1.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $137.3M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 5 | $1.0B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 7 | $136.8M |
| State or municipal gov entities | 1 | $61.7M |
| 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 | 14 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
Principal Office
215 HIGHWAY 101SUITE 216
SOLANA BEACH
CA
United States
Monday - Friday, 6:00 AM - 4:00 PM
Tel: 760-479-5080, Fax: 760-633-1431
Websites
Chief Compliance Officer
DEREK JOHN GAERTNER
CHIEF OPERATING OFFICER
215 HIGHWAY 101
SUITE 216
SOLANA BEACH
CA
United States
Tel:
760-479-5075
Fax:
760-633-1431
D********@***************M
(Full email address available in API data)
Regulatory Contact
IRIS KELLY
OPERATIONS & COMPLIANCE MANAGER
215 HIGHWAY 101
SUITE 216
SOLANA BEACH
CA
United States
Tel:
(760) 479-5080
Fax:
(760) 633-1431
I*****@***************M
(Full email address available in API data)
Industry Affiliates
| EAM INVESTORS, LLC | Other investment adviser, including financial planners |
| PACIFIC CURRENT GROUP | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PACIFIC CURRENT GROUP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| ROTH CAPITAL PARTNERS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| EAM EMERGING MARKETS SMALL CAP FUND, LP | LONG ONLY LISTED EQUITIES | $298.4M | $1.0M | 7 |
| EAM INTERNATIONAL SMALL CAP FUND, LP | LONG ONLY LISTED EQUITIES | $94.0M | $1.0M | 7 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| EAM INVESTORS, LLC | Domestic Entity | – | MANAGER/CLASS A COMMON UNIT HOLDER | 05/2014 | 25-50% |
| WACO LIMITED, LLC | Domestic Entity | – | CLASS A COMMON UNIT HOLDER | 05/2014 | 25-50% |
| WEISENBERGER, MONTIE, LEE | Individual | – | MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER | 05/2014 | 10-25% |
| PRENTICE, TRAVIS, TYLER | Individual | – | PRESIDENT, CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR, CLASS B COMMON UNIT HOLDER | 05/2014 | 10-25% |
| GAERTNER, DEREK, JOHN | Individual | – | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, CLASS A COMMON UNIT HOLDER | 05/2014 | < 5% |
| WEISENBERGER, MONTIE, LEE | Individual | EAM INVESTORS, LLC | MANAGING MEMBER | 07/2007 | |
| PRENTICE, TRAVIS, TYLER | Individual | EAM INVESTORS, LLC | MANAGING MEMBER | 07/2007 | |
| HURST, FRANK, PAGE | Individual | EAM INVESTORS, LLC | MANAGING MEMBER | 06/2011 | |
| WACO LIMITED, LLC | Domestic Entity | EAM INVESTORS, LLC | MEMBER | 01/2014 | 25-50% |
| CR FINANCIAL HOLDINGS, INC. | Domestic Entity | WACO LIMITED, LLC | MEMBER | 01/2014 | > 75% |
| ROTH, BYRON, CLARENCE | Individual | CR FINANCIAL HOLDINGS, INC. | SHAREHOLDER | 01/2000 | > 75% |
| HURST, FRANK, PAGE | Individual | – | MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER | 05/2014 | 5-10% |
| MOSS, JOSHUA, MATTHEW | Individual | – | VICE PRESIDENT, CLASS B COMMON UNIT HOLDER | 05/2014 | < 5% |
| NORTHERN LIGHTS MIDCO, LLC | Domestic Entity | – | PREFERRED UNIT HOLDER | 07/2014 | 10-25% |
| AURORA TRUST | Foreign Entity | NORTHERN LIGHTS MIDCO, LLC | MEMBER | 11/2014 | > 75% |
| AURORA INVESTMENT MANAGEMENT PTY LIMITED | Foreign Entity | AURORA TRUST | TRUSTEE | 11/2014 | |
| PACIFIC CURRENT GROUP | Foreign Entity | AURORA TRUST | UNITHOLDER | 11/2014 | 50-75% |
| NORTHERN LIGHTS CAPITAL PARTNERS, LLC | Domestic Entity | AURORA TRUST | UNITHOLDER | 11/2014 | 25-50% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 12th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| Denison Mines Corp | Common Stock | 3M | 1M | – |
| Hudbay Minerals Inc | Common Stock | 7M | 748K | – |
| ADMA Biologics Inc | Common Stock | 7M | 661K | – |
| BGC Group Inc | Common Stock | 5M | 619K | – |
| Alamos Gold Inc | Common Stock | 6M | 396K | – |
| Zeta Global Holdings Corp | Common Stock | 5M | 283K | – |
| Arhaus Inc | Common Stock | 4M | 244K | – |
| Sweetgreen Inc | Common Stock | 7M | 234K | – |
| Oscar Health Inc | Common Stock | 3M | 210K | – |
| MDU Resources Group Inc | Common Stock | 5M | 204K | – |
| Golden Ocean Group Ltd | Common Stock | 3M | 181K | – |
| American Industrial Partners LP | Common Stock | 4M | 174K | – |
| TechnipFMC PLC | Common Stock | 4M | 143K | – |
| Celestica Inc | Common Stock | 8M | 142K | – |
| Flex Ltd | Common Stock | 4M | 135K | – |
| Gap Inc/The | Common Stock | 3M | 130K | – |
| Dyne Therapeutics Inc | Common Stock | 4M | 127K | – |
| Vista Energy SAB de CV | Common Stock | 5M | 118K | – |
| Avidity Biosciences Inc | Common Stock | 5M | 117K | – |
| Amkor Technology Inc | Common Stock | 5M | 114K | – |
| Primoris Services Corp | Common Stock | 6M | 112K | – |
| FTAI Aviation Ltd | Common Stock | 11M | 110K | – |
| Veeco Instruments Inc | Common Stock | 5M | 108K | – |
| BBB Foods Inc | Common Stock | 2M | 100K | – |
| RadNet Inc | Common Stock | 6M | 96K | – |
| Crestview Partners LP/NY | Common Stock | 5M | 95K | – |
| Insmed Inc | Common Stock | 6M | 94K | – |
| FormFactor Inc | Common Stock | 6M | 94K | – |
| American Securities LLC | Common Stock | 5M | 94K | – |
| Suntx Capital Management Corp | Common Stock | 5M | 93K | – |
| Napco Security Technologies Inc | Common Stock | 5M | 92K | – |
| Twist Bioscience Corp | Common Stock | 4M | 83K | – |
| Sprouts Farmers Market Inc | Common Stock | 7M | 83K | – |
| Q2 Holdings Inc | Common Stock | 5M | 81K | – |
| RxSight Inc | Common Stock | 5M | 80K | – |
| US Foods Holding Corp | Common Stock | 4M | 79K | – |
| Camtek Ltd/Israel | Common Stock | 10M | 79K | – |
| Vertiv Holdings Co | Common Stock | 6M | 73K | – |
| NRG Energy Inc | Common Stock | 5M | 70K | – |
| Mr Cooper Group Inc | Common Stock | 6M | 69K | – |
| SkyWest Inc | Common Stock | 6M | 69K | – |
| MakeMyTrip Ltd | Common Stock | 6M | 68K | – |
| Sun Corp | Common Stock | 805K | 67K | – |
| JS Global Lifestyle Co Ltd | Common Stock | 5M | 61K | – |
| nVent Electric PLC | Common Stock | 4M | 55K | – |
| AZZ Inc | Common Stock | 4M | 54K | – |
| Scorpio Tankers Inc | Common Stock | 4M | 52K | – |
| BJ's Wholesale Club Holdings Inc | Common Stock | 4M | 51K | – |
| Kirby Corp | Common Stock | 6M | 51K | – |
| Carpenter Technology Corp | Common Stock | 5M | 49K | – |
| Wix.com Ltd | Common Stock | 8M | 48K | – |
| Tenet Healthcare Corp | Common Stock | 6M | 44K | – |
| CommVault Systems Inc | Common Stock | 5M | 44K | – |
| SPX Technologies Inc | Common Stock | 6M | 43K | – |
| Blueprint Medicines Corp | Common Stock | 4M | 41K | – |
| Nova Ltd | Common Stock | 10M | 41K | – |
| Crane Co | Common Stock | 6M | 41K | – |
| Navigator Holdings Ltd | Common Stock | 651K | 37K | – |
| Cirrus Logic Inc | Common Stock | 5M | 36K | – |
| TransMedics Group Inc | Common Stock | 5M | 36K | – |
| Sterling Infrastructure Inc | Common Stock | 4M | 36K | – |
| Boot Barn Holdings Inc | Common Stock | 5M | 35K | – |
| Onto Innovation Inc | Common Stock | 8M | 35K | – |
| Freshpet Inc | Common Stock | 4M | 34K | – |
| Moog Inc | Common Stock | 5M | 30K | – |
| Woodward Inc | Common Stock | 5M | 30K | – |
| Krystal Biotech Inc | Common Stock | 5M | 29K | – |
| Weatherford International PLC | Common Stock | 3M | 28K | – |
| Dycom Industries Inc | Common Stock | 5M | 28K | – |
| Impinj Inc | Common Stock | 4M | 27K | – |
| Abercrombie & Fitch Co | Common Stock | 5M | 26K | – |
| AeroVironment Inc | Common Stock | 5M | 26K | – |
| Badger Meter Inc | Common Stock | 4M | 22K | – |
| Reinsurance Group of America Inc | Common Stock | 4M | 21K | – |
| Tetra Tech Inc | Common Stock | 4M | 21K | – |
| Clean Harbors Inc | Common Stock | 5M | 20K | – |
| elf Beauty Inc | Common Stock | 4M | 20K | – |
| Curtiss-Wright Corp | Common Stock | 5M | 19K | – |
| UFP Technologies Inc | Common Stock | 5M | 19K | – |
| Fabrinet | Common Stock | 5M | 19K | – |
| Roark Capital Group Inc | Common Stock | 7M | 18K | – |
| Comfort Systems USA Inc | Common Stock | 5M | 15K | – |
| Appfolio Inc | Common Stock | 4M | 15K | – |
| EMCOR Group Inc | Common Stock | 5M | 14K | – |
| CACI International Inc | Common Stock | 5M | 12K | – |
| Medpace Holdings Inc | Common Stock | 4M | 10K | – |
| Super Micro Computer Inc | Common Stock | 4M | 5K | – |
| Deckers Outdoor Corp | Common Stock | 4M | 4K | – |