BERGEN ASSET MANAGEMENT, LLC
Adviser information for BERGEN ASSET MANAGEMENT, LLC last updated from Form ADV on March 22nd, 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 | 0 |
|---|---|
| Investment Advisory/Research | 0 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
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 | 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 | – |
|---|---|
| Compensation | – |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 802-106508 |
|---|---|
| SEC ERA File Number | 802-106508 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 277074 |
| Legal Entity Identifier | None |
Principal Office
1800 N. MILITARY TRAILSUITE 150
BOCA RATON
FL
United States
Monday - Friday, 9AM-5PM
Tel: 561-210-3124, Fax: 561-537-7475
Chief Compliance Officer
GREGORY CURTIS SCOTT
GENERAL COUNSEL
1800 N. MILITARY TRAIL
SUITE 150
BOCA RATON
FL
United States
Tel:
561-210-3126
Fax:
561-537-7473
G************@**************M
(Full email address available in API data)
Industry Affiliates
| BERGEN PARTNERS, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| BERGEN GLOBAL OPPORTUNITY FUND, LP | Hedge Fund | $26.1M | $0.2M | 27 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| EZH HOLDINGS (DE), LLC | Domestic Entity | – | SOLE MEMBER | 03/2011 | > 75% |
| TABLIS, EUGENE | Individual | EZH HOLDINGS (DE), LLC | SOLE MEMBER | 11/2007 | > 75% |
| TABLIS, EUGENE | Individual | – | CHIEF INVESTMENT OFFICER AND MANAGING DIRECTOR | 03/2011 | < 5% |
| BURNS, CORY, JAMES | Individual | – | CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER | 01/2014 | < 5% |
| JOHNSON, ALEXIS, RAE | Individual | – | CHIEF ADMINISTRATIVE OFFICER | 11/2015 | < 5% |
| SCOTT, GREGORY, CURTIS | Individual | – | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 08/2017 | < 5% |