GBX FUND MANAGEMENT, LTD.
Adviser information for GBX FUND MANAGEMENT, LTD. 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 | Ohio, 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 | – |
Identifiers
| SEC RIA File Number | 802-107834 |
|---|---|
| SEC ERA File Number | 802-107834 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 281080 |
| Legal Entity Identifier | None |
Principal Office
2101 SUPERIOR AVENUECLEVELAND
OH
United States
Monday - Friday, 9AM-5PM
Tel: (216) 241-6689, Fax: (216) 241-6717
Websites
Chief Compliance Officer
KELLY M. HOY
CHIEF LEGAL OFFICER
2101 SUPERIOR AVENUE
SUITE 300
CLEVELAND
OH
United States
Tel:
216-241-6689
Fax:
216-241-6717
K***@***********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| 445 E MARKET INVESTMENT LLC | Real Estate Fund | $3.7M | $0.1M | 28 |
| ASHEVILLE BB 2018 LLC | Real Estate Fund | $1.9M | $0.1M | 17 |
| DIVERSIFIED HP 2014 INVESTORS LLC | Real Estate Fund | $5.7M | $0.0M | 95 |
| DIVERSIFIED HP 2015 INVESTORS LLC | Liquidity Fund | $7.7M | $0.0M | 96 |
| DIVERSIFIED HP 2016 INVESTORS LLC | Real Estate Fund | $4.3M | $0.1M | 99 |
| DIVERSIFIED HP 2016 INVESTORS LLC (QP) | Real Estate Fund | $6.9M | $0.1M | 62 |
| GBX RENEWABLE ENERGY TAX CREDIT FUND 2013-A LLC | Private Equity Fund | $0.0M | $0.5M | 0 |
| GBX RENEWABLE ENERGY TAX CREDIT FUND 2014-A LLC | Private Equity Fund | $0.4M | $0.5M | 7 |
| GBX RENEWABLE ENERGY TAX CREDIT FUND 2015-A LLC | Private Equity Fund | $0.0M | $0.5M | 4 |
| GBX RENEWABLE ENERGY TAX CREDIT FUND 2016-A LLC | Private Equity Fund | $0.0M | $0.1M | 1 |
| GLOBAL X HISTORIC TAX CREDIT FUND 2012A, LTD. | Private Equity Fund | $0.0M | $0.1M | 2 |
| GLOBAL X HISTORIC TAX CREDIT FUND 2013A, LTD. | Private Equity Fund | $0.0M | $0.1M | 2 |
| HISTORIC INVESTMENT FUND 2017 LLC | Real Estate Fund | $3.9M | $0.1M | 56 |
| HP FUND 2017 (QP) LLC | Real Estate Fund | $13.0M | $0.1M | 68 |
| HP FUND 2017 LLC | Real Estate Fund | $6.1M | $0.1M | 76 |
| HP FUND 2018 (QP) LLC | Real Estate Fund | $22.1M | $0.1M | 106 |
| HP FUND 2018 LLC | Real Estate Fund | $4.6M | $0.1M | 91 |
| HP15 OPPORTUNITY FUND LLC | Real Estate Fund | $2.7M | $0.0M | 25 |
| PEERY HOTEL INVESTMENT LLC | Real Estate Fund | $0.0M | $0.1M | 14 |
| SIDECAR INVESTMENTS, LLC | Real Estate Fund | $1.9M | $0.0M | 36 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SPARACIA, ANDREW, JOHN | Individual | – | CHIEF EXECUTIVE OFFICER | 09/2015 | < 5% |
| GBX GROUP LLC | Domestic Entity | – | SOLE MEMBER | 01/2018 | > 75% |
| HOY, KELLY, MONTGOMERY | Individual | – | CHIEF LEGAL OFFICER | 12/2016 | < 5% |
| Frew, Lance | Individual | – | CHIEF OPERATING OFFICER | 01/2020 | < 5% |
| Schultz, Craig | Individual | – | CHIEF FINANCIAL OFFICER | 01/2020 | < 5% |