|
⚲
|
| Keyboard |
| Imperial Capital Asset Management LLC
✚
|
|
|---|---|
| CRD # | 108258 |
| SEC # | 801-67961 |
| CIK # | 0001805378, 0002047704 |
| AUM | |
| Employees | 13 (46% Investors, 62% Brokers) |
| Phone | 310-246-3793 |
| Address | 3801 PGA Boulevard, Suite 603 Palm Beach Gardens, FL 33410 |
| Source | [IAPD] [EDGAR] [Website] |
| Total AUM ($M) |
|---|
| Type | Form D Funds | Date | Sold | AUM |
|---|---|---|---|---|
| HF | IC Leverage Income Fund LLC | 2020-03-31 | 39.8 M | |
| HF | IC Volatility Fund | 2014-03-31 | 3.5 M | |
| HF | Long Ball Partners LLC | 2012-03-29 | 108.3 M | |
| PE | HCEP Parallel LP | [2012-02-14] | 0.6 M | |
| PE | Hudson Clean Energy Partner AIV LP | 2012-02-14 | 19.0 M | |
| PE | Hudson Clean Energy Partners Co-Invest LP | [2012-02-14] | 2.9 M | |
| PE | Hudson Clean Energy Partners LP | [2012-02-14] | 5.5 M | |
| PE | Hudson Clean Energy Partners Master AIV LP | 2012-02-14 | 7.6 M | |
| PE | Hudson Clean Energy Partners Master LP | [2012-02-14] | 0.3 M | |
| PE | Hudson Clean Energy Partners Master T-E LP | [2012-02-14] | 0.4 M |
| AUM Breakdown | Accounts | AUM ($M) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 0 | 0.0 |
| (b) Individuals (high net worth individuals) | 0 | 0.0 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 1 | 108.3 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 0 | 0.0 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 49 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 2 | 285.4 |
| Total | 3 | 393.7 |
| By Discretionary | ||
| Discretionary | 1 | 108.3 |
| Non-Discretionary | 2 | 285.4 |
| Total | 3 | 393.7 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 393.7 | |
| Total | 3 | 393.7 |
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 3 | [0001805378] | |
| 4 | [0001805378] | |
| SC 13G | [0001805378] | |
| 3 | [0002047704] | |
| 4 | [0002047704] |
| Form 13D/13G Filer | Form 13D/13G Subject | Filed |
|---|---|---|
| Imperial Capital Asset Management LLC | Great Elm Capital Corp | [2020-10-13] |
| Firm Profile (Form ADV) | |
|---|---|
| Discretionary AUM | $0.2B |
| Clients | 49 (82 non-US) |
| Serves | Institutional |
| Fund Types | Hedge Fund, Private Equity |
| LEI | 549300URT9YM0NKFO073 |
| Insider Transaction (Form 3/4/5) | Date | Action | Shares | Price | Value ($) |
|---|---|---|---|---|---|
|
Great Elm Group Inc GEG
Common Stock
|
2026-03-03 | Grant | 27,022 | $0.00 | |
|
Great Elm Group Inc GEG
Common Stock
|
2025-11-11 | Gift | 100,000 | $0.00 | |
|
Great Elm Group Inc GEG
Common Stock
|
2024-09-20 | Grant | 130,208 | $0.00 | |
|
Great Elm Group Inc GEG
Common Stock
|
2024-05-23 | Buy | 5,015 | $1.75 | 8,776 |
|
Great Elm Group Inc GEG
Common Stock
|
2024-05-22 | Buy | 20,001 | $1.76 | 35,202 |
|
Great Elm Group Inc GEG
"Common stock, par value $0.01 per share (""Common Stock"")"
|
2024-05-21 | Buy | 24,984 | $1.77 | 44,222 |
|
Great Elm Group Inc GEG
Common Stock
|
2024-03-15 | Buy | 7,843 | $2.00 | 15,686 |
|
Great Elm Group Inc GEG
"Common stock, par value $0.01 per share (""Common Stock"")"
|
2024-03-14 | Buy | 3,254 | $1.98 | 6,443 |
|
Great Elm Group Inc GEG
Common Stock
|
2024-03-13 | Buy | 16,200 | $1.94 | 31,428 |
|
Great Elm Group Inc GEG
Common Stock
|
2024-03-12 | Buy | 2,500 | $1.90 | 4,750 |
|
Great Elm Group Inc GEG
"Common stock, par value $0.01 per share (""Common Stock"")"
|
2024-03-11 | Buy | 806 | $1.90 | 1,531 |
|
Great Elm Group Inc GEG
Common Stock
|
2024-03-07 | Buy | 5,081 | $1.96 | 9,959 |
|
Great Elm Group Inc GEG
Common Stock
|
2024-03-06 | Buy | 4,389 | $1.96 | 8,602 |
|
Great Elm Group Inc GEG
"Common stock, par value $0.01 per share (""Common Stock"")"
|
2024-03-05 | Buy | 5,137 | $1.93 | 9,914 |
|
Great Elm Group Inc GEG
Common Stock
|
2024-02-29 | Buy | 4,090 | $1.99 | 8,139 |
|
Great Elm Group Inc GEG
"Common stock, par value $0.01 per share (""Common Stock"")"
|
2024-02-27 | Buy | 120,000 | $1.92 | 230,400 |
|
Great Elm Group Inc GEG
Common Stock
|
2024-02-21 | Buy | 2,989 | $1.95 | 5,829 |
|
Great Elm Group Inc GEG
Common Stock
|
2024-02-20 | Buy | 6,307 | $1.98 | 12,488 |
|
Great Elm Group Inc GEG
"Common stock, par value $0.01 per share (""Common Stock"")"
|
2024-02-16 | Buy | 4,237 | $1.92 | 8,135 |
|
Great Elm Group Inc GEG
Common Stock
|
2023-11-28 | Buy | 40,571 | $2.04 | 82,765 |
| showing 20 of 126 most recent transactions | |||||