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| Happy Holidays!! thanks for using AUM13F!! |
| SSI Investment Management LLC
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| CRD # | 104889 |
| SEC # | 801-10544 |
| CIK # | 0000938487, 0001455982 |
| AUM | $2.2 B (2025-05-16) |
| Employees | 26 (42% Investors, 8% Brokers) |
| Phone | 310-595-2000 |
| Address | 2121 Avenue of The Stars Los Angeles, CA 90067 |
| Source | [IAPD] [EDGAR] [Website] [LinkedIn] |
| Total AUM ($B) |
|---|
| Sector | Form 13F Holdings | Value ($B) | |
|---|---|---|---|
| Microchip Technology Inc | 0.0 | ||
| Brightspring Health Services Inc | 0.0 | ||
| Holdings by Sector ($B) |
|---|
| Type | Form D Funds | Date | Sold ($M) | AUM ($M) |
|---|---|---|---|---|
| HF | SSI Convertible Income Fund II LP Class B | [2013-03-22] | 12.7 | 17.3 |
| HF | SSI Convertible Opportunity Fund LP Class B | [2013-03-22] | 14.0 | 2.4 |
| HF | SSI Convertible Income Fund LP | [2012-03-29] | 193.0 | 241.3 |
| HF | SSI Convertible Opportunity Fund LP Class A | [2012-03-29] | 14.0 | 5.8 |
| HF | SSI Hedged Convertible Opportunity Fund LP | 2012-03-29 | 10.8 | |
| HF | SSI Market Neutral LP | 2012-03-29 | 23.6 | |
| HF | SSI Tactical Alpha Hedge LP | 2012-03-29 | 40.3 |
| AUM Breakdown | Accounts | AUM ($B) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 26 | 0.5 |
| (b) Individuals (high net worth individuals) | 5 | 0.0 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 4 | 0.5 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 1 | 0.0 |
| (g) Pension and profit sharing plans | 25 | 0.3 |
| (h) Charitable organizations | 7 | 0.1 |
| (i) State or municipal government entities | 14 | 0.5 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 3 | 0.3 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 2 | 0.0 |
| (n) Other | 0 | 0.0 |
| Total | 87 | 2.2 |
| By Discretionary | ||
| Discretionary | 86 | 2.2 |
| Non-Discretionary | 1 | 0.0 |
| Total | 87 | 2.2 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 2.2 | |
| Total | 87 | 2.2 |
| Form D Directors | # Filings | # Firms | 2011 - 2025 |
|---|---|---|---|
| SSI Investment Management Inc | 9 | ||
| George Douglas | 8 | ||
| Syed Mehdi | 7 | ||
| John Gottfurcht | 7 | ||
| Amy Jo Gottfurcht | 7 |
| EDGAR Form | CIK | 2011 - 2025 |
|---|---|---|
| 13F-HR | [0000938487] | |
| 10-K | [0001455982] | |
| 8-K | [0001455982] |
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