# AWM INVESTMENT COMPANY INC

AWM INVESTMENT COMPANY INC of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 110346
- Type: SEC-registered investment adviser
- SEC file number: 801-40415
- Location: SPECIAL SITUATIONS FUNDS, 527 MADISON AVENUE, SUITE 2600, NEW YORK, NY, 10022
- Phone: 212-319-6670
- Latest filing: 2026-03-31
- Regulatory AUM: $1.3B
- Discretionary AUM: $1.3B
- Clients: 14
- Accounts: 8

## Business model

- Compensation: % of AUM
- Clients served: Investment cos

## Officers, owners & control persons (15)

| Name | Role | Location |
| --- | --- | --- |
| [Austin Wolfe Marxe](https://search.stillhousedata.com/person/713242) | OWNER | — |
| [David Michael Greenhouse](https://search.stillhousedata.com/person/713243) | PRESIDENT | — |
| [Adam Charles Stettner](https://search.stillhousedata.com/person/713244) | EXECUTIVE VICE PRESIDENT | — |
| [Marianne Hicks Kelly](https://search.stillhousedata.com/person/713245) | CHIEF ADMINISTRATIVE OFFICER | — |
| [David Alan Reif](https://search.stillhousedata.com/person/713246) | CHIEF COMPLIANCE OFFICER | — |
| [MARXE AUSTIN WOLFE](https://search.stillhousedata.com/person/737091) | OWNER; PRESIDENT | — |
| [GREENHOUSE DAVID MICHAEL](https://search.stillhousedata.com/person/737093) | PRESIDENT; VICE PRESIDENT | — |
| [CARLING ROSE](https://search.stillhousedata.com/person/737094) | CHIEF COMPLIANCE OFFICER | — |
| [STETTNER ADAM](https://search.stillhousedata.com/person/737095) | OWNER | — |
| [PRICE PETER E](https://search.stillhousedata.com/person/737568) | CHIEF OPERATING OFFICER; CHIEF OPERATIONS OFFICER | — |
| [PRICE PETER ERIC](https://search.stillhousedata.com/person/804233) | CHIEF OPERATING OFFICER | — |
| [CARLING ROSE NMI](https://search.stillhousedata.com/person/804234) | CHIEF COMPLIANCE OFFICER | — |
| [STETTNER ADAM CHARLES](https://search.stillhousedata.com/person/804235) | EXECUTIVE VICE PRESIDENT; OWNER | — |
| [Hicks Kelly Marianne](https://search.stillhousedata.com/person/858727) | CHIEF ADMINISTRATIVE OFFICER; CHIEF COMPLIANCE OFFICER | — |
| [REIF DAVID ALAN](https://search.stillhousedata.com/person/882651) | CHIEF COMPLIANCE OFFICER | — |


## Private funds (8)

Mix: Hedge Fund 6 · Venture Capital Fund 2

| Fund | Type | Formed | Owners | GAV | Min investment |
| --- | --- | --- | --- | --- | --- |
| SPECIAL SITUATIONS FUND III QP, L.P. | Hedge Fund | Delaware | 90 | $608.4M | $100K |
| SPECIAL SITUATIONS TECHNOLOGY FUND II, L.P. | Hedge Fund | Delaware | 45 | $271.3M | $100K |
| SPECIAL SITUATIONS CAYMAN FUND, L.P. | Hedge Fund | Cayman Islands | 46 | $173.6M | $100K |
| SPECIAL SITUATIONS LIFE SCIENCES FUND, L.P. | Hedge Fund | Delaware | 45 | $124.8M | $250K |
| SPECIAL SITUATIONS PRIVATE EQUITY FUND, L.P. | Hedge Fund | Delaware | 27 | $74.6M | $100K |
| SPECIAL SITUATIONS TECHNOLOGY FUND, L.P. | Hedge Fund | Delaware | 33 | $55.7M | $100K |
| LIFE SCIENCES INNOVATION FUND II, L.P. | Venture Capital Fund | Delaware | 36 | $4.6M | $100K |
| LIFE SCIENCES INNOVATION FUND, L.P. | Venture Capital Fund | Delaware | 40 | $3.7M | $100K |


## Fund service providers (1)

- administrator: SS&C TECHNOLOGIES, INC. — 6 funds

## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/110346/brochure
- Similar advisers: https://search.stillhousedata.com/firm/110346/similar
- Related entities: https://search.stillhousedata.com/firm/110346/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/110346

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.