GRESHAM INVESTMENT MANAGEMENT LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 134392). Regulatory assets under management: $8.6B.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Charities, Investment cos.
| Name | Role | Location |
|---|---|---|
| Jonathan Samuel Spencer | CHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER; MEMBER; PRESIDENT & CHIEF INVESTMENT OFFICER | — |
| Adam Isaac Gehrie | CHIEF ADMINISTRATIVE OFFICER, GENERAL COUNSEL; MEMBER; PRESIDENT & GENERAL COUNSEL | — |
| Anna M Tkachev | CHIEF COMPLIANCE OFFICER; MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | — |
| Douglas Jon Hepworth | CHIEF OPERATING OFFICER & CHIEF RISK OFFICER | — |
| JARECKI HENRY GEORGE | CHAIRMAN; TRUSTEE | — |
| SPENCER JONATHAN SAMUEL | PRESIDENT; PRESIDENT & CHIEF INVESTMENT OFFICER | — |
| HEPWORTH DOUGLAS JON | CHIEF OPERATING OFFICER & CHIEF RISK OFFICER; EXECUTIVE VICE PRESIDENT; EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER & CHIEF RISK OFFICER | — |
| RUSSO THOMAS ANTHONY | TRUSTEE | — |
| HARTMANN JOHN F | CHIEF COMPLIANCE OFFICER | — |
| HARTMANN JOHN FRANKLIN | CHIEF COMPLIANCE OFFICER | — |
| LEFKOWITZ STANLEY ASHER | CHIEF FINANCIAL OFFICER | — |
| REEVES ROBERT JOHN | CHIEF FINANCIAL OFFICER | — |
| MCLAUGHLIN GEORGE HOOD | TRUSTEE | — |
| DELMAN BRIAN EDWARD | CHIEF COMPLIANCE OFFICER | — |
| GEBERT REINHOLD WILLIGIS | CHIEF OPERATIONS OFFICER; CHIEF OPERATIONS OFFICER & CHIEF RISK OFFICER | — |
| DRACHMAN STEVEN SLOCUM | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | — |
| GEHRIE ADAM ISAAC | CHIEF ADMINISTRATIVE OFFICER, GENERAL COUNSEL; EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL; EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER (+1 more) | — |
| SALISBURY AVERY AKL | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | — |
| Tkachev Anna M | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | — |
| Anna M. Tkachev | MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-03-02 | regulatory | THE ALLEGED VIOLATIONS INCLUDED THE FOLLOWING: FAILURE TO PROVIDE THE "NOTICE OF AVAILABILITY OF THE DEPARTMENT OF INSURANCE" AND FAILURE TO PROVIDE BENEFICIARIES WITH A REASONABLE WRITTEN EXPLANATION OF DELAY OF CLAIM PAYMENT BEYOND 45 DAYS, AS REQUIRED BY SECTION 50 ILL. ADM. CODE 919.70(A)(2); AN… | Final | $18K |
| 2016-03-17 | regulatory | ALLEGED VIOLATIONS OF VARIOUS PROVISIONS OF NEW YORK INSURANCE LAWS | Final | $18K |
| 2014-06-30 | regulatory | ALLEGED VIOLATIONS OF VARIOUS PROVISIONS OF CONNECTICUT INSURANCE LAWS | Final | $2K |