LATERAL INVESTMENT MANAGEMENT, LLC of BURLINGAME, CA is an SEC-registered investment adviser (CRD 159649). Regulatory assets under management: $1.0B.
Compensation: % of AUM, Performance, Other.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Dhamitha Richard De Silva | MANAGING MEMBER | — |
| Nicholas Frederick | CHIEF COMPLIANCE OFFICER AND SENIOR COUNSEL | — |
| David Shun-Hua Lin | CHIEF FINANCIAL OFFICER | — |
| Marie Claire Hickey | MANAGING DIRECTOR OF OPERATIONS AND DEPUTY COMPLIANCE OFFICER | — |
| MASTERS KENNETH MITCHELL | MANAGING MEMBER | — |
| DE SILVA DHAMITHA RICHARD | MANAGING MEMBER | — |
| LUBIANO ANTHONY ARAGON | CHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER | — |
| FEENEY PATRICK JAMES | MANAGING DIRECTOR | — |
| FREDERICK NICHOLAS | CHIEF COMPLIANCE OFFICER AND SENIOR COUNSEL | — |
| LIN DAVID SHUN-HUA | CHIEF FINANCIAL OFFICER; CONTROLLER | — |
| Hickey Marie Claire | DIRECTOR OF OPERATIONS AND DEPUTY COMPLIANCE OFFICER | — |
| Hardardottir Margaret | MANAGING DIRECTOR | — |
| HARDARDOTTIR MARGARET ELISA | MANAGING DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-07-03 | civil | THE INVESTMENT ADVISOR HAS NOT BEEN NAMED IN ANY LITIGATION. MANAGING PARTNER RICHARD DE SILVA AND THE LATERAL US CREDIT OPPORTUNITIES FUND, LP WERE NAMED IN A PORTFOLIO-RELATED LITIGATION BETWEEN CERTAIN ALLEGED SHAREHOLDERS OF A FUND I PORTFOLIO COMPANY RELATED TO AN ACQUISITION. BOTH PARTIES IN T… | On Appeal | — |
| 2025-07-03 | civil | THE INVESTMENT ADVISOR HAS NOT BEEN NAMED IN ANY LITIGATION. MANAGING PARTNER RICHARD DE SILVA AND THE LATERAL US CREDIT OPPORTUNITIES FUND, LP WERE NAMED IN A PORTFOLIO-RELATED LITIGATION BETWEEN CERTAIN ALLEGED SHAREHOLDERS OF A FUND I PORTFOLIO COMPANY RELATED TO AN ACQUISITION. BOTH PARTIES IN T… | Final | — |