# SUMMERHAVEN INVESTMENT MANAGEMENT, LLC

SUMMERHAVEN INVESTMENT MANAGEMENT, LLC of STAMFORD, CT is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 289269
- Type: SEC-registered investment adviser
- SEC file number: 801-111663
- Location: 1266 E. MAIN STREET, FOURTH FLOOR, STAMFORD, CT, 06902
- Phone: 203-352-2700
- Latest filing: 2026-03-27
- Regulatory AUM: $176.2M
- Discretionary AUM: $176.2M
- Clients: 8
- Accounts: 2

## Business model

- Compensation: % of AUM
- Clients served: Pooled vehicles

## Officers, owners & control persons (13)

| Name | Role | Location |
| --- | --- | --- |
| Stephen Mitchell Bowley | CHIEF FINANCIAL OFFICER | — |
| Kurt Jonathon Nelson | MANAGING MEMBER: CHIEF EXECUTIVE OFFICER | — |
| Klazinus Geert Rouwenhorst | MEMBER; HEAD OF COMMODITY RESEARCH | — |
| Babu Venkatesh Sonti | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER AND CHIEF TECHNOLOGY OFFICER | — |
| SCHULTZ MELISSA JOSEPH | PARTNER; CHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER | — |
| SCHULTZ DAVID JAMES | MEMBER; CHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER | — |
| NELSON KURT JONATHON | MANAGING MEMBER: CHIEF EXECUTIVE OFFICER; MEMBER; CHIEF MARKETING OFFICER; MEMBER; HEAD OF CLIENT SOLUTIONS (+1 more) | — |
| RIZVI ASHRAF RAZA | MANAGING MEMBER; CHIEF EXECUTIVE OFFICER; PARTNER; CHIEF EXECUTIVE OFFICER | — |
| ROUWENHORST KLAZINUS GEERT | MEMBER; HEAD OF COMMODITY RESEARCH; MEMBER; HEAD OF RESEARCH; PARTNER; HEAD OF RESEARCH | — |
| BOWLEY STEPHEN MITCHELL | CHIEF FINANCIAL OFFICER | — |
| DIETER ROBERT | CHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER | — |
| MASCARINAS CHRISTIAN VALERIO | HEAD OF MARKETING | — |
| SONTI BABU VENKATESH | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER AND CHIEF TECHNOLOGY OFFICER; CHIEF OPERATING OFFICER AND CHIEF TECHNOLOGY OFFICER | — |


## Disclosures (4)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2021-06-15 | regulatory | THE CFTC ISSUED AN ORDER (THE "ORDER") FINDING THAT FROM ON OR ABOUT JUNE 2018 TO ON OR ABOUT JULY 2018, SUMMERHAVEN (A) ENTERED BIDS AND OFFERS FOR THE SAME QUANTITIES OF THE SAME FUTURES CONTRACTS FOR TRADING ACCOUNTS THAT HAD THE SAME BENEFICIAL OWNER AND WHICH WERE INTENDED TO AND DID IN FACT OF… | Final | $500K |
| 2015-03-06 | regulatory | ON JUNE 2, 2014, SUMMERHAVEN INVESTMENT MANAGEMENT, LLC ("SUMMERHAVEN") ENTERED INTO AN EXCHANGE FOR RELATED POSITIONS TRANSACTION. THE MARKET REGULATION DEPARTMENT OF CME GROUP INC. ALLEGED THAT SUMMERHAVEN DID NOT PROPERLY MAINTAIN DOCUMENTATION OF THE CORRESPONDING, SIMULTANEOUS SWAP TRANSACTION,… | Final | $8K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/289269/brochure
- Similar advisers: https://search.stillhousedata.com/firm/289269/similar
- Related entities: https://search.stillhousedata.com/firm/289269/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/289269

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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.