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CRD 104949
RYE, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| Justin Hawley McAuliffe | n/a | RYE, NY | 3 | 12 | n/a | yes |
| Patricio Carlos Salem | n/a | RYE, NY | 2 | 14 | n/a | yes |
| Kristopher Steven Keach | n/a | Reno, NV | RYE, NY | 1 | 12 | 1 | yes |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| GAMCO MERGER ARBITRAGE | Other Private Fund | $628M | May 17, 2024 | 254 | Mar 29, 2016 | reported | 021-239865 |
| GABELLI VALUE PLUS TRUST+ PLC | Hedge Fund | $199M | Jul 9, 2021 | 177 | Mar 30, 2018 | dropped | n/a |
| GABELLI MERGER PLUS+ TRUST PLC | Other Private Fund | $72.8M | May 17, 2024 | 20 | Mar 30, 2018 | reported | n/a |
| GAMCO CONVERTIBLE SECURITIES | Other Private Fund | $6.2M | May 17, 2024 | 15 | Nov 24, 2021 | reported | n/a |
| GAMCO ALL CAP VALUE | Other Private Fund | $4.4M | May 17, 2024 | 17 | Mar 29, 2016 | reported | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BALL, JOHN, CHESTER | SENIOR VICE PRESIDENT, FUND ADMINISTRATION | Na | yes | 01/2020 | Mar 26, 2020 | May 17, 2024 |
| CATERINA, KIERAN, DOUGLAS | CHIEF ACCOUNTING OFFICER | Na | yes | 03/2012 | Mar 29, 2016 | May 17, 2024 |
| GABELLI, MARIO, JOSEPH | CEO, DIRECTOR AND SHAREHOLDER OF COMMON STOCK | E | yes | 11/1976 | Jan 5, 2012 | May 17, 2024 |
| GABELLI, MARIO, JOSEPH | CHIEF INVESTMENT OFFICER | Na | yes | 02/1999 | Jan 5, 2012 | May 17, 2024 |
| GAMCO INVESTORS, INC. | SOLE MEMBER | E | yes | 02/1999 | Jan 5, 2012 | May 17, 2024 |
| GGCP HOLDINGS LLC | MAJORITY SHAREHOLDER OF THE CLASS B COMMON STOCK | E | yes | 05/2010 | Jan 5, 2012 | May 17, 2024 |
| GGCP, INC. | MANAGER AND MEMBER | E | yes | 05/2010 | Jan 5, 2012 | May 17, 2024 |
| GOLDMAN, DAVID, MARC | VICE PRESIDENT, CORPORATE DEVELOPMENT | Na | yes | 01/2011 | Jan 5, 2012 | May 17, 2024 |
| WALZ, RICHARD, JOHN | CHIEF COMPLIANCE OFFICER | Na | yes | 03/2015 | Mar 30, 2015 | May 17, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| GAMCO ASSET MANAGEMENT INC. | n/a | Mixed wealth | $12B | N | yes | n/a |
| GABELLI & COMPANY INVESTMENT ADVISERS, INC. | n/a | Asset manager | $1.5B | N | yes | n/a |
| TETON ADVISORS, LLC | n/a | Asset manager | $251M | N | yes | n/a |
| KEELEY-TETON ADVISORS, LLC | n/a | Asset manager | $12.6M | N | yes | n/a |
| G.DISTRIBUTORS, LLC | n/a | n/a | n/a | N | yes | n/a |
| G.RESEARCH, LLC | n/a | n/a | n/a | N | yes | n/a |
| GABELLI & PARTNERS, LLC | n/a | n/a | n/a | N | yes | n/a |
| GABELLI SECURITIES INTERNATIONAL LIMITED (BERMUDA) | n/a | n/a | n/a | N | yes | n/a |
| GABELLI SECURITIES INTERNATIONAL UK LIMITED | n/a | n/a | n/a | N | yes | n/a |
| GAMCO ASSET MANAGEMENT (UK) LTD. | n/a | n/a | n/a | N | yes | n/a |
| MJG ASSOCIATES | n/a | n/a | n/a | N | yes | n/a |
| TETON ADVISORS, INC. | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Morristown | Nj | United States | 2 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $25B | $25B | 56 | 47 | 2 | 4 | n/a |
| 2024 | Mar 27, 2025 | $22B | $22B | 60 | 46 | 1 | 4 | n/a |
| 2023 | Mar 29, 2024 | $21B | $21B | 58 | 43 | 1 | 4 | $711M |
| 2022 | Mar 31, 2023 | $19B | $19B | 58 | 45 | 1 | 4 | $964M |
| 2021 | Mar 29, 2022 | $23B | $23B | 59 | 41 | 1 | 4 | $957M |
| 2020 | Mar 29, 2021 | $21B | $21B | 59 | 41 | 1 | 4 | $814M |
| 2019 | Mar 26, 2020 | $23B | $23B | 58 | 41 | 1 | 4 | $906M |
| 2018 | Mar 27, 2019 | $22B | $22B | 55 | 37 | 1 | 4 | $790M |
| 2017 | Mar 30, 2018 | $26B | $26B | 48 | 26 | 1 | 4 | $831M |
| 2016 | Mar 29, 2017 | $23B | $23B | 47 | 18 | n/a | 2 | $459M |
| 2015 | Mar 29, 2016 | $22B | $22B | 48 | 16 | n/a | 2 | $186M |
| 2014 | Mar 30, 2015 | $27B | $27B | 49 | 19 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $26B | $26B | 39 | 18 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $20B | $20B | 37 | 15 | n/a | n/a | n/a |
| 2011 | Mar 29, 2012 | $20B | $20B | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 2 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $25B | $22B | 11.7% | $19B | 8.3% | 56 | 60 | 2 | 1 |