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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

BERGAMOT ASSET MANAGEMENT LP

CRD 309424

PRINCETON, NJ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4e8dfb81-7218-150b-7388-b3cd8f67c231

Data as of May 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 3
On other graphs: 1
Observed: May 29, 2020 to May 1, 2026
5 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Bergamot Asset Management LP

Private equity manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.68 fund_share=0.19 institutional_share=0.06 related_bd=false related_bank=true bd_reps=1.0 bank_owner=false
Regulatory AUM: $106MItem 5.F on the latest filing (2026-05-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $57.6M
Private client RAUM: $71.9MderivedItem 5.D individuals plus high net worth individuals
Private client share: 68%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $35.5Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 8
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 258
Individual clients: 48
High net worth clients: 47
Private funds: 7Schedule D 7.B(1)
SEC number: 801-136089
CRD: 309424
Filings on the tape: 5
First filed: May 29, 2020
Latest filed: May 1, 2026
Organised: Limited Partnership, DE
Website: bergamotam.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
ANDY WING KEUNG WONG	n/a	PRINCETON, NJ	5	26	1	no
Vijay Aluwalia	Certified Financial Planner	PRINCETON, NJ	4	10	1	yes
CASSANDRA ENRIQUEZ-BALLO LALLY	n/a	PRINCETON, NJ	2	16	n/a	no
Anfernee Williams-Murden	n/a	PRINCETON, NJ	0	12	n/a	no

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
BERGAMOT CAPITAL PARTNERS FUND I LP	Hedge Fund	$0	Oct 26, 2020	0	May 29, 2020	reported	n/a
BERGAMOT MUSIC FUND I LP	Private Equity Fund	$0	Oct 26, 2020	0	May 29, 2020	reported	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
Babar, Frank	Shareholder	C	yes	09/2003	May 29, 2020	Oct 26, 2020
Babar, Lisa	Shareholder	C	yes	09/2003	May 29, 2020	Oct 26, 2020
BERGAMOT ASSET MANAGEMENT, LLC	GENERAL PARTNER	Na	yes	05/2020	May 29, 2020	Oct 26, 2020
LALLY, CASSANDRA, ENRIQUEZ-BALLO	CHIEF COMPLIANCE OFFICER	Na	yes	08/2019	May 29, 2020	Oct 26, 2020
LIONG, CHRISTOPHER, NEAL	CIO, PORTFOLIO MANAGER	E	yes	08/2019	May 29, 2020	Oct 26, 2020
PHASE ONE NETWORK, INC.	Member	E	yes	03/2020	May 29, 2020	Oct 26, 2020
ANOMALY CREATIVE CAPITAL LLC	LIMITED PARTNER	B	no	05/2020	May 29, 2020	Oct 26, 2020

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
BERGAMOT CAPITAL PARTNERS GP LLC	n/a	n/a	n/a	N	yes	n/a
BERGAMOT MUSIC GP LLC	n/a	n/a	n/a	N	yes	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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	0	0

Relationships

Registered with (4)

← CASSANDRA ENRIQUEZ-BALLO LALLYAdvisorregistration: current employment
Jun 14, 2024 to presentfactForm ADV
← Vijay AluwaliaAdvisorregistration: current employment
Oct 21, 2021 to presentfactForm ADV
← ANDY WING KEUNG WONGAdvisorregistration: previous registration
Aug 10, 2020 to Oct 27, 2020factForm ADV
← Ryan James StrykerAdvisorregistration: previous registration
Aug 24, 2021 to Jul 22, 2022factForm ADV

Advises (2)

→ BERGAMOT CAPITAL PARTNERS FUND I LPPrivate fundHedge Fund, IA
May 29, 2020 to presentfactForm ADV
→ BERGAMOT MUSIC FUND I LPPrivate fundPrivate Equity Fund, IA
May 29, 2020 to presentfactForm ADV

Controls (6)

← LIONG, CHRISTOPHER, NEALOwnerCIO, PORTFOLIO MANAGER, ownership code E, individual
May 29, 2020 to Oct 26, 2020factForm ADV
← LALLY, CASSANDRA, ENRIQUEZ-BALLOOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 29, 2020 to Oct 26, 2020factForm ADV
← Babar, FrankOwnerSHAREHOLDER, ownership code C, individual
May 29, 2020 to Oct 26, 2020factForm ADV
← Babar, LisaOwnerSHAREHOLDER, ownership code C, individual
May 29, 2020 to Oct 26, 2020factForm ADV
← BERGAMOT ASSET MANAGEMENT, LLCOwnerGENERAL PARTNER, ownership code NA, domestic entity
May 29, 2020 to Oct 26, 2020factForm ADV
← PHASE ONE NETWORK, INC.OwnerMEMBER, ownership code E, domestic entity
May 29, 2020 to Oct 26, 2020factForm ADV

Owns (1)

← ANOMALY CREATIVE CAPITAL LLCOwnerLIMITED PARTNER, ownership code B, domestic entity
May 29, 2020 to Oct 26, 2020factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jul 22, 2022
Advisor changed firm
Ryan James Stryker left Bergamot Asset Management Lp for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2022-08-29)
Form ADVobserved 4 days ago
Occurred
May 29, 2020
First Form ADV filing
Bergamot Asset Management Lp filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Show 1 bookkeeping events

Occurred
Sep 14, 2026
Anfernee Williams-Murden registered as an investment adviser representative at Bergamot Asset Management Lp

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4e8dfb81-7218-150b-7388-b3cd8f67c231
First observed: May 29, 2020
Last observed: May 1, 2026 4 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

BERGAMOT ASSET MANAGEMENT LP

CRD 309424

PRINCETON, NJ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4e8dfb81-7218-150b-7388-b3cd8f67c231

Data as of May 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:09 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ANDY WING KEUNG WONG

n/a

PRINCETON, NJ

Vijay Aluwalia

Certified Financial Planner

PRINCETON, NJ

yes

CASSANDRA ENRIQUEZ-BALLO LALLY

n/a

PRINCETON, NJ

n/a

Anfernee Williams-Murden

n/a

PRINCETON, NJ

n/a

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

BERGAMOT CAPITAL PARTNERS FUND I LP

Hedge Fund

Oct 26, 2020

May 29, 2020

reported

n/a

BERGAMOT MUSIC FUND I LP

Private Equity Fund

Oct 26, 2020

May 29, 2020

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Babar, Frank

Shareholder

yes

09/2003

May 29, 2020

Oct 26, 2020

Babar, Lisa

Shareholder

yes

09/2003

May 29, 2020

Oct 26, 2020

BERGAMOT ASSET MANAGEMENT, LLC

GENERAL PARTNER

yes

05/2020

May 29, 2020

Oct 26, 2020

LALLY, CASSANDRA, ENRIQUEZ-BALLO

CHIEF COMPLIANCE OFFICER

yes

08/2019

May 29, 2020

Oct 26, 2020

LIONG, CHRISTOPHER, NEAL

CIO, PORTFOLIO MANAGER

yes

08/2019

May 29, 2020

Oct 26, 2020

PHASE ONE NETWORK, INC.

Member

yes

03/2020

May 29, 2020

Oct 26, 2020

ANOMALY CREATIVE CAPITAL LLC

LIMITED PARTNER

05/2020

May 29, 2020

Oct 26, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BERGAMOT CAPITAL PARTNERS GP LLC

n/a

yes

n/a

BERGAMOT MUSIC GP LLC

n/a

yes

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

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