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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

GREENWICH INVESTMENT MANAGEMENT, INC.

CRD 127161

NORWALK, CT

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:7ed62e75-b9e9-56b5-c427-a4f3bc346c4a

Data as of Oct 4, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 16
On other graphs: 0
Observed: Mar 30, 2012 to Oct 4, 2024
34 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $593MItem 5.F on the latest filing (2024-10-04); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $588M
Private client RAUM: $508MderivedItem 5.D individuals plus high net worth individuals
Private client share: 86%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 833
Individual clients: 135
High net worth clients: 670
Custody, client assets: $17.5M
SEC number: 801-67774
CRD: 127161
Filings on the tape: 34
First filed: Mar 30, 2012
Latest filed: Oct 4, 2024
Organised: Corporation, Connecticut

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
HU, JIN	DIRECTOR/PORTFOLIO MANAGER	Na	yes	10/2018	Mar 29, 2024	Oct 4, 2024
RIEGER, LOUIS, GEORGE	CHIEF COMPLIANCE OFFICER	E	yes	01/2007	Mar 30, 2012	Oct 4, 2024
SEVILLANO, HEATHER, SIMON	CHIEF OPERATING OFFICER	Na	yes	07/2014	Mar 31, 2014	Oct 4, 2024
COURTNEY, PETER, L'HOMMEDIEU	Shareholder	B	no	10/2023	Mar 30, 2012	Oct 4, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 29, 2024	$593M	$588M	8	4	0	n/a	n/a
2022	Mar 31, 2023	$817M	$790M	12	8	0	n/a	n/a
2021	Mar 31, 2022	$1.2B	$1.2B	13	12	0	n/a	n/a
2020	Mar 31, 2021	$1.1B	$1.1B	13	12	0	n/a	n/a
2019	Mar 27, 2020	$1.1B	$1.1B	13	13	0	n/a	n/a
2018	Mar 29, 2019	$825M	$822M	13	7	0	n/a	n/a
2017	Mar 30, 2018	$624M	$622M	13	6	0	n/a	n/a
2016	Mar 30, 2017	$471M	$461M	11	7	n/a	n/a	n/a
2015	Mar 30, 2016	$425M	$420M	10	8	n/a	n/a	n/a
2014	Mar 26, 2015	$420M	$419M	10	8	n/a	n/a	n/a
2013	Mar 31, 2014	$388M	$386M	10	8	n/a	n/a	n/a
2012	Apr 1, 2013	$379M	$378M	9	5	n/a	n/a	n/a
2011	Mar 30, 2012	$363M	$363M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$593M	$817M	-27.4%	$1.1B	-19.2%	8	12	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
ROUND ROCK ADVISORS LLC	3	Nov 5, 2024	Nov 3, 2024	NORWALK, CT	Firm absorbed	RIA to RIA	100.0%

Relationships

Owns (1)

← COURTNEY, PETER, L'HOMMEDIEUOwnerSHAREHOLDER, ownership code B, individual
Mar 30, 2012 to presentfactForm ADV

Controls (3)

← RIEGER, LOUIS, GEORGEOwnerCHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 30, 2012 to presentfactForm ADV
← SEVILLANO, HEATHER, SIMONOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 31, 2014 to presentfactForm ADV
← HU, JINOwnerDIRECTOR/PORTFOLIO MANAGER, ownership code NA, individual
Mar 29, 2024 to presentfactForm ADV

Registered with (8)

← NYDIA E. CONCEPCIONAdvisorregistration: previous registration
Sep 14, 2020 to Nov 5, 2024factForm ADV
← HEATHER SIMON SEVILLANOAdvisorregistration: previous registration
Oct 5, 2020 to Nov 5, 2024factForm ADV
← JIN HUAdvisorregistration: previous registration
Nov 4, 2020 to Nov 5, 2024factForm ADV
← Elaine Votier BiersackAdvisorregistration: previous registration
Aug 4, 2020 to Nov 13, 2023factForm ADV
← PETER L'HOMMEDIEU COURTNEYAdvisorregistration: previous registration
Jan 1, 2021 to Oct 6, 2023factForm ADV
← DREW JUSTIN COLLINSAdvisorregistration: previous registration
Feb 14, 2020 to Apr 22, 2022factForm ADV
← Bernard James BraudisAdvisorregistration: previous registration
Apr 28, 2014 to Apr 28, 2017factForm ADV
← ROBERT ALLAN DEFRUSCIOAdvisorregistration: previous registration
Jan 28, 2005 to Jan 8, 2013factForm ADV

Moved with (1)

→ ROUND ROCK ADVISORS LLCRegistered adviser3 advisors, firm absorbed, same day
Nov 5, 2024 to Nov 3, 2024factForm ADV

Dated events

Occurred
Nov 5, 2024
Firm absorbed
Greenwich Investment Management, Inc.'s advisors moved to Round Rock Advisors LLC (Norwalk, CT): 3 of 3 registered, on the same day
Form ADVobserved 4 days ago
3 advisors
Occurred
Nov 5, 2024
Advisor changed firm
Jin Hu left Greenwich Investment Management, Inc. for Round Rock Advisors Llc (registered 2024-11-01)
Form ADVobserved 4 days ago
Occurred
Nov 5, 2024
Advisor changed firm
Nydia E. Concepcion left Greenwich Investment Management, Inc. for Round Rock Advisors Llc (registered 2024-11-03)
Form ADVobserved 4 days ago
Occurred
Nov 5, 2024
Advisor changed firm
Heather Simon Sevillano left Greenwich Investment Management, Inc. for Round Rock Advisors Llc (registered 2024-11-01)
Form ADVobserved 4 days ago
Occurred
Mar 29, 2024
Regulatory AUM changed
Greenwich Investment Management, Inc. reported RAUM $592.7M, down 27% from $816.9M (2023-11-03 to 2024-03-29)
Form ADVobserved 4 days ago
$-224M
Occurred
Mar 29, 2024
Control person joined
Jin Hu (Director/Portfolio Manager) appeared on Schedule A of Greenwich Investment Management, Inc.
Form ADVobserved 4 days ago
Occurred
Nov 13, 2023
Advisor changed firm
Elaine Votier Biersack left Greenwich Investment Management, Inc. for Round Rock Advisors Llc (registered 2024-05-30)
Form ADVobserved 4 days ago
Occurred
Nov 3, 2023
Control person left
Christienne Julie Muraco (President/Ceo) no longer on Schedule A of Greenwich Investment Management, Inc. (listed 2023-04-27, absent 2023-11-03)
Form ADVobserved 4 days ago
Occurred
Oct 6, 2023
Advisor changed firm
Peter L'Hommedieu Courtney left Greenwich Investment Management, Inc. for Calydon Capital, Llc (registered 2024-09-20)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Regulatory AUM changed
Greenwich Investment Management, Inc. reported RAUM $816.9M, down 31% from $1.2B (2023-03-03 to 2023-03-31)
Form ADVobserved 4 days ago
$-361M
Occurred
Mar 3, 2023
Control person joined
Christienne Julie Muraco (President/Ceo) appeared on Schedule A of Greenwich Investment Management, Inc.
Form ADVobserved 4 days ago
Occurred
Mar 3, 2023
Control person left
Justin Drew Collins (Managing Director And Member Of The Executive Committee) no longer on Schedule A of Greenwich Investment Management, Inc. (listed 2022-09-02, absent 2023-03-03)
Form ADVobserved 4 days ago
Occurred
Apr 22, 2022
Advisor changed firm
Drew Justin Collins left Greenwich Investment Management, Inc. for Magnus Financial Group Llc (registered 2022-05-04)
Form ADVobserved 4 days ago
Occurred
Mar 27, 2020
Regulatory AUM changed
Greenwich Investment Management, Inc. reported RAUM $1.1B, up 38% from $824.7M (2019-12-18 to 2020-03-27)
Form ADVobserved 4 days ago
$311M
Occurred
Mar 27, 2020
Control person joined
Justin Drew Collins (Managing Director And Member Of The Executive Committee) appeared on Schedule A of Greenwich Investment Management, Inc.
Form ADVobserved 4 days ago
Occurred
Mar 29, 2019
Regulatory AUM changed
Greenwich Investment Management, Inc. reported RAUM $824.7M, up 32% from $623.6M (2018-12-27 to 2019-03-29)
Form ADVobserved 4 days ago
$201M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7ed62e75-b9e9-56b5-c427-a4f3bc346c4a
First observed: Mar 30, 2012
Last observed: Oct 4, 2024 23 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.

GREENWICH INVESTMENT MANAGEMENT, INC.

CRD 127161

NORWALK, CT

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:7ed62e75-b9e9-56b5-c427-a4f3bc346c4a

Data as of Oct 4, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:23 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HU, JIN

DIRECTOR/PORTFOLIO MANAGER

yes

10/2018

Mar 29, 2024

Oct 4, 2024

RIEGER, LOUIS, GEORGE

CHIEF COMPLIANCE OFFICER

yes

01/2007

Mar 30, 2012

Oct 4, 2024

SEVILLANO, HEATHER, SIMON

CHIEF OPERATING OFFICER

yes

07/2014

Mar 31, 2014

Oct 4, 2024

COURTNEY, PETER, L'HOMMEDIEU

Shareholder

10/2023

Mar 30, 2012

Oct 4, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 29, 2024

$593M

$588M

n/a

2022

Mar 31, 2023

$817M

$790M

n/a

2021

Mar 31, 2022

$1.2B

n/a

2020

Mar 31, 2021

$1.1B

n/a

2019

Mar 27, 2020

$1.1B

n/a

2018

Mar 29, 2019

$825M

$822M

n/a

2017

Mar 30, 2018

$624M

$622M

n/a

2016

Mar 30, 2017

$471M

$461M

n/a

2015

Mar 30, 2016

$425M

$420M

n/a

2014

Mar 26, 2015

$420M

$419M

n/a

2013

Mar 31, 2014

$388M

$386M

n/a

2012

Apr 1, 2013

$379M

$378M

n/a

2011

Mar 30, 2012

$363M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$593M

$817M

-27.4%

$1.1B

-19.2%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ROUND ROCK ADVISORS LLC

Nov 5, 2024

Nov 3, 2024

NORWALK, CT

Firm absorbed

RIA to RIA

100.0%