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CRD 284304
PALM BEACH GARDENS, FL
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 |
|---|---|---|---|---|---|---|
| PAUL ALOTTA | n/a | Charleston, SC | 3 | 32 | 1 | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| GREAT ELM SPAC OPPORTUNITY FUND, LLC | Hedge Fund | $26.4M | Mar 31, 2022 | 11 | Mar 31, 2021 | dropped | 021-392366 |
| GREAT ELM CREDIT INCOME FUND, LLC | Hedge Fund | $14.7M | Sep 10, 2024 | 14 | Mar 22, 2024 | reported | 021-494039 |
| GREAT ELM OPPORTUNITIES FUND I, LP - SERIES D | Hedge Fund | $7.1M | Sep 10, 2024 | 2 | Mar 30, 2023 | reported | 021-477198 |
| GREAT ELM OPPORTUNITIES FUND I, LP - SERIES B | Hedge Fund | $771,801 | Nov 30, 2023 | 1 | Mar 30, 2020 | reported | 021-345688 |
| GREAT ELM OPPORTUNITIES FUND I, LP - SERIES A | Hedge Fund | $203,968 | Sep 10, 2024 | 9 | Mar 29, 2019 | reported | 021-318045 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| DAVIS, KERI | CHIEF FINANICAL OFFICER | Na | yes | 03/2019 | Mar 29, 2019 | Sep 10, 2024 |
| GREAT ELM GROUP, INC. | SOLE SHAREHOLDER | E | yes | 12/2020 | Mar 31, 2021 | Sep 10, 2024 |
| KAPLAN, MATTHEW, DOV | President | Na | yes | 09/2023 | Nov 30, 2023 | Sep 10, 2024 |
| KLEINMAN, ADAM | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | Na | yes | 09/2017 | Nov 8, 2016 | Sep 10, 2024 |
| MILZ, NICHOLE, PAINTER | CHIEF OPERATING OFFICER | Na | yes | 09/2022 | Mar 30, 2023 | Sep 10, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| GREAT ELM OPPORTUNITIES GP, INC. | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Waltham | Ma | United States | 2 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 24, 2026 | $346M | $346M | 21 | 6 | 1 | 1 | n/a |
| 2024 | Mar 14, 2025 | $351M | $351M | 21 | 7 | 1 | 1 | n/a |
| 2023 | Mar 22, 2024 | $288M | $288M | 17 | 8 | 1 | 3 | $22.1M |
| 2022 | Mar 30, 2023 | $309M | $309M | 24 | 16 | 0 | 3 | $8.3M |
| 2021 | Mar 31, 2022 | $450M | $450M | 14 | 7 | 0 | 3 | $29.1M |
| 2020 | Mar 31, 2021 | $230M | $224M | 13 | 6 | 0 | 3 | $17.0M |
| 2019 | Mar 30, 2020 | $229M | $218M | 13 | 6 | 0 | 2 | $4.3M |
| 2018 | Mar 29, 2019 | $206M | $193M | 13 | 6 | 0 | 1 | $1.1M |
| 2017 | Mar 30, 2018 | $240M | $240M | 13 | 6 | 0 | n/a | n/a |
| 2016 | Mar 30, 2017 | $213M | $213M | 14 | 9 | 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 | 0 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $346M | $351M | -1.3% | $309M | 3.8% | 21 | 21 | 1 | 1 |