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

FUNDAMENTAL GLOBAL INVESTORS, LLC

CRD 164299

MOORESVILLE, NC

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Search this name across graphsid dfx:ria:ecdbbac8-d571-36ea-5411-9273532145c0

Data as of Mar 31, 2021 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 2
Observed: Jul 25, 2012 to Mar 31, 2021
30 observations

Across DFX

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

Venture Capitalidentity

Fundamental Global Investors, LLC

Venture manager · shared crd

Real Estate Fundsidentity

Fundamental Global Investors, LLC

Real estate fund manager · shared crd

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: $128MItem 5.F on the latest filing (2021-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $128M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees: 6
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 15
Individual clients: 0
High net worth clients: 0
Private funds: 13Schedule D 7.B(1)
Private fund GAV: $127Mgross asset value as reported per fund; never fund size
SEC number: 801-76977
CRD: 164299
Filings on the tape: 30
First filed: Jul 25, 2012
Latest filed: Mar 31, 2021
Organised: Limited Liability Company, North Carolina

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
FGI METROLINA PROPERTY INCOME FUND, LP	Real Estate Fund	$9.1M	Mar 31, 2021	36	Mar 29, 2017	reported	021-284722
FGI GLOBAL ASSET ALLOCATION FUND, LTD.	Hedge Fund	$5.8M	Mar 31, 2021	2	Mar 31, 2015	reported	n/a
FUNDAMENTAL GLOBAL VENTURE PARTNERS, LP	Venture Capital Fund	$4.8M	Sep 25, 2020	1	Dec 2, 2019	reported	021-343686
CWA FGI SPECIAL OPPORTUNITIES FUND II, LP	Other Private Fund	$2.5M	Dec 2, 2019	2	Feb 20, 2019	dropped	n/a
FGI GLOBAL ASSET ALLOCATION OFFSHORE FUND, LTD.	Hedge Fund	$2.1M	Mar 31, 2021	13	Dec 9, 2015	reported	021-305645

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
CERMINARA, DANIEL, KYLE	MANAGER AND MEMBER	C	yes	06/2012	Jul 25, 2012	Mar 31, 2021
JOHNSON, LEWIS, MCKAY	MANAGER AND MEMBER	C	yes	06/2012	Jul 25, 2012	Mar 31, 2021
MOGLIA, JOSEPH, HUGH	Member	C	yes	06/2012	Jul 25, 2012	Mar 31, 2021
SUTTON, JEFFREY, LANCE	CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER	Na	yes	10/2015	Dec 9, 2015	Mar 31, 2021

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
CWA ASSET MANAGEMENT GROUP, LLC	n/a	Independent wealth	$4.5B	N	yes	n/a
CWA NAPLES, LLC	n/a	Former SEC adviser	$191M	N	yes	n/a
CWA FGI SPECIAL OPPORTUNITIES FUND GP, LLC	n/a	n/a	n/a	N	yes	n/a
FG PARTNERS GP, LLC	n/a	n/a	n/a	N	yes	n/a
FG SPAC PARTNERS GP, LLC	n/a	n/a	n/a	N	yes	n/a
FG SPECIAL SITUATIONS FUND GP, LLC	n/a	n/a	n/a	N	yes	n/a
FGI 1347 GP, LLC	n/a	n/a	n/a	N	yes	n/a
FGI GLOBAL ASSET ALLOCATION GP, LLC	n/a	n/a	n/a	N	yes	n/a
FGI HOLDINGS GP, LLC	n/a	n/a	n/a	N	yes	n/a
FGI METROLINA GP, LLC	n/a	n/a	n/a	N	yes	n/a
FUNDAMENTAL ACTIVIST FUND I GP, LLC	n/a	n/a	n/a	N	yes	n/a
FUNDAMENTAL GLOBAL CAPITAL APPRECIATION GP, LLC	n/a	n/a	n/a	N	yes	n/a
FUNDAMENTAL GLOBAL GP, LLC	n/a	n/a	n/a	N	yes	n/a
FUNDAMENTAL GLOBAL PARTNERS GP, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Naples	FL	United States	2	no

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
2020	Mar 31, 2021	$128M	$128M	6	6	1	13	$127M
2019	Mar 30, 2020	$127M	$127M	10	4	2	12	$127M
2018	Mar 26, 2019	$69.0M	$69.0M	10	4	2	12	$69.0M
2017	Mar 28, 2018	$86.5M	$86.5M	20	8	2	9	$86.5M
2016	Mar 29, 2017	$116M	$116M	20	20	n/a	9	$116M
2015	Mar 29, 2016	$97.9M	$97.9M	5	5	n/a	6	$97.9M
2014	Mar 31, 2015	$116M	$116M	17	5	n/a	4	$101M
2013	Mar 31, 2014	$98.4M	$98.4M	6	5	n/a	1	$41.8M
2012	Mar 5, 2013	$30.0M	$30.0M	6	5	n/a	1	$30.0M

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
2020	$128M	$127M	0.3%	$86.5M	13.9%	6	10	1	2

Relationships

Affiliated with (3)

→ CWA ASSET MANAGEMENT GROUPRegistered adviserother investment adviser, common control
factForm ADV
→ CWA NAPLES, LLCRegistered adviserother investment adviser, common control
factForm ADV
← STRONGVEST GLOBAL ADVISORS, LLCRegistered adviserother investment adviser, bank, control
factForm ADV

Advises (5)

→ FGI GLOBAL ASSET ALLOCATION OFFSHORE FUND, LTD.Private fundHedge Fund, IA
Dec 9, 2015 to presentfactForm ADV
→ FGI METROLINA PROPERTY INCOME FUND, LPPrivate fundReal Estate Fund, IA
Mar 29, 2017 to presentfactForm ADV
→ FGI GLOBAL ASSET ALLOCATION FUND, LTD.Private fundHedge Fund, IA
Mar 31, 2015 to presentfactForm ADV
→ FUNDAMENTAL GLOBAL VENTURE PARTNERS, LPPrivate fundVenture Capital Fund, IA
Dec 2, 2019 to presentfactForm ADV
→ CWA FGI SPECIAL OPPORTUNITIES FUND II, LPPrivate fundOther Private Fund, IA, no longer reported
Feb 20, 2019 to Dec 2, 2019factForm ADV

Controls (4)

← MOGLIA, JOSEPH, HUGHOwnerMEMBER, ownership code C, individual
Jul 25, 2012 to presentfactForm ADV
← CERMINARA, DANIEL, KYLEOwnerMANAGER AND MEMBER, ownership code C, individual
Jul 25, 2012 to presentfactForm ADV
← SUTTON, JEFFREY, LANCEOwnerCHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 9, 2015 to presentfactForm ADV
← JOHNSON, LEWIS, MCKAYOwnerMANAGER AND MEMBER, ownership code C, individual
Jul 25, 2012 to presentfactForm ADV

Dated events

Occurred
Jul 25, 2012
First Form ADV filing
Fundamental Global Investors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ecdbbac8-d571-36ea-5411-9273532145c0
First observed: Jul 25, 2012
Last observed: Mar 31, 2021 66 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.

FUNDAMENTAL GLOBAL INVESTORS, LLC

CRD 164299

MOORESVILLE, NC

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:ecdbbac8-d571-36ea-5411-9273532145c0

Data as of Mar 31, 2021 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:15 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

FGI METROLINA PROPERTY INCOME FUND, LP

Real Estate Fund

$9.1M

Mar 31, 2021

Mar 29, 2017

reported

021-284722

FGI GLOBAL ASSET ALLOCATION FUND, LTD.

Hedge Fund

$5.8M

Mar 31, 2021

Mar 31, 2015

reported

n/a

FUNDAMENTAL GLOBAL VENTURE PARTNERS, LP

Venture Capital Fund

$4.8M

Sep 25, 2020

Dec 2, 2019

reported

021-343686

CWA FGI SPECIAL OPPORTUNITIES FUND II, LP

Other Private Fund

$2.5M

Dec 2, 2019

Feb 20, 2019

dropped

n/a

FGI GLOBAL ASSET ALLOCATION OFFSHORE FUND, LTD.

Hedge Fund

$2.1M

Mar 31, 2021

Dec 9, 2015

reported

021-305645

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CERMINARA, DANIEL, KYLE

MANAGER AND MEMBER

yes

06/2012

Jul 25, 2012

Mar 31, 2021

JOHNSON, LEWIS, MCKAY

MANAGER AND MEMBER

yes

06/2012

Jul 25, 2012

Mar 31, 2021

MOGLIA, JOSEPH, HUGH

Member

yes

06/2012

Jul 25, 2012

Mar 31, 2021

SUTTON, JEFFREY, LANCE

CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER

yes

10/2015

Dec 9, 2015

Mar 31, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CWA ASSET MANAGEMENT GROUP, LLC

n/a

Independent wealth

$4.5B

yes

n/a

CWA NAPLES, LLC

n/a

Former SEC adviser

$191M

yes

n/a

CWA FGI SPECIAL OPPORTUNITIES FUND GP, LLC

n/a

yes

n/a

FG PARTNERS GP, LLC

n/a

yes

n/a

FG SPAC PARTNERS GP, LLC

n/a

yes

n/a

FG SPECIAL SITUATIONS FUND GP, LLC

n/a

yes

n/a

FGI 1347 GP, LLC

n/a

yes

n/a

FGI GLOBAL ASSET ALLOCATION GP, LLC

n/a

yes

n/a

FGI HOLDINGS GP, LLC

n/a

yes

n/a

FGI METROLINA GP, LLC

n/a

yes

n/a

FUNDAMENTAL ACTIVIST FUND I GP, LLC

n/a

yes

n/a

FUNDAMENTAL GLOBAL CAPITAL APPRECIATION GP, LLC

n/a

yes

n/a

FUNDAMENTAL GLOBAL GP, LLC

n/a

yes

n/a

FUNDAMENTAL GLOBAL PARTNERS GP, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Naples

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 31, 2021

$128M

$127M

2019

Mar 30, 2020

$127M

2018

Mar 26, 2019

$69.0M

2017

Mar 28, 2018

$86.5M

2016

Mar 29, 2017

$116M

n/a

$116M

2015

Mar 29, 2016

$97.9M

n/a

$97.9M

2014

Mar 31, 2015

$116M

n/a

$101M

2013

Mar 31, 2014

$98.4M

n/a

$41.8M

2012

Mar 5, 2013

$30.0M

n/a

$30.0M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$128M

$127M

0.3%

$86.5M

13.9%