Gotham Asset Management, LLC (New York)

Name: Gotham Asset Management, LLC
Address: 535 Madison Avenue, New York, NY, 10022 4231
Telephone: 212-319-4100

Gotham Asset Management, LLC is a large advisory firm based in New York. It manages $9 billion of regulatory assets for 75 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdictions of Connecticut, Delaware, New Jersey, New York, and Texas.

Gotham Asset Management provides portfolio management for investment companies, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Gotham Asset Management: assets under management

The assets under management (AUM) of Gotham Asset Management, LLC is $9 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 2362% since the beginning of its operation, and $1.97 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $9 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $120.03 million each.

Investments

The firm invests in exchange traded securities the most. They account for 99% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 1% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Gotham Asset Management, LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Gotham Asset Management serves?

The firm provides services to investment companies and pooled investment vehicles. The largest group of clients of Gotham Asset Management is investment companies with 23 clients and $5.93 billion of assets under management. Among the 8 most similar advisory firms, Gotham Asset Management has the 2nd highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $8.51 billion for 68 clients. 24% of the firm’s clients are foreign persons or businesses.

Gotham Asset Management also advises several private funds. Namely, twenty four hedge funds. The minimum investment commitment required of non-related persons ranges from $10,000 to $1,000,000.

Careers at Gotham Asset Management, LLC

The company employs 39 people that are either part- or full-time employees. 54 percent of the employees work as investment advisers or researchers. 4 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Lp Gotham Asset Management Holdings	Owner / member	1 Aug 2008	75% - 100%	26-3590768
Kevin Blake Darcy	Ceo and president	1 Aug 2008	Other	1091939
Gotham Asset Management Holdings Lp	Owner	1 Aug 2008	75% - 100%	26-3590768
Rory Patrick Collins	Chief compliance officer	1 Jan 2009	Other	2937057
Bernard Philips Seibert	Chief financial officer	1 Sep 2010	Other	3134879
Joel Michael Greenblatt	Managing principal/co-chief investment officer	1 Sep 2010	Other	1335618
Robert Laurence Goldstein	Managing principal/co-chief investment officer	1 Sep 2010	Other	1701590
Robert Lawrence Goldstein	Co-chief investment officer	1 Sep 2010	Other	1701590
Craig Philip Lehner	General counsel	1 Aug 2011	Other	2160182
Louis Nmm Larocca	General counsel & chief compliance officer	1 Mar 2013	Other	5965570

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Joel Michael Greenblatt	Owner	1 Aug 2008	25% - 50%	1335618
Robert Laurence Goldstein	Owner	1 Aug 2008	25% - 50%	1701590
Robert Lawrence Goldstein	Owner	1 Aug 2008	25% - 50%	1701590
Llc Gotham Gp	General partner	1 Sep 2010	Other	45-1599927

Based in New York

The principal office where Gotham Asset Management, LLC performs its advisory services is located at 535 Madison Avenue, New York, NY 10022 4231, which is also the mailing address of the firm. An additional office of the firm is in Port Washington, NY. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-319-4100 or by fax 212-319-4419. The normal business hours are 9:00 am - 5:00 pm est on Monday - Friday. You can find more information about the New York firm at gothamfunds.com/.