Horizon Kinetics Asset Management LLC

RIASEC RegisteredEst. 1994
Total AUM
$9.6B
Discretionary
$9.5B
98% of AUM
Avg account
$4.3M
Accounts
2,223
Employees
80
Advisory reps
6

Firm details

Headquarters
New York, New York
CRD number
106096
Registered since
September 23, 1994
Custodians
FIDELITY DISTRIBUTORS COMPANY LLC
Fee structure
Percentage of AUM, Subscription Fees, Fixed Fees, Performance Based Fees
Client types
  • Investment Companies39.27%
  • HNWI26.63%
  • Pooled Investment Vehicles20.92%
  • Corporations / Businesses11.74%
  • Pension & Profit Sharing Plans1.17%
Services
Portfolio Management for IndividualsPortfolio Management for Investment CompaniesPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional ClientsPublication of Periodicals

Firm profile

FINTRX

Overview

Horizon Kinetics Asset Management LLC is a multi-product investment manager registered with the SEC since 1994. The firm operates as a limited liability company and runs both pooled vehicles and separate-account strategies, including hedge fund and private equity products. Its client base spans individuals and families as well as institutional investors. Horizon Kinetics charges a mix of fee types across its offerings — percentage-of-AUM, subscription fees, fixed fees and performance-based fees — and publishes periodic investment commentary or newsletters as part of its adviser activities. The firm describes its core activities as portfolio management for individuals, businesses, institutions and pooled investment vehicles. It is not identified as an active ESG investor. Horizon Kinetics also has industry roles beyond advisory work: it is affiliated with broker-dealer activity, operates as a sponsor/GP of pooled vehicles and sponsors limited partnerships.

Assets & Accounts

Public Holdings

Investments & Alternatives

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 82%, Public Funds/Mutual Funds 9%, Cash & Cash Equivalents 5%, Non-Exchange Traded Equities 4%82%
  • Exchange Traded Equities82%
  • Public Funds/Mutual Funds9%
  • Cash & Cash Equivalents5%
  • Non-Exchange Traded Equities4%

Owners & executives

3 of 3
  • Russell Grimaldi

    Russell Grimaldi

    Chief Compliance Officer & Associate General CounselCRD 5210776

  • Alun Williams

    Chief Operating OfficerCRD 4331633

  • Mark Herndon

    Chief Financial OfficerCRD 8065808

Contacts

3 of 3
  • Steven Bregman

    President, Co-FounderCRD 2568218

  • Peter Doyle

    Managing DirectorCRD 2590707

  • Jay Kesslen

    General Counsel, Managing DirectorCRD 4335392

Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 51

Active vs passive

$653M in ETFs

Passive

93%

$607M

Active

6%

$46.4M

ETFProviderStyleCategoryValueShares% of portfolio
GRAYSCALE BITCOIN TRUST ETF (GBTC)GrayscalePassiveDigital Assets$553M12,139,99084.57%

Location

Primary office

New York, NY

New York

Location

New York, NY

Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area
New York-Newark, NY-NJ-CT-PA
Region
Northeast
County
New York
Address
1270 Avenue Of The Americas
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth