New Vernon Investment Management LLC

RIASEC RegisteredEst. 2012
Total AUM
$116M
Discretionary
$116M
100% of AUM
Avg account
$10.5M
Accounts
11
Employees
8
Advisory reps
3

Firm details

Headquarters
Highland Park, Illinois
CRD number
160247
Registered since
March 30, 2012
Custodians
PERSHING LLC
Fee structure
Percentage of AUM, Fixed Fees, Performance Based Fees, Other
Client types
  • Pooled Investment Vehicles97.92%
  • Corporations / Businesses2.08%
Services
Portfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional ClientsSecurity Ratings / Pricing Services

Firm profile

FINTRX

Overview

New Vernon Investment Management LLC is a SEC-registered hedge fund adviser organized as an LLC and first registered in 2012. The firm serves institutional clients and operates as both an adviser to pooled investment vehicles and as a manager for businesses or institutions. Its regulatory and business roles include acting as a CPO/CTA and serving as sponsor, general partner or managing member of pooled vehicles; it also provides security ratings and pricing services. Fee arrangements include percentage-of-AUM charges, fixed fees, performance-based fees and other fee types. The firm is not an active ESG investor and does not present itself as a multi-state adviser. Industry affiliations noted in filings include relationships with broker-dealers and other investment advisers in addition to its CPO/CTA and sponsor/GP activities.

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

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Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 100%100%
  • Exchange Traded Equities100%

Owners & executives

1 of 1
  • Daniel Shapiro

    Daniel Shapiro

    CEO & CCOCRD 1989147

Contacts

2 of 2
  • Steven Shapiro

    Steven Shapiro

    PrincipalCRD 2153746

  • Gary Just

    Gary Just

    ComplianceCRD 2101902

Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

Primary office

Highland Park, IL

Lake

Location

Highland Park, IL

Headquartered in Highland Park, IL, anchoring the Chicago-Naperville, IL-IN-WI metro in the Midwest.

Metro area
Chicago-Naperville, IL-IN-WI
Region
Midwest
County
Lake
Address
799 Central Ave
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth