Tortoise Investment Management, LLC

RIASEC RegisteredEst. 2006

Total AUM

$2.1B

Discretionary

$2B

98% of AUM

Avg account

$683K

Accounts

3,029

Employees

21

Advisory reps

18

Firm details

Headquarters: White Plains, New York
CRD number: 128723
Registered since: January 13, 2006
Website: tortoiseinvestment.com
Custodians: FIDELITY DISTRIBUTORS COMPANY LLC
Fee structure: Percentage of AUM
Client types: HNWI96.99%
Individuals2.93%
Pension & Profit Sharing Plans0.08%
Services: Financial PlanningPortfolio Management for Individuals

Firm profile

FINTRX

Overview

Tortoise Investment Management, LLC is an independent, SEC-registered registered investment adviser formed in 2006 that focuses on serving individual and family clients. The firm charges fees as a percentage of assets under management and provides financial planning and portfolio management services for individuals and small businesses. Its reported activities emphasize liquid public vehicles rather than ESG-focused mandates.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Public Funds/Mutual Funds90%
Exchange Traded Equities4%
Cash & Cash Equivalents4%
State & Local Bonds2%

Owners & executives

2 of 2

Michael Mattern
Chief Compliance Officer and DirectorCRD 4709707
Riva Roloff
Chief Operating OfficerCRD 3096271

Contacts

3 of 16

Claudia Cantin
AnalystCRD 7806561
Christopher Rossetti
AnalystCRD 7369035
Justin Singer
Managing Director, Board MemberCRD 4706954

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Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 203

Active vs passive

$1.3B in ETFs

Passive

64%

$826M

Active

29%

$470M

ETF	Provider	Style	Category	Value	Shares	% of portfolio
ISHARES CORE S&P 500 ETF (IVV)	BlackRock	Passive	Large Blend	$107M	142,937	8.26%

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Primary office

White Plains, NY

Westchester

Location

White Plains, NY

Headquartered in White Plains, 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: Westchester
Address: 2 Westchester Park Dr
Time zone: ET (UTC-5)
Office locations

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