Aurora Investment Management L.L.C. (Oakbrook Terrace)

Name: Aurora Investment Management L.L.C.
Address: 18 W140 Butterfield Road, Oakbrook Terrace, IL, 60181
Telephone: 312-762-6700

Aurora Investment Management L.L.C. is a mid-sized advisory firm based in Oakbrook Terrace. It manages $52.1 million of regulatory assets for 8 client accounts. It has been registered with the SEC as an adviser since 2009 and has operated in the jurisdiction of Illinois.

Aurora Investment Management L.L.C provides portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Aurora Investment Management L.L.C: assets under management

The assets under management (AUM) of Aurora Investment Management L.L.C. is $52.1 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -99% since the beginning of its operation, and $34.57 million of the total AUM is attributable to clients outside of the United States.

The firm manages $52.1 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $6.51 million each.

Aurora Investment Management L.L.C has custody of $52 million in cash and securities for 8 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Aurora Investment Management L.L.C. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients John Thomas Hailer serves?

The only and largest group of clients of John Thomas Hailer is pooled investment vehicles with 8 clients and $52.1 million of assets under management. Among the 1 most similar advisory firms, Aurora Investment Management L.L.C has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $52.1 million for 8 clients. 50% of the firm’s clients are foreign persons or businesses.

Aurora Investment Management L.L.C also advises several private funds. Namely, eight hedge funds. The minimum investment commitment required of non-related persons is $250,000 for each fund.

Careers at Aurora Investment Management L.L.C.

The company employs 6 people that are either part- or full-time employees. 33 percent of the employees work as investment advisers or researchers. No 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.

John Thomas Hailer has been acting as President since 1 Feb 2008. James Theodore Orfanos joined the executive team most recently as the Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Harris Alternatives Holding	Sole member	1 Jan 2004	75% - 100%	56-2425504
Anne Marie Morley	Chief financial officer and treasurer	1 Jun 2005	Other	2538196
Roxanne Mary Martino	Partner, ceo, and investment committee chair	1 Jul 2005	Other	1604286
Scott Charles Schweighauser	Partner, president, and portfolio manager	1 Jul 2005	Other	1618043
James Harvey Hayes	Chief operating officer and director	1 Jul 2005	Other	4890120
Peter Scott Hamet	Head of research	1 Sep 2005	Other	3169069
Scott Matthew Montpas	Partner, general counsel, and chief compliance officer	1 Jan 2006	Other	4995422
Ronald Arthur Rolighed	Managing director, business development	1 Jan 2006	Other	5313499
Duncan Borger Ellerton Wilkinson	Director	1 Jul 2006	Other	4693961
John Thomas Hailer	Director	1 Feb 2008	Other	1635883
James Harvey Hayes	Partner, managing director of marketing and client service	1 Jul 2010	Other	4890120
Scott Craven Jones	Chief operating officer	1 Jul 2010	Other	2293400
Anne Marie Morley	Partner, managing director of operations	1 Aug 2010	Other	2538196
Scott Craven Jones	Chief operating officer and chief financial officer	1 Aug 2010	Other	2293400
Jerry Scott Fuesel	Chief financial officer	1 Sep 2012	Other	5455138
Beth Satterfield	Chief operating officer	1 Oct 2012	Other	6011858
Justin David Sheperd	Partner, chief investment officer	1 Jan 2013	Other	2863488
David Edward Kuenzi	Partner and managing director of risk management and quantitative research	1 Jan 2013	Other	2682651
David Lawrence Giunta	Director	1 May 2014	Other	2290469
Michael Joseph Sullivan	Chief financial officer	1 Jul 2014	Other	6368055
Isabelle Marie Perrault	Partner, managing director and head of business development	1 Jan 2015	Other	4579943
James Theodore Orfanos	Director	1 Jul 2016	Other	6700590
Eric Norman Ward	Director	1 Jul 2016	Other	6136334

Indirect Owners

The SEC currently registers 17 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Llc (Ngamllc) Natixis Global Asset Management	General partner	1 Oct 2000	Other	13-4146162
Inc. Natixis U.S. Holdings	Limited partner	1 Oct 2000	75% - 100%	13-4146043
Llc (Nimllc) Natixis Investment Managers	General partner	1 Oct 2000	Other	13-4146162
Natixis Global Asset Management Corporation (Ngam Corp)	Limited partner	1 Oct 2000	75% - 100%	13-4146043
L.P. (Ngamlp) Natixis Global Asset Management	Member	1 Jan 2004	75% - 100%	04-3398261
L.P. (Nimlp) Natixis Investment Managers	Shareholder	1 Jan 2004	75% - 100%	04-3398261
Natixis Global Asset Management (Ngam)	Shareholder	1 Aug 2004	75% - 100%	foreign entity
Natixis Investment Managers (Nim)	Shareholder	1 Aug 2004	75% - 100%	foreign entity
Natixis Global Asset Management Participations 1 (Ngamp1)	Shareholder	1 Jun 2005	75% - 100%	foreign entity
Natixis Investment Managers Participations 1 (Ngamp1)	Shareholder	1 Jun 2005	75% - 100%	foreign entity
Natixis Global Asset Management Participations 1 (Ngam)	Shareholder (series a preferred stock)	1 Sep 2006	75% - 100%	foreign entity
Caisse Nationale Des Caisses D'epargne (Cnce)	Shareholder	1 Nov 2006	25% - 50%	foreign entity
Banque Federale Des Banques Populaires	Shareholder	1 Nov 2006	25% - 50%	foreign entity
Natixis	Shareholder	1 Nov 2006	75% - 100%	foreign entity
Natixis Participations 1 (Np1)	Shareholder	1 Jun 2007	75% - 100%	foreign entity
Bpce	Shareholder	1 Jul 2009	50% - 75%	foreign entity
Natixis	Shareholder	1 Sep 2011	75% - 100%	foreign entity

Based in Oakbrook Terrace

The principal office where Aurora Investment Management L.L.C. performs its advisory services is located at 18 W140 Butterfield Road, Oakbrook Terrace, IL 60181, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 312-762-6700. The normal business hours are 8:30-5:00 on Monday - Friday. You can find more information about the New York firm at aurorallc.com.