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


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.

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