Summerhaven Investment Management, LLC (Stamford)

Name: Summerhaven Investment Management, LLC
Address: 1266 E. Main Street, Stamford, CT, 06902
Telephone: 203-352-2700

Summerhaven Investment Management, LLC is an investment adviser to an investment company based in Stamford. It manages $3.03 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdiction of Connecticut.

Summerhaven Investment Management provides portfolio management for investment companies. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Summerhaven Investment Management: assets under management

The assets under management (AUM) of Summerhaven Investment Management, LLC is $3.03 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 203% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $3.03 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.52 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Summerhaven Investment Management, LLC 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 Summerhaven Investment Management serves?

The only and largest group of clients of Summerhaven Investment Management is investment companies with 2 clients and $3.03 million of assets under management. Among the 1 most similar advisory firms, Summerhaven Investment Management has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $3.03 million for 2 clients. None of the firm’s clients are foreign persons or businesses.

Summerhaven Investment Management doesn't advise any private funds.

Careers at Summerhaven Investment Management, LLC

The company employs 11 people that are either part- or full-time employees. 64 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.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Ashraf Raza Rizvi	Managing member; chief executive officer	1 Oct 2008	25% - 50%	5706290
Klazinus Geert Rouwenhorst	Member; head of research	1 Oct 2008	25% - 50%	5706292
Kurt Jonathon Nelson	Member; chief marketing officer	1 Aug 2009	25% - 50%	2826565
Ashraf Raza Rizvi	Managing member	1 Aug 2009	25% - 50%	5706290
Adam Walter Dunsby	Managing member	1 Aug 2009	25% - 50%	2688314
Klazinus Geert Rouwenhorst	Managing member	1 Aug 2009	25% - 50%	5706292
Joseph James Schultz	Member; chief compliance officer and chief financial officer	1 Jan 2011	Other	4473781
Joseph Schultz	Partner; chief compliance officer and chief financial officer	1 Jan 2011	Other	4473781

Based in Stamford

The principal office where Summerhaven Investment Management, LLC performs its advisory services is located at 1266 E. Main Street, Stamford, CT 06902, 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 203-352-2700 or by fax 203-352-2701. The normal business hours are 8:00 am - 6:00 pm on Monday - Friday. You can find more information about the New York firm at summerhavenim.com.