Gs Gamma Advisors, LLC (New York)


Gs Gamma Advisors, LLC is a large advisory firm based in New York. It manages $442.78 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2006.

Gs Gamma Advisors provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Gs Gamma Advisors: assets under management

The assets under management (AUM) of Gs Gamma Advisors, LLC is $442.78 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 491% since the beginning of its operation, and $442.78 million of the total AUM is attributable to clients outside of the United States.

The firm manages $442.78 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $442.78 million each.
Gs Gamma Advisors has custody of $442.77 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Gs Gamma Advisors, LLC for their services and products based on a percentage of assets under management and performance-based fees. 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 Gs Gamma Advisors serves?

The only and largest group of clients of Gs Gamma Advisors is pooled investment vehicles with 1 clients and $442.78 million of assets under management. Among the 10 most similar advisory firms, Gs Gamma Advisors has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $442.78 million for 1 clients. 100% of the firm’s clients are foreign persons or businesses.

Gs Gamma Advisors also advises several private funds. Namely, one hedge fund. The minimum investment commitment required of non-related persons is $3,000,000 for each fund.

Careers at Gs Gamma Advisors, LLC

The company employs 7 people that are either part- or full-time employees. 86 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
George Sykes Managing member 1 Apr 2004 50% - 75% 2135462
Llc Guggenheim Capital Managing member 1 Apr 2004 50% - 75% 36-4358656
Kenneth Adam Nick Chief compliance officer 1 Oct 2005 Other 4830797
Llc Guggenheim Partners Managing member 1 Oct 2005 50% - 75% 36-4358656
Shawn Raju Singh Chief compliance officer 1 Jan 2007 Other 5311961
Llc Gpft Holdco Member 1 Mar 2007 50% - 75% 20-8735034
Michael Steele Lukaj Chief compliance officer 1 Oct 2007 Other 5448713
Llc Gs Gamma Holdings Member 1 Dec 2009 50% - 75% 27-15666473
George Sykes Member 1 Jun 2010 50% - 75% 2135462
Llc Gs Gamma Holdings Managing member 1 Jun 2010 50% - 75% 27-15666473
Kristina Huang Chief compliance officer 1 Nov 2011 Other 4409186
Kristina Amato Chief compliance officer 1 Nov 2011 Other 4409186
Llc Guggenheim Partners Investment Management Holdings Member 1 Jul 2013 50% - 75% 27-1566073
Arik Hirschfeld Chief compliance officer 1 May 2014 Other 5130422

Indirect Owners

The SEC currently registers 21 indirect owners.

Name Entity Date acquired Ownership Employer ID
Inc. Sammons Enterprises Shareholder 1 Oct 1986 75% - 100% 75-6027423
Llc Guggenheim Capital Shareholder 1 Nov 2000 75% - 100% 36-4358656
Trustee Greatbanc Trust Company Trustee 1 Dec 2004 Other 36-3681493
Llc Guggenheim Capital Member 1 Oct 2005 75% - 100% 36-4358656
Llc Gp Holdco Member 1 Mar 2007 75% - 100% 20-8734966
Llc Guggenheim Partners Member 1 Mar 2007 75% - 100% 20-3571204
Inc. Sammons Enterprises Shareholder 1 Dec 2008 75% - 100% 75-6027423
Inc Sage Assets Member 1 Dec 2008 25% - 50% 26-3960584
Inc. Consolidated Investment Services Shareholder 1 Dec 2008 75% - 100% 88-0214301
Llc Guggenheim Partners Member 1 Dec 2009 75% - 100% 20-3571204
Trustee Greatbanc Trust Company Trustee 1 Jan 2010 Other 75-0864422
Inc. Esot Sammons Enterprises Shareholder 1 Jan 2010 75% - 100% 30-6332515
Inc. Esot Sammons Enterprises Shareholder 1 Mar 2010 75% - 100% 75-0864422
Inc. Consolidated Investment Services Shareholder 1 Jul 2011 75% - 100% 88-0214301
Inc Sammons Equity Alliance Shareholder 1 Jul 2011 75% - 100% 45-2838232
Llc Guggenheim Partners Member 1 Jul 2013 75% - 100% 94-3489008
Gi Holdco Llc Member 1 Jul 2013 75% - 100% 94-3489008
Gi Holdco Ii Llc Member 1 Jul 2013 75% - 100% 94-3489008
Llc Gmi Gpimh Managing member 1 Jul 2013 Other 36-4406374
Inc. Guggenheim Manager Member 1 Jul 2013 75% - 100% 36-4406374
Llc Guggenheim Capital Member 1 Jul 2013 75% - 100% 36-4358656

Based in New York

The principal office where Gs Gamma Advisors, LLC performs its advisory services is located at 330 Madison Avenue, New York, NY 10017, 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 212-381-4169 or by fax 212-935-8827. The normal business hours are 8:30 am - 5:30 pm on Monday - Friday. You can find more information about the New York firm at guggenheimpartners.com.