9AT: SSI INVESTMENT MANAGEMENT LLC

other names

Adviser Profile

As of Date	07/22/2024
Adviser Type - Large advisory firm - An investment adviser (or subadviser) to an investment company
Number of Employees	27 -10.00%
of those in investment advisory functions	11
Registration	SEC, Approved, 01/31/1975

AUM^*	1,999,746,000 -5.67%
of that, discretionary	1,999,555,000 -5.63%
Private Fund GAV^*	11,313,000
Avg Account Size	22,724,386 7.19%
% High Net Worth	5.68% -9.09%
SMA’s	Yes
Private Funds	1
Contact Info	310 xxxxxxx
Websites

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Investment companies
- Pooled investment vehicles
- Pension and profit sharing plans
- Charitable organizations
- State or municipal government entities
- Insurance companies
- Corporations or other businesses not listed above

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management

Fund Type	Count	GAV
Fund TypeHedge Fund	Count1	GAV$11,313,000

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser DYNAMIC BETA INVESTMENTS LLC	Hedge Fund64.1m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV64.1m	AUM2.6b	#Funds1
Adviser 140 SUMMER PARTNERS LP	Hedge Fund3.7b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV3.7b	AUM2.1b	#Funds3
Adviser CARLSON CAPITAL, L.P.	Hedge Fund1.7b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.7b	AUM2.0b	#Funds13
Adviser GHISALLO CAPITAL MANAGEMENT LLC	Hedge Fund2.8b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV2.8b	AUM2.8b	#Funds2
Adviser ABRAMS BISON INVESTMENTS, L.L.C.	Hedge Fund2.5b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV2.5b	AUM2.5b	#Funds2
Adviser SBB RESEARCH GROUP LLC	Hedge Fund2.3b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV2.3b	AUM2.5b	#Funds11
Adviser PERMIAN	Hedge Fund1.4b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.4b	AUM2.2b	#Funds3
Adviser TRUST ASSET MANAGEMENT LLC	Hedge Fund1.3b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.3b	AUM2.4b	#Funds4
Adviser TREE LINE CAPITAL PARTNERS, LLC	Hedge Fund1.6b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.6b	AUM2.3b	#Funds8
Adviser PAR CAPITAL MANAGEMENT, INC.	Hedge Fund2.8b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV2.8b	AUM2.8b	#Funds1

Brochure Summary

Overview

SSI, a Delaware limited liability company, serves as an investment adviser to separately managed accounts, investment sub-adviser to open-end management investment companies under the Investment Company Act of 1940, as amended (“1940 Act Funds”) and as a general partner of an investment limited partnership. SSI, with its predecessor, SSI Investment Management Inc., has been in business since 1973. In 2019, SSI Investment Management Inc. restructured, transferring its business to SSI. Effective May 31, 2019, Resolute Investment Managers Inc. (“Resolute”), a diversified, multi-affiliate asset management platform acquired a controlling ownership interest in SSI. Resolute owns approximately 57% of SSI, leaving approximately 43% of SSI held by Team SSI, LLC and an entity controlled by SSI Officers. Resolute is an indirect subsidiary of Resolute Topco, Inc. (“Topco”), which is owned primarily by various institutional investment funds that are managed by financial institutions and other investment advisory firms.. George M. Douglas is SSI’s

Chief Investment Officer & Managing Principal and a material indirect owner of SSI through Team SSI, LLC. SSI invests principally, but not solely, in equity, convertible and fixed income securities that are traded publicly in U.S. and non U.S. markets on behalf of its clients, but is authorized to enter into any type of investment transaction that it deems appropriate under the terms of the client’s partnership or other account agreements. As of December 31, 2023, SSI had total discretionary regulatory assets under management of approximately $1,999,600,000 and total non-discretionary regulatory assets under management of approximately $200,000. SSI may tailor its services to the needs of individually managed accounts by managing each such account according to the strategy selected by the client. SSI’s discretionary authority may be limited, as described in Item 16. The investors in the funds that SSI manages have no opportunity to select or evaluate any fund investments or securities. SSI selects all fund investments and securities.

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SSI INVESTMENT MANAGEMENT LLC

Adviser Profile

Details

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Private Funds Structure

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Brochure Summary

Overview