{ "crd_number": 158028, "slug": "alternative-investment-management-llc-new-york-ny-158028", "primary_business_name": "ALTERNATIVE INVESTMENT MANAGEMENT, LLC", "legal_name": "ALTERNATIVE INVESTMENT MANAGEMENT, LLC", "dbas": [ "AIM13" ], "city": "New York", "state": "NY", "country": "United States", "cbsa_code": "35620", "metro": { "cbsa_code": "35620", "common_name": "New York", "msa_name": "New York-Newark-Jersey City, NY-NJ", "path": "/advisors/ny/new-york" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2012-03-05", "years_registered": 14, "period": "2026-10-01", "filing_date": "2026-08-11", "carried_forward": false, "raum_total": 1759890349.0, "raum_discretionary": 1759890349.0, "raum_non_discretionary": 0.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 15, "advisory_employees": 12, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "other": { "raum": 354048062.0, "count": 1, "description": "FAMILY OFFICE ASSETS", "fewer_than_5": true }, "pooled_investment_vehicles": { "raum": 1405842287.0, "count": 23 } }, "compensation_types": [ "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_individuals", "portfolio_management_pooled_vehicles", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [], "websites": [ "https://aim13.com", "https://linkedin.com/company/alternative-investment-management-llc", "https://twitter.com/AIM13LLC" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/158028", "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/alternative-investment-management-llc-new-york-ny-158028", "display_name": "Alternative Investment Management, LLC", "summary": "Alternative Investment Management, LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2012, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated August 11, 2026.", "citation": "AdvisorCensus. Alternative Investment Management, LLC (CRD 158028): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Performance-based fees" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Portfolio management for pooled investment vehicles (other than investment companies)", "Selection of other advisers (including private fund managers)" ], "quick_answers": [ { "q": "How is Alternative Investment Management, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Alternative Investment Management, LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Alternative Investment Management, LLC located?", "a": "Alternative Investment Management, LLC's principal office is in New York, NY, according to its Form ADV." }, { "q": "Is Alternative Investment Management, LLC registered with the SEC or a state?", "a": "Alternative Investment Management, LLC is an SEC-registered investment advisory firm, registered since 2012. Status as filed: Approved. CRD 158028." }, { "q": "How much does Alternative Investment Management, LLC manage?", "a": "Alternative Investment Management, LLC reports $1,759,890,349 in regulatory assets under management in its Form ADV filing dated August 11, 2026 (100% discretionary)." }, { "q": "How have Alternative Investment Management, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Alternative Investment Management, LLC: Regulatory assets under management: $1,508,661,242 in the October 2021 data and $1,759,890,349 in the October 2026 data, up 17%. Total employees: 18 in October 2021 and 15 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Alternative Investment Management, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (23); other (1)." }, { "q": "Which custodians does Alternative Investment Management, LLC use?", "a": "Alternative Investment Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Morgan Stanley & Co. LLC and UBS Securities LLC as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Alternative Investment Management, LLC report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/158028" }, { "q": "What changed in Alternative Investment Management, LLC's recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 14 to 12." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 1508661242.0, "total_employees": 18, "filing_date": "2021-03-29" }, { "period": "2022-10-01", "regulatory_assets_under_management": 1545235269.0, "total_employees": 19, "filing_date": "2022-09-16" }, { "period": "2023-10-01", "regulatory_assets_under_management": 1188543662.0, "total_employees": 18, "filing_date": "2023-06-30" }, { "period": "2024-10-01", "regulatory_assets_under_management": 1463025017.0, "total_employees": 17, "filing_date": "2024-07-16" }, { "period": "2025-10-01", "regulatory_assets_under_management": 1668791466.0, "total_employees": 17, "filing_date": "2025-07-02" }, { "period": "2026-10-01", "regulatory_assets_under_management": 1759890349.0, "total_employees": 15, "filing_date": "2026-08-11" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 14 to 12." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Morgan Stanley & Co. LLC", "name_as_filed": "MORGAN STANLEY & CO. LLC", "affiliated": false }, { "name": "UBS Securities LLC", "name_as_filed": "UBS SECURITIES LLC", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/alternative-investment-management-llc-new-york-ny-158028.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 23, "fewer_than_5": false, "raum": 1405842287.0 }, { "type": "other", "label": "Other", "count": 1, "fewer_than_5": true, "raum": 354048062.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/158028", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }