{ "crd_number": 137024, "slug": "gabelli-and-company-investment-advisers-inc-greenwich-ct-137024", "primary_business_name": "GABELLI & COMPANY INVESTMENT ADVISERS, INC.", "legal_name": "GABELLI & COMPANY INVESTMENT ADVISERS, INC.", "dbas": [], "city": "Greenwich", "state": "CT", "country": "United States", "cbsa_code": "14860", "metro": { "cbsa_code": "14860", "common_name": "Bridgeport", "msa_name": "Bridgeport-Stamford-Danbury, CT", "path": "/advisors/ct/bridgeport" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2006-01-19", "years_registered": 20, "period": "2026-10-01", "filing_date": "2026-07-07", "carried_forward": false, "raum_total": 1482548909.0, "raum_discretionary": 1482548909.0, "raum_non_discretionary": 0.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 27, "advisory_employees": 17, "client_count_bucket": null, "clients_by_type": { "pooled_investment_vehicles": { "raum": 1482548909.0, "count": 12 } }, "compensation_types": [ "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "CT", "NY" ], "websites": [ "https://associated-capital-group.com", "https://gabellipartners.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/137024", "city_as_filed": "GREENWICH", "url": "https://advisorcensus.com/firm/gabelli-and-company-investment-advisers-inc-greenwich-ct-137024", "display_name": "Gabelli & Company Investment Advisers, Inc.", "summary": "Gabelli & Company Investment Advisers, Inc. is an SEC-registered investment advisory firm in Greenwich, CT, registered since 2006, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated July 7, 2026.", "citation": "AdvisorCensus. Gabelli & Company Investment Advisers, Inc. (CRD 137024): 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 pooled investment vehicles (other than investment companies)", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Gabelli & Company Investment Advisers, Inc. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Gabelli & Company Investment Advisers, Inc. 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 Gabelli & Company Investment Advisers, Inc. located?", "a": "Gabelli & Company Investment Advisers, Inc.'s principal office is in Greenwich, CT, according to its Form ADV; the August 2026 filing also lists 1 other office (Schedule D, Section 1.F)." }, { "q": "Is Gabelli & Company Investment Advisers, Inc. registered with the SEC or a state?", "a": "Gabelli & Company Investment Advisers, Inc. is an SEC-registered investment advisory firm, registered since 2006. Status as filed: Approved. CRD 137024." }, { "q": "How much does Gabelli & Company Investment Advisers, Inc. manage?", "a": "Gabelli & Company Investment Advisers, Inc. reports $1,482,548,909 in regulatory assets under management in its Form ADV filing dated July 7, 2026 (100% discretionary)." }, { "q": "How have Gabelli & Company Investment Advisers, Inc.'s assets and staff changed since 2021?", "a": "In the Form ADV data for Gabelli & Company Investment Advisers, Inc.: Regulatory assets under management: $1,482,030,493 in the October 2021 data and $1,482,548,909 in the October 2026 data, unchanged. Total employees: 23 in October 2021 and 27 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Gabelli & Company Investment Advisers, Inc. serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (12)." }, { "q": "Does Gabelli & Company Investment Advisers, Inc. 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/137024" }, { "q": "What changed in Gabelli & Company Investment Advisers, Inc.'s recent Form ADV filings?", "a": "In the August 2026 filing data: Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 1482030493.0, "total_employees": 23, "filing_date": "2021-08-24" }, { "period": "2022-10-01", "regulatory_assets_under_management": 1908796756.0, "total_employees": 21, "filing_date": "2022-04-14" }, { "period": "2023-10-01", "regulatory_assets_under_management": 1765967419.0, "total_employees": 21, "filing_date": "2023-04-27" }, { "period": "2024-10-01", "regulatory_assets_under_management": 1531181790.0, "total_employees": 21, "filing_date": "2024-04-29" }, { "period": "2025-10-01", "regulatory_assets_under_management": 1275341100.0, "total_employees": 21, "filing_date": "2025-03-25" }, { "period": "2026-10-01", "regulatory_assets_under_management": 1482548909.0, "total_employees": 27, "filing_date": "2026-07-07" } ], "recent_changes": [ { "period": "2026-08-01", "period_label": "August 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-07-01", "period_label": "July 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 18 to 17.", "Regulatory assets under management went from $1,275,341,100 to $1,482,548,909 (+16%)." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/gabelli-and-company-investment-advisers-inc-greenwich-ct-137024.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 12, "fewer_than_5": false, "raum": 1482548909.0 } ], "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/137024", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }