{
  "crd_number": 136932,
  "slug": "glazer-capital-llc-new-york-ny-136932",
  "primary_business_name": "GLAZER CAPITAL, LLC.",
  "legal_name": "GLAZER CAPITAL, LLC.",
  "dbas": [],
  "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": "2006-09-11",
  "years_registered": 20,
  "period": "2026-10-01",
  "filing_date": "2026-03-24",
  "carried_forward": false,
  "raum_total": 6814590000.0,
  "raum_discretionary": 6814590000.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "over_5b",
  "raum_band_label": "Over $5 billion",
  "total_employees": 45,
  "advisory_employees": 19,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": null,
      "count": 0
    },
    "charitable": {
      "raum": null,
      "count": 0
    },
    "individuals": {
      "raum": null,
      "count": 0
    },
    "banking_thrift": {
      "raum": null,
      "count": 0
    },
    "state_municipal": {
      "raum": null,
      "count": 0
    },
    "insurance_companies": {
      "raum": null,
      "count": 0
    },
    "investment_companies": {
      "raum": null,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 536388000.0,
      "count": 1
    },
    "other_investment_advisers": {
      "raum": null,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": null,
      "count": 0
    },
    "pooled_investment_vehicles": {
      "raum": 6278202000.0,
      "count": 3
    },
    "corporations_other_businesses": {
      "raum": null,
      "count": 0
    },
    "business_development_companies": {
      "raum": null,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": null,
      "count": 0
    }
  },
  "compensation_types": [
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "portfolio_management_businesses_institutional",
    "portfolio_management_pooled_vehicles"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 3,
  "states_registered": [],
  "websites": [
    "https://glazercapital.com",
    "https://linkedin.com/company/glazer-capital-llc"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/136932",
  "disclosure_items": [
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    }
  ],
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/glazer-capital-llc-new-york-ny-136932",
  "display_name": "Glazer Capital, LLC.",
  "summary": "Glazer Capital, LLC. is an SEC-registered investment advisory firm in New York, NY, registered since 2006, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated March 24, 2026.",
  "citation": "AdvisorCensus. Glazer Capital, LLC. (CRD 136932): 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 Glazer Capital, LLC. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Glazer Capital, LLC. reports these compensation arrangements: a percentage of assets under its management; performance-based fees."
    },
    {
      "q": "What does Glazer Capital, LLC.'s brochure say about its fees?",
      "a": "Its Form ADV Part 2A brochure dated March 24, 2026 states: Asset-based fee: 1% to 2% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Glazer Capital, LLC. located?",
      "a": "Glazer Capital, LLC.'s principal office is in New York, NY, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Glazer Capital, LLC. registered with the SEC or a state?",
      "a": "Glazer Capital, LLC. is an SEC-registered investment advisory firm, registered since 2006. Status as filed: Approved. CRD 136932."
    },
    {
      "q": "How much does Glazer Capital, LLC. manage?",
      "a": "Glazer Capital, LLC. reports $6,814,590,000 in regulatory assets under management in its Form ADV filing dated March 24, 2026 (100% discretionary)."
    },
    {
      "q": "How have Glazer Capital, LLC.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for Glazer Capital, LLC.: Regulatory assets under management: $4,544,600,000 in the October 2021 data and $6,814,590,000 in the October 2026 data, up 50%. Total employees: 29 in October 2021 and 45 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Glazer Capital, LLC. serve?",
      "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (3); pension and profit sharing plans (but not the plan participants or government pension plans) (1)."
    },
    {
      "q": "Which custodians does Glazer Capital, LLC. use?",
      "a": "Glazer Capital, LLC.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists BMO Capital Markets Corp., CIBC World Markets Corp., J.P. Morgan Securities LLC, TD Securities (USA) LLC and UBS Securities LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Glazer Capital, LLC. report any disciplinary disclosures?",
      "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/136932"
    },
    {
      "q": "What changed in Glazer Capital, LLC.'s recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 17 to 19. Regulatory assets under management went from $4,081,400,000 to $6,814,590,000 (+67%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 4544600000.0,
      "total_employees": 29,
      "filing_date": "2021-03-31"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 5889400000.0,
      "total_employees": 30,
      "filing_date": "2022-03-31"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 5752600000.0,
      "total_employees": 36,
      "filing_date": "2023-09-26"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 2460624000.0,
      "total_employees": 37,
      "filing_date": "2024-09-30"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 4081400000.0,
      "total_employees": 38,
      "filing_date": "2025-03-19"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 6814590000.0,
      "total_employees": 45,
      "filing_date": "2026-03-24"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 17 to 19.",
        "Regulatory assets under management went from $4,081,400,000 to $6,814,590,000 (+67%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 24, 2026",
    "tiers": [],
    "flat_rate": null,
    "stated_range": "1% to 2% a year",
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: 1% to 2% a year (a range, as the brochure states it)"
        ],
        "quotes": [
          "Each Fund will typically pay the Firm (or its affiliates) a management fee ranging from 1-2% per annum of the applicable Fund’s net assets."
        ]
      }
    ],
    "quotes": [
      "Each Fund will typically pay the Firm (or its affiliates) a management fee ranging from 1-2% per annum of the applicable Fund’s net assets."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "BMO Capital Markets Corp.",
      "name_as_filed": "BMO CAPITAL MARKETS CORP.",
      "affiliated": false
    },
    {
      "name": "CIBC World Markets Corp.",
      "name_as_filed": "CIBC WORLD MARKETS CORP.",
      "affiliated": false
    },
    {
      "name": "J.P. Morgan Securities LLC",
      "name_as_filed": "J.P. MORGAN SECURITIES LLC",
      "affiliated": false
    },
    {
      "name": "TD Securities (USA) LLC",
      "name_as_filed": "TD SECURITIES (USA) 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/glazer-capital-llc-new-york-ny-136932.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 3,
      "fewer_than_5": false,
      "raum": 6278202000.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 1,
      "fewer_than_5": false,
      "raum": 536388000.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    }
  ],
  "disclosure_line": "Reports 3 disclosure items on Form ADV Item 11.",
  "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/136932",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}