# Glazer Capital, LLC.

> 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.

- CRD: 136932
- Filed as: GLAZER CAPITAL, LLC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: March 24, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/136932
- AdvisorCensus page: https://advisorcensus.com/firm/glazer-capital-llc-new-york-ny-136932

## Quick answers

**How is Glazer Capital, LLC. compensated?**
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.

**What does Glazer Capital, LLC.'s brochure say about its fees?**
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.

**Where is Glazer Capital, LLC. located?**
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).

**Is Glazer Capital, LLC. registered with the SEC or a state?**
Glazer Capital, LLC. is an SEC-registered investment advisory firm, registered since 2006. Status as filed: Approved. CRD 136932.

**How much does Glazer Capital, LLC. manage?**
Glazer Capital, LLC. reports $6,814,590,000 in regulatory assets under management in its Form ADV filing dated March 24, 2026 (100% discretionary).

**How have Glazer Capital, LLC.'s assets and staff changed since 2021?**
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.

**What types of clients does Glazer Capital, LLC. serve?**
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).

**Which custodians does Glazer Capital, LLC. use?**
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.

**Does Glazer Capital, LLC. report any disciplinary disclosures?**
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

**What changed in Glazer Capital, LLC.'s recent Form ADV filings?**
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%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Performance-based fees

### Fees and minimums (Form ADV Part 2A brochure dated March 24, 2026)

- Asset-based fee: 1% to 2% a year (a range, as the brochure states it)

> 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.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- BMO Capital Markets Corp.
- CIBC World Markets Corp.
- J.P. Morgan Securities LLC
- TD Securities (USA) LLC
- UBS Securities LLC

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.

### Regulatory assets under management (Item 5.F)
- Total: $6,814,590,000
- Discretionary: $6,814,590,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 0 | Not reported |
| High net worth individuals | 0 | Not reported |
| Banking or thrift institutions | 0 | Not reported |
| Investment companies | 0 | Not reported |
| Business development companies | 0 | Not reported |
| Pooled investment vehicles (other than investment companies and business development companies) | 3 | $6,278,202,000 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 1 | $536,388,000 |
| Charitable organizations | 0 | Not reported |
| State or municipal government entities (including government pension plans) | 0 | Not reported |
| Other investment advisers | 0 | Not reported |
| Insurance companies | 0 | Not reported |
| Sovereign wealth funds and foreign official institutions | 0 | Not reported |
| Corporations or other businesses not listed above | 0 | Not reported |
| Other | 0 | Not reported |

### Advisory services (Item 5.G)
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2006 (20 years)
- Employees: 45 total, 19 performing advisory functions
- Wrap fee program participation: No
- Disclosures (Item 11): Reports 3 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(2): 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?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/136932

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- London

### Websites listed on Form ADV (Item 1.I)
- glazercapital.com
- LinkedIn @glazer-capital-llc

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $4,544,600,000 | 29 | March 31, 2021 |
| October 2022 | $5,889,400,000 | 30 | March 31, 2022 |
| October 2023 | $5,752,600,000 | 36 | September 26, 2023 |
| October 2024 | $2,460,624,000 | 37 | September 30, 2024 |
| October 2025 | $4,081,400,000 | 38 | March 19, 2025 |
| October 2026 | $6,814,590,000 | 45 | March 24, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- 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%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Glazer Capital, LLC. (CRD 136932): Form ADV filing data as of October 2026.