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SUMMERHAVEN INVESTMENT MANAGEMENT, LLC

dba SUMMERHAVEN INVESTMENT MANAGEMENT, LLC · CRD 289269 · Registered Investment Adviser

Regulatory disclosure

SUMMERHAVEN INVESTMENT MANAGEMENT, LLC is a Registered Investment Adviser headquartered in STAMFORD, CT. The firm reports $176,198,488 in regulatory assets under management across 2 accounts. It reports 4 Form ADV Item 11 disciplinary disclosure(s) (Regulatory).

Regulatory assets under management

Discretionary$176,198,488
Non-discretionary$0
Total RAUM$176,198,488
Accounts2

Disciplinary history (Form ADV Item 11)

This adviser answered "yes" to 4 Item 11 disclosure question(s):

CategoryReported
Criminal (11A / 11B)—
Regulatory (11C–11F)Yes
Civil / Other (11G / 11H)—

Item 11 captures firm-level Y/N disclosures only. For the narrative Disciplinary Reporting Pages, see the full Form ADV PDF on SEC IAPD.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 289269. adviserinfo.sec.gov/firm/summary/289269.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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