Gagnon Advisors, LLC (New York)

Gagnon Advisors, LLC is a large advisory firm based in New York. It manages $148.41 million of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2014.

Gagnon Advisors provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Gagnon Advisors: assets under management

The assets under management (AUM) of Gagnon Advisors, LLC is $148.41 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -11% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $148.41 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $49.47 million each.

Gagnon Advisors has custody of $148.41 million in cash and securities for 3 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Gagnon Advisors, LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Gagnon Advisors serves?

The only and largest group of clients of Gagnon Advisors is pooled investment vehicles with 3 clients and $148.41 million of assets under management. Among the 11 most similar advisory firms, Gagnon Advisors has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $148.41 million for 3 clients. None of the firm’s clients are foreign persons or businesses.

Gagnon Advisors also advises several private funds. Namely, four hedge funds. The minimum investment commitment required of non-related persons ranges from $250,000 to $500,000.

Careers at Gagnon Advisors, LLC

The company employs 9 people that are either part- or full-time employees. 56 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Lisa Catherine Ferrante joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Susan Elizabeth Dumont	Chief compliance officer	1 Jan 2002	Other	2346501
Neil Joseph Gagnon	Chief executive officer	1 Feb 2002	Other	216440
Brian Joseph Gagnon	Research analyst	1 Jan 2009	Other	1809872
Maureen Oneill Drew	Research analyst	1 Jan 2009	Other	2702645
Willis Gitt Taylor	Research analyst	1 Jan 2009	Other	4321965
Gagnon Administrative Services Llc	Owner	1 Jul 2009	75% - 100%	20-3330042
Benjamin Cheever Atkinson	Managing member	1 Mar 2015	Other	1541509
Lisa Catherine Ferrante	Chief compliance officer	1 Jan 2018	Other	3135415
Marianne D'alessandro	Chief financial officer	1 Jan 2018	Other	5019195
Alison O'brien Tranchida	Operations manager	1 Jan 2018	Other	4345426

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Neil Joseph Gagnon	Owner	1 Jul 2004	50% - 75%	216440

Based in New York

The principal office where Gagnon Advisors, LLC performs its advisory services is located at 1370 6 Th Avenue, 24 Th Floor, New York, NY 10019, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-554-5060 or by fax 212-265-6417. The normal business hours are 9-5 on Monday - Friday.