Alumina Investment Management, LLC (Charlotte)

Alumina Investment Management, LLC is a large advisory firm based in Charlotte. It manages $8.8 billion of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdiction of North Carolina.

Alumina Investment Management provides portfolio management for businesses and institutional clients and investment consultation and analysis. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Alumina Investment Management: assets under management

The assets under management (AUM) of Alumina Investment Management, LLC is $8.8 billion. The firm's AUM has grown by 211% since the beginning of its operation, and $4.19 billion of the total AUM is attributable to clients outside of the United States.

Investments

The firm invests in government bonds the most. They account for 83% of the total AUM. The second-largest asset type is derivatives, which make up 10% of the firm’s portfolio. Investments in other assets form 6% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Alumina Investment Management, LLC for their services and products based on fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Alumina Investment Management, LLC

The company employs 4 people that are either part- or full-time employees. 100 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.

Gregory Alexander Kares has served as the Chief Investment Officer since 1 May 2012. Kevin Patrick Sweeney joined the executive team most recently as the Portfolio Manager/Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Gregory Alexander Kares	Founder/chief investment officer	1 May 2012	75% - 100%	6071237
Caren Margaret Sterner	Chief financial officer	1 May 2012	Other	6071238
The Carlyle Group	Member	1 May 2012	Other	111128
Carlyle Investment Management L.L.C.	Member	1 May 2012	Other	52-1988385
Kevin Patrick Sweeney	Portfolio manager/chief compliance officer	1 Jul 2012	Other	2608491

Indirect Owners

The SEC currently registers 5 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
L.L.C. Tc Group	Member	1 Dec 2000	75% - 100%	54-1686957
L.L.C. Tcg Holdings	Member	1 Dec 2000	75% - 100%	54-1686011
William Elias Conway	Managing member	1 Dec 2000	25% - 50%	1776820
Daniel Anthony D'aniello	Managing member	1 Dec 2000	75% - 100%	1723797
David Mark Rubenstein	Managing member	1 Dec 2000	25% - 50%	1723794

Based in Charlotte

The principal office where Alumina Investment Management, LLC performs its advisory services is located at 6302 Fairview Road, Charlotte, NC 28210, 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 980-233-3000 or by fax 980-233-3091. The normal business hours are 8:00 am - 5:00 pm on Monday - Friday.