AWM INVESTMENT COMPANY INC
CRD #110346 SEC #801-40415 NEW YORK, NY 212-319-6670
SEC Registered Private Funds
Total AUM
$1.1B
Discretionary
$1.1B
Employees
14
Clients
--
Accounts
8
Firm Details
- Organization Type
- Corporation
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 28, 2025
- Branch Offices
- 0
- LEI
- 254900DH7DV9J5DJ8B29
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| CARLING, ROSE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CARLING, ROSE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CARLING, ROSE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CARLING, ROSE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CARLING, ROSE, NMI | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CARLING, ROSE, NMI | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CARLING, ROSE, NMI | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CARLING, ROSE, NMI | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CARLING, ROSE, NMI | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CARLING, ROSE, NMI | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CARLING, ROSE, NMI | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CARLING, ROSE, NMI | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CARLING, ROSE, NMI | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Hicks Kelly, Marianne | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Hicks Kelly, Marianne | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Hicks Kelly, Marianne | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Hicks Kelly, Marianne | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Hicks Kelly, Marianne | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Hicks Kelly, Marianne | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Hicks Kelly, Marianne | I | CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| Hicks Kelly, Marianne | I | CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| PRICE, PETER, E. | I | CHIEF OPERATIONS OFFICER | NA | Control |
| PRICE, PETER, E. | I | CHIEF OPERATING OFFICER | NA | Control |
| PRICE, PETER, E. | I | CHIEF OPERATIONS OFFICER | NA | Control |
| PRICE, PETER, E. | I | CHIEF OPERATIONS OFFICER | NA | Control |
| PRICE, PETER, ERIC | I | CHIEF OPERATING OFFICER | NA | Control |
| PRICE, PETER, ERIC | I | CHIEF OPERATING OFFICER | NA | Control |
| PRICE, PETER, ERIC | I | CHIEF OPERATING OFFICER | NA | Control |
| PRICE, PETER, ERIC | I | CHIEF OPERATING OFFICER | NA | Control |
| PRICE, PETER, ERIC | I | CHIEF OPERATING OFFICER | NA | Control |
| PRICE, PETER, ERIC | I | CHIEF OPERATING OFFICER | NA | Control |
| PRICE, PETER, ERIC | I | CHIEF OPERATING OFFICER | NA | Control |
| PRICE, PETER, ERIC | I | CHIEF OPERATING OFFICER | NA | Control |
| PRICE, PETER, ERIC | I | CHIEF OPERATING OFFICER | NA | Control |
| PRICE, PETER, ERIC | I | CHIEF OPERATING OFFICER | NA | Control |
| PRICE, PETER, ERIC | I | CHIEF OPERATING OFFICER | NA | Control |
| PRICE, PETER, ERIC | I | CHIEF OPERATING OFFICER | NA | Control |
| PRICE, PETER, ERIC | I | CHIEF OPERATING OFFICER | NA | Control |
| PRICE, PETER, ERIC | I | CHIEF OPERATING OFFICER | NA | Control |
| REIF, DAVID, ALAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| REIF, DAVID, ALAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GREENHOUSE, DAVID, MICHAEL | I | VICE PRESIDENT | D | Control |
| GREENHOUSE, DAVID, MICHAEL | I | VICE PRESIDENT | D | Control |
| GREENHOUSE, DAVID, MICHAEL | I | PRESIDENT | D | Control |
| GREENHOUSE, DAVID, MICHAEL | I | PRESIDENT | D | Control |
| GREENHOUSE, DAVID, MICHAEL | I | PRESIDENT | D | Control |
| GREENHOUSE, DAVID, MICHAEL | I | PRESIDENT | D | Control |
| MARXE, AUSTIN, WOLFE | I | PRESIDENT | D | Control |
| MARXE, AUSTIN, WOLFE | I | PRESIDENT | D | Control |
| MARXE, AUSTIN, WOLFE | I | PRESIDENT | D | Control |
| MARXE, AUSTIN, WOLFE | I | PRESIDENT | D | Control |
| MARXE, AUSTIN, WOLFE | I | PRESIDENT | D | Control |
| MARXE, AUSTIN, WOLFE | I | PRESIDENT | D | Control |
| MARXE, AUSTIN, WOLFE | I | PRESIDENT | D | Control |
| MARXE, AUSTIN, WOLFE | I | PRESIDENT | D | Control |
| GREENHOUSE, DAVID, MICHAEL | I | VICE PRESIDENT | C | Control |
| GREENHOUSE, DAVID, MICHAEL | I | VICE PRESIDENT | C | Control |
| GREENHOUSE, DAVID, MICHAEL | I | VICE PRESIDENT | C | Control |
| GREENHOUSE, DAVID, MICHAEL | I | VICE PRESIDENT | C | Control |
| GREENHOUSE, DAVID, MICHAEL | I | VICE PRESIDENT | C | Control |
| GREENHOUSE, DAVID, MICHAEL | I | VICE PRESIDENT | C | Control |
| GREENHOUSE, DAVID, MICHAEL | I | VICE PRESIDENT | C | Control |
| GREENHOUSE, DAVID, MICHAEL | I | VICE PRESIDENT | C | Control |
| GREENHOUSE, DAVID, MICHAEL | I | VICE PRESIDENT | C | Control |
| GREENHOUSE, DAVID, MICHAEL | I | VICE PRESIDENT | C | Control |
| GREENHOUSE, DAVID, MICHAEL | I | VICE PRESIDENT | C | Control |
| GREENHOUSE, DAVID, MICHAEL | I | VICE PRESIDENT | C | Control |
| GREENHOUSE, DAVID, MICHAEL | I | VICE PRESIDENT | C | Control |
| GREENHOUSE, DAVID, MICHAEL | I | VICE PRESIDENT | C | Control |
| GREENHOUSE, DAVID, MICHAEL | I | VICE PRESIDENT | C | Control |
| GREENHOUSE, DAVID, MICHAEL | I | VICE PRESIDENT | C | Control |
| GREENHOUSE, DAVID, MICHAEL | I | VICE PRESIDENT | C | Control |
| MARXE, AUSTIN, WOLFE | I | PRESIDENT | C | Control |
| MARXE, AUSTIN, WOLFE | I | PRESIDENT | C | Control |
| MARXE, AUSTIN, WOLFE | I | PRESIDENT | C | Control |
| STETTNER, ADAM, CHARLES | I | OWNER | C | Control |
| STETTNER, ADAM, CHARLES | I | OWNER | C | Control |
| STETTNER, ADAM, CHARLES | I | OWNER | C | Control |
| STETTNER, ADAM, CHARLES | I | OWNER | C | Control |
| STETTNER, ADAM, CHARLES | I | OWNER | C | Control |
| STETTNER, ADAM, CHARLES | I | OWNER | C | Control |
| STETTNER, ADAM, CHARLES | I | OWNER | C | Control |
| STETTNER, ADAM, CHARLES | I | OWNER | C | Control |
| STETTNER, ADAM, CHARLES | I | EXECUTIVE VICE PRESIDENT | C | Control |
| STETTNER, ADAM, CHARLES | I | EXECUTIVE VICE PRESIDENT | C | Control |
| STETTNER, ADAM, CHARLES | I | EXECUTIVE VICE PRESIDENT | C | Control |
| STETTNER, ADAM, CHARLES | I | EXECUTIVE VICE PRESIDENT | C | Control |
| MARXE, AUSTIN, WOLFE | I | PRESIDENT | B | Control |
| MARXE, AUSTIN, WOLFE | I | PRESIDENT | B | Control |
| MARXE, AUSTIN, WOLFE | I | PRESIDENT | B | Control |
| MARXE, AUSTIN, WOLFE | I | PRESIDENT | B | Control |
| MARXE, AUSTIN, WOLFE | I | PRESIDENT | B | Control |
| MARXE, AUSTIN, WOLFE | I | PRESIDENT | B | Control |
| STETTNER, ADAM | I | OWNER | B | Control |
| STETTNER, ADAM, CHARLES | I | OWNER | B | Control |
| STETTNER, ADAM, CHARLES | I | OWNER | B | Control |
| STETTNER, ADAM, CHARLES | I | OWNER | B | Control |
| STETTNER, ADAM, CHARLES | I | OWNER | B | Control |
| STETTNER, ADAM, CHARLES | I | OWNER | B | Control |
| MARXE, AUSTIN, WOLFE | I | PRESIDENT | A | Control |
| MARXE, AUSTIN, WOLFE | I | PRESIDENT | A | Control |
| MARXE, AUSTIN, WOLFE | I | OWNER | A | |
| MARXE, AUSTIN, WOLFE | I | OWNER | A | |
| MARXE, AUSTIN, WOLFE | I | OWNER | A | |
| MARXE, AUSTIN, WOLFE | I | OWNER | A |
Registrations
Federal
IA
Mar 28, 2025 REGISTERED
Address
SPECIAL SITUATIONS FUNDS527 MADISON AVENUE, SUITE 2600
NEW YORK, NY 10022
United States
Phone: 212-319-6670