GAM USA INC.
CRD #110458 SEC #801-35671 NEW YORK, NY 212-407-4600
SEC Registered Private Funds
Total AUM
$1.1B
Discretionary
$1.1B
Employees
11
Clients
--
Accounts
11
Firm Details
- Organization Type
- Corporation
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Dec 22, 2025
- Branch Offices
- 3
- LEI
- 549300WP1O89C2V9GG22
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ABATE, JAMES, ALBERT | I | INVESTMENT DIRECTOR | NA | |
| ABATE, JAMES, ALBERT | I | INVESTMENT DIRECTOR | NA | |
| ABATE, JAMES, ALBERT | I | INVESTMENT DIRECTOR | NA | |
| ABATE, JAMES, ALBERT | I | INVESTMENT DIRECTOR | NA | |
| ABATE, JAMES, ALBERT | I | INVESTMENT DIRECTOR | NA | |
| ABATE, JAMES, ALBERT | I | INVESTMENT DIRECTOR | NA | |
| ABATE, JAMES, ALBERT | I | INVESTMENT DIRECTOR | NA | |
| ABATE, JAMES, ALBERT | I | INVESTMENT DIRECTOR | NA | |
| ALLESSIE, JOSEPH | I | GENERAL COUNSEL, SECRETARY AND CHIEF COMPLIANCE OFFICER | NA | |
| ALLESSIE, JOSEPH | I | GENERAL COUNSEL, SECRETARY AND CHIEF COMPLIANCE OFFICER | NA | |
| ALLESSIE, JOSEPH | I | GENERAL COUNSEL, SECRETARY AND CHIEF COMPLIANCE OFFICER | NA | |
| ANDERSON, DAVID, ALAN | I | DIRECTOR, MANAGING DIRECTOR - CLIENTS - AMERICAS | NA | Control |
| ANDERSON, DAVID, ALAN | I | DIRECTOR, MANAGING DIRECTOR - CLIENTS - AMERICAS | NA | Control |
| ANDERSON, DAVID, ALAN | I | DIRECTOR, MANAGING DIRECTOR - CLIENTS - AMERICAS | NA | Control |
| ANDERSON, DAVID, ALAN | I | DIRECTOR, MANAGING DIRECTOR - CLIENTS - AMERICAS | NA | Control |
| ANDERSON, DAVID, ALAN | I | DIRECTOR, MANAGING DIRECTOR - CLIENTS - AMERICAS | NA | Control |
| ARROYO, EVELYN, PAULINA | I | VICE PRESIDENT, DIRECTOR OF PRIVATE ACCOUNTS | NA | |
| ARROYO, EVELYN, PAULINA | I | VICE PRESIDENT, DIRECTOR OF PRIVATE ACCOUNTS | NA | |
| ARROYO, EVELYN, PAULINA | I | VICE PRESIDENT, DIRECTOR OF PRIVATE ACCOUNTS | NA | |
| ARROYO, EVELYN, PAULINA | I | VICE PRESIDENT, DIRECTOR OF PRIVATE ACCOUNTS | NA | |
| ARROYO, EVELYN, PAULINA | I | VICE PRESIDENT, DIRECTOR OF PRIVATE ACCOUNTS | NA | |
| ARROYO, EVELYN, PAULINA | I | VICE PRESIDENT, DIRECTOR OF PRIVATE ACCOUNTS | NA | |
| ARROYO, EVELYN, PAULINA | I | VICE PRESIDENT, DIRECTOR OF PRIVATE ACCOUNTS | NA | |
| ARROYO, EVELYN, PAULINA | I | VICE PRESIDENT, DIRECTOR OF PRIVATE ACCOUNTS | NA | |
| ARROYO, EVELYN, PAULINA | I | VICE PRESIDENT, DIRECTOR OF PRIVATE ACCOUNTS | NA | |
| BESSEL, MICHAEL, JOSEPH | I | ASSOCIATE GENERAL COUNSEL AND COMPLIANCE MANAGER | NA | |
| BESSEL, MICHAEL, JOSEPH | I | ASSOCIATE GENERAL COUNSEL AND COMPLIANCE MANAGER | NA | |
| BESSEL, MICHAEL, JOSEPH | I | ASSOCIATE GENERAL COUNSEL, ASSISTANT SECRETARY AND CHIEF COMPLIANCE OFFICER | NA | |
| BESSEL, MICHAEL, JOSEPH | I | ASSOCIATE GENERAL COUNSEL, SECRETARY AND CHIEF COMPLIANCE OFFICER | NA | |
| BLANCHFIELD, KEVIN, JOHN | I | DIRECTOR, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER | NA | Control |
| BLANCHFIELD, KEVIN, JOHN | I | DIRECTOR, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER | NA | Control |
| BLANCHFIELD, KEVIN, JOHN | I | DIRECTOR, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER | NA | Control |
| BLANCHFIELD, KEVIN, JOHN | I | DIRECTOR, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER | NA | Control |
| BLANCHFIELD, KEVIN, JOHN | I | DIRECTOR, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER | NA | Control |
| BRODHEIM, DEBORAH, ANN | I | SENIOR VICE PRESIDENT, PRIVATE CLIENTS AND PORTFOLIO MANAGEMENT | NA | |
| BRODHEIM, DEBORAH, ANN | I | SENIOR VICE PRESIDENT, PRIVATE CLIENTS AND PORTFOLIO MANAGEMENT | NA | |
| BRODHEIM, DEBORAH, ANN | I | SENIOR VICE PRESIDENT, PRIVATE CLIENTS AND PORTFOLIO MANAGEMENT | NA | |
| BRODHEIM, DEBORAH, ANN | I | VICE PRESIDENT, DIRECTOR OF PRIVATE ACCOUNTS | NA | |
| BRODHEIM, DEBORAH, ANN | I | VICE PRESIDENT, DIRECTOR OF PRIVATE ACCOUNTS | NA | |
| BRODHEIM, DEBORAH, ANN | I | SENIOR VICE PRESIDENT, PRIVATE CLIENTS AND PORTFOLIO MANAGEMENT | NA | |
| BRODHEIM, DEBORAH, ANN | I | SENIOR VICE PRESIDENT, PRIVATE CLIENTS AND PORTFOLIO MANAGEMENT | NA | |
| BRODHEIM, DEBORAH, ANN | I | VICE PRESIDENT, DIRECTOR OF PRIVATE ACCOUNTS | NA | |
| BRODHEIM, DEBORAH, ANN | I | VICE PRESIDENT, DIRECTOR OF PRIVATE ACCOUNTS | NA | |
| BRODHEIM, DEBORAH, ANN | I | VICE PRESIDENT, DIRECTOR OF PRIVATE ACCOUNTS | NA | |
| BROWNELL, CRAIG, WILLIAM | I | DIRECTOR, INSTITUTIONAL DIVISION | NA | |
| BROWNELL, CRAIG, WILLIAM | I | DIRECTOR, INSTITUTIONAL DIVISION | NA | |
| BROWNELL, CRAIG, WILLIAM | I | DIRECTOR, INSTITUTIONAL DIVISION | NA | |
| BROWNELL, CRAIG, WILLIAM | I | DIRECTOR, INSTITUTIONAL DIVISION | NA | |
| Beevor, Chris | I | CHIEF COMPLIANCE OFFICER | NA | |
| Beevor, Chris | I | CHIEF COMPLIANCE OFFICER | NA | |
| Beevor, Chris | I | CHIEF COMPLIANCE OFFICER | NA | |
| Beevor, Chris | I | CHIEF COMPLIANCE OFFICER | NA | |
| Beevor, Chris | I | CHIEF COMPLIANCE OFFICER | NA | |
| Beevor, Chris | I | CHIEF COMPLIANCE OFFICER | NA | |
| Beevor, Chris | I | DIRECTOR | NA | Control |
| Beevor, Chris | I | DIRECTOR | NA | Control |
| Beevor, Chris | I | DIRECTOR | NA | Control |
| DANA, TIMOTHY, PIERCE | I | DIRECTOR | NA | Control |
| DANA, TIMOTHY, PIERCE | I | DIRECTOR | NA | Control |
| DANA, TIMOTHY, PIERCE | I | DIRECTOR | NA | Control |
| DANA, TIMOTHY, PIERCE | I | DIRECTOR | NA | Control |
| DANA, TIMOTHY, PIERCE | I | CHAIRMAN AND PRESIDENT | NA | Control |
| DANA, TIMOTHY, PIERCE | I | DIRECTOR | NA | Control |
| DANA, TIMOTHY, PIERCE | I | DIRECTOR | NA | Control |
| DANA, TIMOTHY, PIERCE | I | CHAIRMAN AND PRESIDENT | NA | Control |
| DANA, TIMOTHY, PIERCE | I | DIRECTOR | NA | Control |
| DANA, TIMOTHY, PIERCE | I | CHAIRMAN AND PRESIDENT | NA | Control |
| DANA, TIMOTHY, PIERCE | I | DIRECTOR | NA | Control |
| DANA, TIMOTHY, PIERCE | I | CHAIRMAN AND PRESIDENT | NA | Control |
| DANA, TIMOTHY, PIERCE | I | DIRECTOR | NA | Control |
| DANA, TIMOTHY, PIERCE | I | CHAIRMAN AND PRESIDENT | NA | Control |
| DANA, TIMOTHY, PIERCE | I | DIRECTOR | NA | Control |
| DANA, TIMOTHY, PIERCE | I | CHAIRMAN AND PRESIDENT | NA | Control |
| DURSHT, KENNETH, ADAM | I | DIRECTOR, GENERAL COUNSEL AND SECRETARY | NA | Control |
| DURSHT, KENNETH, ADAM | I | DIRECTOR, GENERAL COUNSEL AND SECRETARY | NA | Control |
| DURSHT, KENNETH, ADAM | I | DIRECTOR, GENERAL COUNSEL AND SECRETARY | NA | Control |
| DURSHT, KENNETH, ADAM | I | DIRECTOR, GENERAL COUNSEL AND SECRETARY | NA | Control |
| DURSHT, KENNETH, ADAM | I | DIRECTOR, GENERAL COUNSEL AND SECRETARY | NA | Control |
| DURSHT, KENNETH, ADAM | I | DIRECTOR, GENERAL COUNSEL AND SECRETARY | NA | Control |
| DURSHT, KENNETH, ADAM | I | DIRECTOR, GENERAL COUNSEL AND SECRETARY | NA | Control |
| DURSHT, KENNETH, ADAM | I | DIRECTOR, GENERAL COUNSEL AND SECRETARY | NA | Control |
| DURSHT, KENNETH, ADAM | I | DIRECTOR, GENERAL COUNSEL AND SECRETARY | NA | Control |
| DURSHT, KENNETH, ADAM | I | DIRECTOR, GENERAL COUNSEL AND SECRETARY | NA | Control |
| DURSHT, KENNETH, ADAM | I | DIRECTOR, GENERAL COUNSEL AND SECRETARY | NA | Control |
| DURSHT, KENNETH, ADAM | I | DIRECTOR, GENERAL COUNSEL AND SECRETARY | NA | Control |
| DURSHT, KENNETH, ADAM | I | DIRECTOR, GENERAL COUNSEL AND SECRETARY | NA | Control |
| DURSHT, KENNETH, ADAM | I | GENERAL COUNSEL AND SECRETARY | NA | |
| DURSHT, KENNETH, ADAM | I | DIRECTOR, GENERAL COUNSEL AND SECRETARY | NA | Control |
| DURSHT, KENNETH, ADAM | I | DIRECTOR, GENERAL COUNSEL AND SECRETARY | NA | Control |
| DURSHT, KENNETH, ADAM | I | DIRECTOR, GENERAL COUNSEL AND SECRETARY | NA | Control |
| DURSHT, KENNETH, ADAM | I | DIRECTOR, GENERAL COUNSEL AND SECRETARY | NA | Control |
| DURSHT, KENNETH, ADAM | I | DIRECTOR, GENERAL COUNSEL AND SECRETARY | NA | Control |
| DURSHT, KENNETH, ADAM | I | DIRECTOR, GENERAL COUNSEL AND SECRETARY | NA | Control |
| DURSHT, KENNETH, ADAM | I | DIRECTOR, GENERAL COUNSEL AND SECRETARY | NA | Control |
| DURSHT, KENNETH, ADAM | I | DIRECTOR, GENERAL COUNSEL AND SECRETARY | NA | Control |
| DURSHT, KENNETH, ADAM | I | DIRECTOR, GENERAL COUNSEL AND SECRETARY | NA | Control |
| DURSHT, KENNETH, ADAM | I | DIRECTOR, GENERAL COUNSEL AND SECRETARY | NA | Control |
| DURSHT, KENNETH, ADAM | I | DIRECTOR, GENERAL COUNSEL AND SECRETARY | NA | Control |
| DURSHT, KENNETH, ADAM | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| DURSHT, KENNETH, ADAM | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| DURSHT, KENNETH, ADAM | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| DURSHT, KENNETH, ADAM | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| EAPEN, JOHN | I | TREASURER | NA | |
| FELSMAN, BRETT, ALAN | I | DIRECTOR, INSTITUTIONAL DIVISION | NA | |
| FELSMAN, BRETT, ALAN | I | DIRECTOR, INSTITUTIONAL DIVISION | NA | |
| FELSMAN, BRETT, ALAN | I | DIRECTOR, INSTITUTIONAL DIVISION | NA | |
| FELSMAN, BRETT, ALAN | I | DIRECTOR, INSTITUTIONAL DIVISION | NA | |
| GIEGER, JOSEPH, FRED | I | MANAGING DIRECTOR, AMERICAS | NA | Control |
| GIEGER, JOSEPH, FRED | I | DIRECTOR | NA | Control |
| GIEGER, JOSEPH, FRED | I | MANAGING DIRECTOR, AMERICAS | NA | Control |
| GIEGER, JOSEPH, FRED | I | DIRECTOR | NA | Control |
| GIEGER, JOSEPH, FRED | I | MANAGING DIRECTOR, AMERICAS | NA | Control |
| GIEGER, JOSEPH, FRED | I | DIRECTOR | NA | Control |
| GIEGER, JOSEPH, FRED | I | MANAGING DIRECTOR, AMERICAS | NA | Control |
| GIEGER, JOSEPH, FRED | I | DIRECTOR | NA | Control |
| GIEGER, JOSEPH, FRED | I | MANAGING DIRECTOR, AMERICAS | NA | Control |
| GIEGER, JOSEPH, FRED | I | DIRECTOR | NA | Control |
| GIEGER, JOSEPH, FRED | I | MANAGING DIRECTOR, AMERICAS | NA | Control |
| GIEGER, JOSEPH, FRED | I | DIRECTOR | NA | Control |
| GIEGER, JOSEPH, FRED | I | MANAGING DIRECTOR, AMERICAS | NA | Control |
| GIEGER, JOSEPH, FRED | I | DIRECTOR | NA | Control |
| GIEGER, JOSEPH, FRED | I | MANAGING DIRECTOR, AMERICAS | NA | Control |
| GIEGER, JOSEPH, FRED | I | DIRECTOR | NA | Control |
| GIEGER, JOSEPH, FRED | I | MANAGING DIRECTOR, AMERICAS | NA | Control |
| GIEGER, JOSEPH, FRED | I | DIRECTOR | NA | Control |
| GIEGER, JOSEPH, FRED | I | MANAGING DIRECTOR, AMERICAS | NA | Control |
| GIEGER, JOSEPH, FRED | I | DIRECTOR | NA | Control |
| GIEGER, JOSEPH, FRED | I | MANAGING DIRECTOR, AMERICAS | NA | Control |
| GIEGER, JOSEPH, FRED | I | DIRECTOR | NA | Control |
| GIEGER, JOSEPH, FRED | I | MANAGING DIRECTOR, AMERICAS | NA | Control |
| GIEGER, JOSEPH, FRED | I | DIRECTOR | NA | Control |
| GIEGER, JOSEPH, FRED | I | MANAGING DIRECTOR, AMERICAS | NA | Control |
| GIEGER, JOSEPH, FRED | I | DIRECTOR | NA | Control |
| GIEGER, JOSEPH, FRED | I | MANAGING DIRECTOR, AMERICAS | NA | Control |
| GIEGER, JOSEPH, FRED | I | DIRECTOR | NA | Control |
| GIEGER, JOSEPH, FRED | I | MANAGING DIRECTOR, AMERICAS | NA | Control |
| GIEGER, JOSEPH, FRED | I | DIRECTOR | NA | Control |
| GIEGER, JOSEPH, FRED | I | MANAGING DIRECTOR, AMERICAS | NA | Control |
| GIEGER, JOSEPH, FRED | I | DIRECTOR | NA | Control |
| GIEGER, JOSEPH, FRED | I | MANAGING DIRECTOR, AMERICAS | NA | Control |
| GIEGER, JOSEPH, FRED | I | DIRECTOR | NA | Control |
| GIEGER, JOSEPH, FRED | I | MANAGING DIRECTOR, AMERICAS | NA | Control |
| GIEGER, JOSEPH, FRED | I | DIRECTOR | NA | Control |
| GIEGER, JOSEPH, FRED | I | MANAGING DIRECTOR, AMERICAS | NA | Control |
| GIEGER, JOSEPH, FRED | I | DIRECTOR | NA | Control |
| GOLDSCHMIDT, JAMES, ANTHONY | I | VICE PRESIDENT, DIRECTOR OF PRIVATE ACCOUNTS | NA | |
| GOLDSCHMIDT, JAMES, ANTHONY | I | VICE PRESIDENT, DIRECTOR OF PRIVATE ACCOUNTS | NA | |
| GOLDSCHMIDT, JAMES, ANTHONY | I | VICE PRESIDENT, DIRECTOR OF PRIVATE ACCOUNTS | NA | |
| GOLDSCHMIDT, JAMES, ANTHONY | I | VICE PRESIDENT, DIRECTOR OF PRIVATE ACCOUNTS | NA | |
| GOLDSCHMIDT, JAMES, ANTHONY | I | VICE PRESIDENT, DIRECTOR OF PRIVATE ACCOUNTS | NA | |
| GOLDSCHMIDT, JAMES, ANTHONY | I | VICE PRESIDENT, DIRECTOR OF PRIVATE ACCOUNTS | NA | |
| GOLDSCHMIDT, JAMES, ANTHONY | I | VICE PRESIDENT, DIRECTOR OF PRIVATE ACCOUNTS | NA | |
| GOLDSCHMIDT, JAMES, ANTHONY | I | VICE PRESIDENT, DIRECTOR OF PRIVATE ACCOUNTS | NA | |
| GOLDSCHMIDT, JAMES, ANTHONY | I | VICE PRESIDENT, DIRECTOR OF PRIVATE ACCOUNTS | NA | |
| GOLDSCHMIDT, JAMES, ANTHONY | I | VICE PRESIDENT, DIRECTOR OF PRIVATE ACCOUNTS | NA | |
| GRESIO, MARIANNE, ELIZABETH | I | DIRECTOR - MANAGING DIRECTOR, BUSINESS DEVELOPMENT - NORTH AMERICA | NA | Control |
| GRESIO, MARIANNE, ELIZABETH | I | DIRECTOR - MANAGING DIRECTOR, BUSINESS DEVELOPMENT - NORTH AMERICA | NA | Control |
| HARTE, FRANCIS, MICHAEL | I | TREASURER | NA | |
| HARTE, FRANCIS, MICHAEL | I | TREASURER | NA | |
| HARTE, FRANCIS, MICHAEL | I | TREASURER | NA | |
| HARTE, FRANCIS, MICHAEL | I | TREASURER | NA | |
| HIGGINSON, ANDREW, DAVID | I | DIRECTOR | NA | Control |
| HOVENCAMP, KRISTIN, W | I | DIRECTOR-INSTITUTIONAL | NA | |
| HOVENCAMP, KRISTIN, W | I | DIRECTOR-INSTITUTIONAL | NA | |
| HOVENCAMP, KRISTIN, W | I | DIRECTOR-INSTITUTIONAL | NA | |
| HOVENCAMP, KRISTIN, W | I | DIRECTOR-INSTITUTIONAL | NA | |
| HOVENCAMP, KRISTIN, W | I | DIRECTOR-INSTITUTIONAL | NA | |
| INGRAM, SHARON, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| INGRAM, SHARON, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| INGRAM, SHARON, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| INGRAM, SHARON, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| INGRAM, SHARON, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| INGRAM, SHARON, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| INGRAM, SHARON, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| INGRAM, SHARON, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| INGRAM, SHARON, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| INGRAM, SHARON, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| INGRAM, SHARON, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| INGRAM, SHARON, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| INGRAM, SHARON, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| INGRAM, SHARON, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| INGRAM, SHARON, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| INGRAM, SHARON, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| INGRAM, SHARON, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| INGRAM, SHARON, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| INGRAM, SHARON, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| INGRAM, SHARON, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| INGRAM, SHARON, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| INGRAM, SHARON, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| INGRAM, SHARON, ANN | I | DIRECTOR | NA | Control |
| INGRAM, SHARON, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| INGRAM, SHARON, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| INGRAM, SHARON, ANN | I | DIRECTOR | NA | Control |
| LENHARDT, BENJAMIN, FRANKLIN | I | DIRECTOR | NA | Control |
| MCPHEE, JAIME, MELISSA | I | ASSOCIATE COUNSEL, CHIEF COMPLIANCE OFFICER AND ASSISTANT SECRETARY | NA | |
| MCPHEE, JAIME, MELISSA | I | ASSOCIATE COUNSEL, CHIEF COMPLIANCE OFFICER AND ASSISTANT SECRETARY | NA | |
| MCPHEE, JAIME, MELISSA | I | ASSOCIATE COUNSEL, CHIEF COMPLIANCE OFFICER AND ASSISTANT SECRETARY | NA | |
| MCPHEE, JAIME, MELISSA | I | ASSOCIATE COUNSEL, CHIEF COMPLIANCE OFFICER AND ASSISTANT SECRETARY | NA | |
| MCPHEE, JAIME, MELISSA | I | ASSOCIATE COUNSEL, CHIEF COMPLIANCE OFFICER AND ASSISTANT SECRETARY | NA | |
| MCPHEE, JAIME, MELISSA | I | ASSOCIATE COUNSEL, CHIEF COMPLIANCE OFFICER AND ASSISTANT SECRETARY | NA | |
| MCPHEE, JAIME, MELISSA | I | ASSOCIATE COUNSEL, CHIEF COMPLIANCE OFFICER AND ASSISTANT SECRETARY | NA | |
| MCPHEE, JAIME, MELISSA | I | ASSOCIATE COUNSEL, CHIEF COMPLIANCE OFFICER AND ASSISTANT SECRETARY | NA | |
| MCPHEE, JAIME, MELISSA | I | ASSOCIATE COUNSEL, CHIEF COMPLIANCE OFFICER AND ASSISTANT SECRETARY | NA | |
| MOSTARAC, PETAR, KRIS | I | DIRECTOR | NA | Control |
| MOSTARAC, PETAR, KRIS | I | DIRECTOR | NA | Control |
| MOSTARAC, PETAR, KRIS | I | DIRECTOR | NA | Control |
| MOSTARAC, PETAR, KRIS | I | DIRECTOR | NA | Control |
| MOSTARAC, PETAR, KRIS | I | DIRECTOR | NA | Control |
| MOSTARAC, PETAR, KRIS | I | DIRECTOR | NA | Control |
| MOSTARAC, PETAR, KRIS | I | DIRECTOR | NA | Control |
| MOSTARAC, PETAR, KRIS | I | DIRECTOR | NA | Control |
| MOSTARAC, PETAR, KRIS | I | DIRECTOR | NA | Control |
| MOSTARAC, PETAR, KRIS | I | DIRECTOR | NA | Control |
| POSCHADEL, BURKHARD | I | DIRECTOR | NA | Control |
| POSCHADEL, BURKHARD | I | DIRECTOR | NA | Control |
| POSCHADEL, BURKHARD | I | DIRECTOR | NA | Control |
| POSCHADEL, BURKHARD | I | DIRECTOR | NA | Control |
| POSCHADEL, BURKHARD | I | DIRECTOR | NA | Control |
| RANCICH, JOHN, MICHAEL | I | TREASURER | NA | |
| RANCICH, JOHN, MICHAEL | I | TREASURER | NA | |
| RANCICH, JOHN, MICHAEL | I | TREASURER | NA | |
| RANCICH, JOHN, MICHAEL | I | TREASURER | NA | |
| RANCICH, JOHN, MICHAEL | I | TREASURER | NA | |
| RANCICH, JOHN, MICHAEL | I | TREASURER | NA | |
| RANCICH, JOHN, MICHAEL | I | TREASURER | NA | |
| RANCICH, JOHN, MICHAEL | I | TREASURER | NA | |
| RANCICH, JOHN, MICHAEL | I | TREASURER | NA | |
| RANCICH, JOHN, MICHAEL | I | TREASURER | NA | |
| RANCICH, JOHN, MICHAEL | I | TREASURER | NA | |
| RANCICH, JOHN, MICHAEL | I | TREASURER | NA | |
| RANCICH, JOHN, MICHAEL | I | TREASURER | NA | |
| RANCICH, JOHN, MICHAEL | I | TREASURER | NA | |
| RANCICH, JOHN, MICHAEL | I | TREASURER | NA | |
| RANCICH, JOHN, MICHAEL | I | TREASURER | NA | |
| RANCICH, JOHN, MICHAEL | I | TREASURER | NA | |
| RANCICH, JOHN, MICHAEL | I | TREASURER | NA | |
| RANCICH, JOHN, MICHAEL | I | TREASURER | NA | |
| RANCICH, JOHN, MICHAEL | I | TREASURER | NA | |
| RIGGIN, TERESA, BUNN | I | DIRECTOR | NA | Control |
| RIGGIN, TERESA, BUNN | I | SENIOR VICE PRESIDENT | NA | Control |
| RIGGIN, TERESA, BUNN | I | DIRECTOR | NA | Control |
| RIGGIN, TERESA, BUNN | I | SENIOR VICE PRESIDENT | NA | Control |
| RIGGIN, TERESA, BUNN | I | DIRECTOR | NA | Control |
| RIGGIN, TERESA, BUNN | I | SENIOR VICE PRESIDENT | NA | Control |
| RIGGIN, TERESA, BUNN | I | DIRECTOR | NA | Control |
| RIGGIN, TERESA, BUNN | I | SENIOR VICE PRESIDENT | NA | Control |
| RIGGIN, TERESA, BUNN | I | DIRECTOR | NA | Control |
| RIGGIN, TERESA, BUNN | I | SENIOR VICE PRESIDENT | NA | Control |
| RIGGIN, TERESA, BUNN | I | DIRECTOR | NA | Control |
| RIGGIN, TERESA, BUNN | I | SENIOR VICE PRESIDENT | NA | Control |
| RIGGIN, TERESA, BUNN | I | DIRECTOR | NA | Control |
| RIGGIN, TERESA, BUNN | I | SENIOR VICE PRESIDENT | NA | Control |
| RIGGIN, TERESA, BUNN | I | DIRECTOR | NA | Control |
| RIGGIN, TERESA, BUNN | I | SENIOR VICE PRESIDENT | NA | Control |
| RIGGIN, TERESA, BUNN | I | DIRECTOR | NA | Control |
| RIGGIN, TERESA, BUNN | I | SENIOR VICE PRESIDENT | NA | Control |
| RIGGIN, TERESA, BUNN | I | DIRECTOR | NA | Control |
| RIGGIN, TERESA, BUNN | I | SENIOR VICE PRESIDENT | NA | Control |
| RIGGIN, TERESA, BUNN | I | DIRECTOR | NA | Control |
| RIGGIN, TERESA, BUNN | I | SENIOR VICE PRESIDENT | NA | Control |
| RIGGIN, TERESA, BUNN | I | DIRECTOR | NA | Control |
| RIGGIN, TERESA, BUNN | I | SENIOR VICE PRESIDENT | NA | Control |
| RIGGIN, TERESA, BUNN | I | DIRECTOR | NA | Control |
| RIGGIN, TERESA, BUNN | I | SENIOR VICE PRESIDENT | NA | Control |
| RIGGIN, TERESA, BUNN | I | DIRECTOR | NA | Control |
| RIGGIN, TERESA, BUNN | I | SENIOR VICE PRESIDENT | NA | Control |
| RIGGIN, TERESA, BUNN | I | DIRECTOR | NA | Control |
| RIGGIN, TERESA, BUNN | I | SENIOR VICE PRESIDENT | NA | Control |
| RIGGIN, TERESA, BUNN | I | DIRECTOR | NA | Control |
| RIGGIN, TERESA, BUNN | I | SENIOR VICE PRESIDENT | NA | Control |
| RIGGIN, TERESA, BUNN | I | DIRECTOR | NA | Control |
| RIGGIN, TERESA, BUNN | I | SENIOR VICE PRESIDENT | NA | Control |
| RIGGIN, TERESA, BUNN | I | DIRECTOR | NA | Control |
| RIGGIN, TERESA, BUNN | I | SENIOR VICE PRESIDENT | NA | Control |
| RIGGIN, TERESA, BUNN | I | DIRECTOR | NA | Control |
| RIGGIN, TERESA, BUNN | I | SENIOR VICE PRESIDENT | NA | Control |
| RIGGIN, TERESA, BUNN | I | DIRECTOR | NA | Control |
| RIGGIN, TERESA, BUNN | I | SENIOR VICE PRESIDENT | NA | Control |
| RIGGIN, TERESA, BUNN | I | DIRECTOR | NA | Control |
| RIGGIN, TERESA, BUNN | I | SENIOR VICE PRESIDENT | NA | Control |
| RIGGIN, TERESA, BUNN | I | DIRECTOR | NA | Control |
| RIGGIN, TERESA, BUNN | I | SENIOR VICE PRESIDENT | NA | Control |
| RIGGIN, TERESA, BUNN | I | DIRECTOR | NA | Control |
| RIGGIN, TERESA, BUNN | I | SENIOR VICE PRESIDENT | NA | Control |
| RIGGIN, TERESA, BUNN | I | DIRECTOR | NA | Control |
| RIGGIN, TERESA, BUNN | I | SENIOR VICE PRESIDENT | NA | Control |
| RIGGIN, TERESA, BUNN | I | DIRECTOR | NA | Control |
| RIGGIN, TERESA, BUNN | I | SENIOR VICE PRESIDENT | NA | Control |
| RIGGIN, TERESA, BUNN | I | DIRECTOR | NA | Control |
| RIGGIN, TERESA, BUNN | I | SENIOR VICE PRESIDENT | NA | Control |
| RIGGIN, TERESA, BUNN | I | SENIOR VICE PRESIDENT | NA | Control |
| RIGGIN, TERESA, BUNN | I | DIRECTOR | NA | Control |
| RIGGIN, TERESA, BUNN | I | DIRECTOR | NA | Control |
| RIGGIN, TERESA, BUNN | I | SENIOR VICE PRESIDENT | NA | Control |
| RIGGIN, TERESA, BUNN | I | DIRECTOR | NA | Control |
| RIGGIN, TERESA, BUNN | I | SENIOR VICE PRESIDENT | NA | Control |
| Rainsford, Timothy, Cameron | I | DIRECTOR | NA | Control |
| SAMARZIJA, AIDA, SNJEZANA | I | CHIEF COMPLIANCE OFFICER | NA | |
| SAMARZIJA, AIDA, SNJEZANA | I | CHIEF COMPLIANCE OFFICER | NA | |
| SAMARZIJA, AIDA, SNJEZANA | I | CHIEF COMPLIANCE OFFICER | NA | |
| SAMARZIJA, AIDA, SNJEZANA | I | CHIEF COMPLIANCE OFFICER | NA | |
| SAMARZIJA, AIDA, SNJEZANA | I | CHIEF COMPLIANCE OFFICER | NA | |
| SAMARZIJA, AIDA, SNJEZANA | I | CHIEF COMPLIANCE OFFICER | NA | |
| SAMARZIJA, AIDA, SNJEZANA | I | CHIEF COMPLIANCE OFFICER | NA | |
| TAN, NICHOLAS, S | I | DIRECTOR | NA | Control |
| TAN, NICHOLAS, S | I | DIRECTOR | NA | Control |
| TAN, NICHOLAS, S | I | DIRECTOR | NA | Control |
| TAN, NICHOLAS, S | I | DIRECTOR | NA | Control |
| TAN, NICHOLAS, S | I | DIRECTOR | NA | Control |
| TINIO, MARIA, LOURDES | I | TREASURER | NA | |
| TINIO, MARIA, LOURDES | I | TREASURER | NA | |
| TINIO, MARIA, LOURDES | I | TREASURER | NA | |
| TINIO, MARIA, LOURDES | I | TREASURER | NA | |
| TINIO, MARIA, LOURDES | I | TREASURER | NA | |
| TINIO, MARIA, LOURDES | I | TREASURER | NA | |
| TINIO, MARIA, LOURDES | I | TREASURER | NA | |
| TINIO, MARIA, LOURDES | I | TREASURER | NA | |
| TINIO, MARIA, LOURDES | I | TREASURER | NA | |
| TINIO, MARIA, LOURDES | I | TREASURER / DIRECTOR | NA | Control |
| TINIO, MARIA, LOURDES | I | TREASURER | NA | |
| TINIO, MARIA, LOURDES | I | TREASURER / DIRECTOR | NA | Control |
| TINIO, MARIA, LOURDES | I | TREASURER / DIRECTOR | NA | Control |
| TINIO, MARIA, LOURDES | I | TREASURER / DIRECTOR | NA | Control |
| Tan, Nicholas, S | I | DIRECTOR | NA | Control |
| WALKER, IAN, ANDREW | I | DIRECTOR | NA | Control |
| WALKER, IAN, ANDREW | I | DIRECTOR | NA | Control |
| WALKER, IAN, ANDREW | I | DIRECTOR | NA | Control |
| WALKER, IAN, ANDREW | I | DIRECTOR | NA | Control |
| WALKER, IAN, ANDREW | I | DIRECTOR | NA | Control |
| Zhang-Lee, Carrie | I | TREASURER | NA | |
| Zhang-Lee, Carrie | I | TREASURER | NA | |
| Zhang-Lee, Carrie | I | TREASURER | NA | |
| GAM (SWITZERLAND) HOLDING AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM (SWITZERLAND) HOLDING AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM (SWITZERLAND) HOLDING AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM (SWITZERLAND) HOLDING AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM (SWITZERLAND) HOLDING AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM (SWITZERLAND) HOLDING AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM (SWITZERLAND) HOLDING AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM (SWITZERLAND) HOLDING AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM (SWITZERLAND) HOLDING AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM (SWITZERLAND) HOLDING AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM (SWITZERLAND) HOLDING AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM (SWITZERLAND) HOLDING AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM (SWITZERLAND) HOLDING AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM (SWITZERLAND) HOLDING AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM ADMIN B.V. ("GABV") | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM GROUP AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM GROUP AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM GROUP AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM GROUP AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM GROUP AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM GROUP AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM GROUP AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM GROUP AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM GROUP AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM GROUP AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM GROUP AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM GROUP AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM GROUP AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM GROUP AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM GROUP AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM GROUP AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM GROUP AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM GROUP AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM GROUP AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM GROUP AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM GROUP AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM HOLDING AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM HOLDING AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM HOLDING AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM HOLDING AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM HOLDING AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM HOLDING AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM HOLDING AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM HOLDING AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM HOLDING AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM HOLDING AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM HOLDING AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM HOLDING AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM HOLDING AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM HOLDING AG | FE | SHAREHOLDER OF GAM USA | E | Control |
| GAM HOLDING AG | FE | SHAREHOLDER OF GAM USA | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| GAM GROUP AG | FE | GAM USA INC. | E | Control |
| GAM GROUP AG | FE | GAM USA INC. | E | Control |
| GAM GROUP AG | FE | GAM USA INC. | E | Control |
| GAM GROUP AG | FE | GAM USA INC. | E | Control |
| GAM GROUP AG | FE | GAM USA INC. | E | Control |
| GAM GROUP AG | FE | GAM USA INC. | E | Control |
| GAM GROUP AG | FE | GAM USA INC. | E | Control |
| GAM HOLDING AG | FE | GAM USA INC. | E | Control |
| GAM HOLDING AG | FE | GAM USA INC. | E | Control |
| GAM HOLDING AG | FE | GAM USA INC. | E | Control |
| GAM HOLDING AG | FE | GAM USA INC. | E | Control |
| GAM HOLDING AG | FE | GAM USA INC. | E | Control |
| GAM HOLDING AG | FE | GAM USA INC. | E | Control |
| GAM HOLDING AG | FE | GAM GROUP AG | E | Control |
| GAM HOLDING AG | FE | GAM USA INC. | E | Control |
| GAM HOLDING AG | FE | GAM USA INC. | E | Control |
| GAM HOLDING AG | FE | GAM USA INC. | E | Control |
| GAM HOLDING AG | FE | GAM GROUP AG | E | Control |
| GAM HOLDING AG | FE | GAM GROUP AG | E | Control |
| GAM HOLDING AG | FE | GAM GROUP AG | E | Control |
| GAM HOLDING AG | FE | GAM GROUP AG | E | Control |
| GAM HOLDING AG | FE | GAM GROUP AG | E | Control |
| GAM HOLDING AG | FE | GAM GROUP AG | E | Control |
| GAM HOLDING AG | FE | GAM GROUP AG | E | Control |
| GAM HOLDING AG | FE | GAM GROUP AG | E | Control |
| GAM HOLDING AG | FE | GAM GROUP AG | E | Control |
| GAM HOLDING AG | FE | GAM GROUP AG | E | Control |
| GAM HOLDING AG | FE | GAM GROUP AG | E | Control |
| GAM HOLDING AG | FE | GAM GROUP AG | E | Control |
| GAM HOLDING AG | FE | GAM GROUP AG | E | Control |
| GAM HOLDING AG | FE | GAM GROUP AG | E | Control |
| GAM HOLDING AG | FE | GAM GROUP AG | E | Control |
| GAM HOLDING AG | FE | GAM GROUP AG | E | Control |
| GAM HOLDING AG | FE | GAM GROUP AG | E | Control |
| GAM HOLDING AG | FE | GAM GROUP AG | E | Control |
| GAM HOLDING AG | FE | GAM GROUP AG | E | Control |
| GAM HOLDING AG | FE | GAM (SWITZERLAND) HOLDING AG | E | Control |
| GAM HOLDING AG | FE | GAM (SWITZERLAND) HOLDING AG | E | Control |
| GAM HOLDING AG | FE | GAM (SWITZERLAND) HOLDING AG | E | Control |
| GAM HOLDING AG | FE | GAM (SWITZERLAND) HOLDING AG | E | Control |
| GAM HOLDING AG | FE | GAM (SWITZERLAND) HOLDING AG | E | Control |
| GAM HOLDING AG | FE | GAM (SWITZERLAND) HOLDING AG | E | Control |
| GAM HOLDING AG | FE | GAM (SWITZERLAND) HOLDING AG | E | Control |
| GAM HOLDING AG | FE | GAM (SWITZERLAND) HOLDING AG | E | Control |
| GAM HOLDING AG | FE | GAM (SWITZERLAND) HOLDING AG | E | Control |
| GAM HOLDING AG | FE | GAM (SWITZERLAND) HOLDING AG | E | Control |
| GAM HOLDING AG | FE | GAM (SWITZERLAND) HOLDING AG | E | Control |
| GAM HOLDING LIMITED | FE | GAM GROUP AG | E | Control |
| GLOBAL ASSET MANAGEMENT GAM SARL ("GAMSR") | FE | GAM ADMIN B.V. | E | Control |
| GLOBAL ASSET MANAGEMENT LTD. ("GAML") | FE | GREENPARK MANAGEMENT N.V. | E | Control |
| GREENPARK MANAGEMENT N.V. ("GMNV") | FE | GLOBAL ASSET MANAGEMENT GAM SARL | E | Control |
| JULIUS BAER HOLDING AG | FE | GAM HOLDING AG | E | Control |
| JULIUS BAER HOLDING AG | FE | GAM HOLDING AG | E | Control |
| JULIUS BAER HOLDING AG | FE | GAM HOLDING AG | E | Control |
| JULIUS BAER HOLDING AG | FE | GAM HOLDING AG | E | Control |
| JULIUS BAER HOLDING AG | FE | GAM HOLDING AG | E | Control |
| JULIUS BAER HOLDING AG | FE | GAM HOLDING AG | E | Control |
| JULIUS BAER HOLDING AG | FE | GAM HOLDING AG | E | Control |
| JULIUS BAER HOLDING AG | FE | GAM HOLDING AG | E | Control |
| JULIUS BAER HOLDING AG | FE | GAM HOLDING AG | E | Control |
| SBC WEALTH MANAGEMENT AG | FE | GAM HOLDING AG | E | Control |
| SBC WEALTH MANAGEMENT AG | FE | GAM HOLDING AG | E | Control |
| SBC WEALTH MANAGEMENT AG | FE | GAM HOLDING AG | E | Control |
| SBC WEALTH MANAGEMENT AG | FE | GAM HOLDING AG | E | Control |
| SBC WEALTH MANAGEMENT AG | FE | GAM HOLDING AG | E | Control |
| SBC WEALTH MANAGEMENT AG | FE | GAM HOLDING AG | E | Control |
| UBS AG | FE | SBC WEALTH MANAGEMENT AG | E | Control |
| UBS AG | FE | SBC WEALTH MANAGEMENT AG | E | Control |
| UBS AG | FE | SBC WEALTH MANAGEMENT AG | E | Control |
| UBS AG | FE | SBC WEALTH MANAGEMENT AG | E | Control |
| UBS AG | FE | SBC WEALTH MANAGEMENT AG | E | Control |
| UBS AG | FE | SBC WEALTH MANAGEMENT AG | E | Control |
| UBS AG | FE | GLOBAL ASSET MANAGEMENT LIMITED | E | Control |
Registrations
Federal
IA
Dec 22, 2025 REGISTERED
Notice Filings (22)
CA CT DE FL GA IL KY LA MA NC NH NJ NY OH PA RI TN TX UT VA WA WV
Address
600 FIFTH AVENUESUITE 200
NEW YORK, NY 10020
United States
Phone: 212-407-4600