J.H. WHITNEY INVESTMENT MANAGEMENT, LLC
CRD #137542 SEC #801-65465 NEW YORK, NY 212-835-1950
SEC Registered Private Funds
Total AUM
$312.9M
Discretionary
$130.6M
Employees
11
Clients
--
Accounts
9
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 30, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| CURLEY, KEVIN, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| IAMICELI, DANIEL, CHRISTOPHER | I | CHIEF FINANCIAL OFFICER | NA | |
| IAMICELI, DANIEL, CHRISTOPHER | I | CHIEF FINANCIAL OFFICER | NA | |
| IAMICELI, DANIEL, CHRISTOPHER | I | CHIEF FINANCIAL OFFICER | NA | |
| IAMICELI, DANIEL, CHRISTOPHER | I | CHIEF FINANCIAL OFFICER | NA | |
| IAMICELI, DANIEL, CHRISTOPHER | I | CHIEF FINANCIAL OFFICER | NA | |
| MOSER, ROLAND, CHRISTIAN | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | NA | |
| MOSER, ROLAND, CHRISTIAN | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | NA | |
| MOSER, ROLAND, CHRISTIAN | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER; DIRECTOR (RELYING ADVISER 1) | NA | |
| MOSER, ROLAND, CHRISTIAN | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | NA | |
| MOSER, ROLAND, CHRISTIAN | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | NA | |
| MOSER, ROLAND, CHRISTIAN | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | NA | |
| MOSER, ROLAND, CHRISTIAN | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER; DIRECTOR (RELYING ADVISER 1) | NA | |
| NG, WILLIAM | I | CEO/SENIOR PORTFOLIO MANAGER | NA | Control |
| NG, WILLIAM | I | SENIOR PORTFOLIO MANAGER | NA | Control |
| NG, WILLIAM | I | SENIOR PORTFOLIO MANAGER | NA | Control |
| NG, WILLIAM | I | SENIOR PORTFOLIO MANAGER | NA | Control |
| NG, WILLIAM | I | SENIOR PORTFOLIO MANAGER | NA | Control |
| STONE, MICHAEL, ROBERT | I | CHAIRMAN | NA | Control |
| WAJS, LAURA, KIMBERLY | I | CHIEF COMPLIANCE OFFICER | NA | |
| WAJS, LAURA, KIMBERLY | I | CHIEF COMPLIANCE OFFICER | NA | |
| WAJS, LAURA, KIMBERLY | I | CHIEF COMPLIANCE OFFICER | NA | |
| WAJS, LAURA, KIMBERLY | I | CHIEF COMPLIANCE OFFICER | NA | |
| ZEMLANICKY, PATRICIA | I | CHIEF FINANCIAL OFFICER | NA | |
| J.H. WHITNEY INVESTMENT MANAGEMENT, LLC | DE | SOLE SHAREHOLDER (OF THE RELYING ADVISER 1) AND MANAGING MEMBER (OF THE RELYING ADVISERS 2 AND 3) | E | Control |
| J.H. WHITNEY INVESTMENT MANAGEMENT, LLC | DE | SOLE SHAREHOLDER (OF THE RELYING ADVISER 1) AND MANAGING MEMBER (OF THE RELYING ADVISERS 2 AND 3) | E | Control |
| J.H. WHITNEY INVESTMENT MANAGEMENT, LLC | DE | SOLE SHAREHOLDER (OF THE RELYING ADVISER 1) AND MANAGING MEMBER (OF THE RELYING ADVISERS 2 AND 3) | E | Control |
| JHWIM MANAGEMENT HOLDINGS, LLC | DE | NON-MANAGING MEMBER | D | |
| JHWIM MANAGEMENT HOLDINGS, LLC | DE | OWNER | D | Control |
| JHWIM MANAGEMENT HOLDINGS, LLC | DE | NON-MANAGING MEMBER | D | |
| JHWIM MANAGEMENT HOLDINGS, LLC | DE | NON-MANAGING MEMBER | D | |
| CASTLEMAN, PETER, MUIR | I | MEMBER | C | Control |
| JHWIM MANAGEMENT HOLDINGS, LLC | DE | NON-MANAGING MEMBER | C | |
| JHWIM MANAGEMENT HOLDINGS, LLC | DE | NON-MANAGING MEMBER | C | |
| JHWIM MANAGEMENT HOLDINGS, LLC | DE | NON-MANAGING MEMBER | C | |
| JHWIM MANAGEMENT HOLDINGS, LLC | DE | NON-MANAGING MEMBER | C | |
| JHWIM MANAGEMENT HOLDINGS, LLC | DE | NON-MANAGING MEMBER | C | |
| JHWIM MANAGEMENT HOLDINGS, LLC | DE | NON-MANAGING MEMBER | C | |
| JHWIM MANAGEMENT HOLDINGS, LLC | DE | NON-MANAGING MEMBER | C | |
| JHWIM MANAGEMENT HOLDINGS, LLC | DE | NON-MANAGING MEMBER | C | |
| JHWIM MANAGEMENT HOLDINGS, LLC | DE | NON-MANAGING MEMBER | C | |
| O'CONNOR, JOHN, MICHAEL BASIL | I | PRESIDENT/CHAIRMAN | C | Control |
| O'CONNOR, JOHN, MICHAEL BASIL | I | PRESIDENT/CHAIRMAN | C | Control |
| O'CONNOR, JOHN, MICHAEL BASIL | I | PRESIDENT/CEO | C | Control |
| O'CONNOR, JOHN, MICHAEL BASIL | I | PRESIDENT/CEO | C | Control |
| O'CONNOR, JOHN, MICHAEL BASIL | I | PRESIDENT/CHAIRMAN | C | Control |
| O'CONNOR, JOHN, MICHAEL BASIL | I | PRESIDENT/CEO | C | Control |
| O'CONNOR, JOHN, MICHAEL BASIL | I | PRESIDENT/CEO | C | Control |
| O'CONNOR, JOHN, MICHAEL BASIL | I | PRESIDENT/CHAIRMAN | C | Control |
| O'CONNOR, JOHN, MICHAEL BASIL | I | PRESIDENT/CHAIRMAN; DIRECTOR (RELYING ADVISOR 1); MANAGING MEMBER OF THE MANAGING MEMBER (RELYING ADVISERS 2&3) | C | Control |
| O'CONNOR, JOHN, MICHAEL BASIL | I | PRESIDENT/CHAIRMAN | C | Control |
| O'CONNOR, JOHN, MICHAEL BASIL | I | PRESIDENT/CHAIRMAN | C | Control |
| O'CONNOR, JOHN, MICHAEL BASIL | I | PRESIDENT/CHAIRMAN | C | Control |
| O'CONNOR, JOHN, MICHAEL BASIL | I | CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, MICHAEL BASIL | I | DIRECTOR (RELYING ADVISER 1); MANAGER (RELYING ADVISERS 2 AND 3) | C | Control |
| O'CONNOR, JOHN, MICHAEL BASIL | I | PRESIDENT, CHAIRMAN AND CEO; DIRECTOR (RELYING ADVISER 1); MANAGER (RELYING ADVISERS 2 AND 3) | C | Control |
| STONE, MICHAEL, ROBERT | I | CHAIRMAN | C | Control |
| NG, WILLIAM | I | CEO/SENIOR PORTFOLIO MANAGER | B | Control |
| NG, WILLIAM | I | CEO/SENIOR PORTFOLIO MANAGER/CHIEF COMPLIANCE OFFICER | B | Control |
| NG, WILLIAM | I | CEO/SENIOR PORTFOLIO MANAGER | B | Control |
| NG, WILLIAM | I | CEO/SENIOR PORTFOLIO MANAGER; DIRECTOR (RELYING ADVISOR 1); MANAGING MEMBER OF THE MANAGING MEMBER (RELYING ADVISERS 2&3) | B | Control |
| NG, WILLIAM | I | CEO/SENIOR PORTFOLIO MANAGER | B | Control |
| NG, WILLIAM | I | CEO/SENIOR PORTFOLIO MANAGER | B | Control |
| NG, WILLIAM | I | CEO/SENIOR PORTFOLIO MANAGER | B | Control |
| NG, WILLIAM | I | NON-MANAGING MEMBER | B | |
| NG, WILLIAM | I | NON-MANAGING MEMBER | B |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| CASTLEMAN, PETER, MUIR | I | JHWIM MANAGEMENT HOLDINGS, LLC | D | Control |
| CASTLEMAN, PETER, MUIR | I | JHWIM MANAGEMENT HOLDINGS, LLC | D | Control |
| CASTLEMAN, PETER, MUIR | I | JHWIM MANAGEMENT HOLDINGS, LLC | D | Control |
| CASTLEMAN, PETER, MUIR | I | JHWIM MANAGEMENT HOLDINGS, LLC | D | Control |
| CASTLEMAN, PETER, MUIR | I | JHWIM MANAGEMENT HOLDINGS, LLC | D | Control |
| CASTLEMAN, PETER, MUIR | I | JHWIM MANAGEMENT HOLDINGS, LLC | D | Control |
| CASTLEMAN, PETER, MUIR | I | JHWIM MANAGEMENT HOLDINGS, LLC | D | Control |
| CASTLEMAN, PETER, MUIR | I | JHWIM MANAGEMENT HOLDINGS, LLC | D | Control |
| CASTLEMAN, PETER, MUIR | I | JHWIM MANAGEMENT HOLDINGS, LLC | D | Control |
| STONE, MICHAEL, ROBERT | I | JHWIM MANAGEMENT HOLDINGS, LLC | D | Control |
| STONE, MICHAEL, ROBERT | I | JHWIM MANAGEMENT HOLDINGS, LLC | D | Control |
| STONE, MICHAEL, ROBERT | I | JHWIM MANAGEMENT HOLDINGS, LLC | D | Control |
| STONE, MICHAEL, ROBERT | I | JHWIM MANAGEMENT HOLDINGS, LLC | D | Control |
| STONE, MICHAEL, ROBERT | I | JHWIM MANAGEMENT HOLDINGS, LLC | D | Control |
| STONE, MICHAEL, ROBERT | I | JHWIM MANAGEMENT HOLDINGS, LLC | D | Control |
| STONE, MICHAEL, ROBERT | I | JHWIM MANAGEMENT HOLDINGS, LLC | D | Control |
| STONE, MICHAEL, ROBERT | I | JHWIM MANAGEMENT HOLDINGS, LLC | D | Control |
| STONE, MICHAEL, ROBERT | I | JHWIM MANAGEMENT HOLDINGS, LLC | D | Control |
| CASTLEMAN, PETER, MUIR | I | JHWIM MANAGEMENT HOLDINGS, LLC | C | |
| CASTLEMAN, PETER, MUIR | I | JHWIM MANAGEMENT HOLDINGS, LLC | C | |
| CASTLEMAN, PETER, MUIR | I | JHWIM MANAGEMENT HOLDINGS, LLC | C | |
| CASTLEMAN, PETER, MUIR | I | JHWIM MANAGEMENT HOLDINGS, LLC | C | |
| STONE, MICHAEL, ROBERT | I | JHWIM MANAGEMENT HOLDINGS, LLC | C | |
| STONE, MICHAEL, ROBERT | I | JHWIM MANAGEMENT HOLDINGS, LLC | C | Control |
| STONE, MICHAEL, ROBERT | I | JHWIM MANAGEMENT HOLDINGS, LLC | C | |
| STONE, MICHAEL, ROBERT | I | JHWIM MANAGEMENT HOLDINGS, LLC | C |
Registrations
Federal
IA
Mar 30, 2012 REGISTERED
Notice Filings (3)
CA CT NY
Address
75 ROCKEFELLER PLAZA14TH FLOOR
NEW YORK, NY 10019
United States
Phone: 212-835-1950