Fundamental Global Investors, LLC (Charlotte)

Name: Fundamental Global Investors, LLC
Address: 4201 Congress Street, Charlotte, NC, 28209
Telephone: 704-323-6851

Fundamental Global Investors, LLC is a mid-sized advisory firm based in Charlotte. It manages $69.05 million of regulatory assets for 14 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdictions of Florida, North Carolina, and Virgin Islands, U.S..

Fundamental Global Investors 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.

Fundamental Global Investors: assets under management

The assets under management (AUM) of Fundamental Global Investors, LLC is $69.05 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 131% since the beginning of its operation, and $13.06 million of the total AUM is attributable to clients outside of the United States.

The firm manages $69.05 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $4.93 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Fundamental Global Investors, 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 Fundamental Global Investors serves?

The only and largest group of clients of Fundamental Global Investors is pooled investment vehicles with 14 clients and $69.05 million of assets under management. Among the 2 most similar advisory firms, Fundamental Global Investors has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $69.05 million for 14 clients. 35% of the firm’s clients are foreign persons or businesses.

Fundamental Global Investors also advises several private funds. Namely, nine hedge funds, one real estate fund, and two other private funds. The minimum investment commitment required of non-related persons ranges from $0 to $1,000,000.

Careers at Fundamental Global Investors, LLC

The company employs 10 people that are either part- or full-time employees. 40 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.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Joseph Hugh Moglia	Member	1 Jun 2012	25% - 50%	1302369
Daniel Kyle Cerminara	Manager, member, and chief compliance officer	1 Jun 2012	25% - 50%	4202026
Lewis Mckay Johnson	Manager and member	1 Jun 2012	25% - 50%	6095890
Lewis Johnson	Manager and member	1 Jun 2012	25% - 50%	6095890
Jeffrey Lance Sutton	Chief operating officer and chief compliance officer	1 Oct 2015	Other	4244836

Based in Charlotte

The principal office where Fundamental Global Investors, LLC performs its advisory services is located at 4201 Congress Street, Charlotte, NC 28209, which is also the mailing address of the firm. An additional office of the firm is in Mooresville, NC. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 704-323-6851 or by fax 214-509-6080. The normal business hours are 8:00 a.m. to 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at fundamentalglobal.com.