Ssi Investment Management Llc
- Regulatory AUM
- $2.6B
- Discretionary
- $2.6B
- Clients
- 79
- Avg AUM / client
- $32.3M
- Accounts
- 79
- Employees
- 25
AUM over time
Annual snapshots from Form ADV filings · as of Mar 28, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 24 | $481M | 18.8% |
| High net worth individuals | 5 | $35.2M | 1.38% |
| Investment companies | 4 | $778M | 30.5% |
| Pension and profit sharing plans | 24 | $341M | 13.3% |
| Charitable organizations | 7 | $76.1M | 2.98% |
| State or municipal government entities | 11 | $566M | 22.1% |
| Insurance companies | 3 | $278M | 10.9% |
| Corporations and other businesses | 1 | $56.0K | 0.0% |
Private funds (1)
Reported in Form ADV Section 7.B.(1), filing of Jul 2024 · $11.3M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Ssi Hedged Convertible Opportunity Fund, L.P. | Hedge Fund | Delaware | $11.3M | 7 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| The Bobrick Corporation Profit Sharing Retirement Plan The Bobrick Corporation | 2024 | |
| Hotel Union And Hotel Industry Of Hawaii Pension Plan Board Of Trustees Of The Hotel Union & Hotel Industry Of Hawaii Pensio | 2024 | |
| Hawaii Iron Workers' Pension Plan Board Of Trustees Of Hawaii Iron Workers Pension Trust Fund | Waipahu, HI | 2024 |
| Masons Pension Plan Board Of Trustees Of Masons Pension Trust Fund | Honolulu, HI | 2024 |
| Hawaii Masons And Plasterers Annuity Plan Board Of Trustees Of The Hawaii Masons & Plasterers Annuity Trust Fund | Honolulu, HI | 2024 |
| Catv Industry Ibew Pension Plan Board Of Trustees Of Catv Industry Ibew Pension Plan | 2024 | |
| Federated Mutual Retirement Plan Federated Mutual Insurance Company | 2024 |
People (5)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Douglas, George, Michael | Chief Investment Officer, Managing Principal, Director | May 2019 (7y) | Less than 5% | |
| Malik, Ravi | Portfolio Manager, Principal, Director | May 2019 (7y) | Less than 5% | |
| Mehdi, Syed, Fazal | President, Chief Compliance Officer, Director | May 2019 (7y) | Less than 5% | |
| Harris, Rebecca, Lynn | Director | Apr 2022 (4y) | Less than 5% | |
| Stumm, Gregory, John | Director | Jun 2024 (2y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Resolute Investment Managers, Inc. | Member | May 2019 | A | 50% – 75% |
| Team Ssi Llc | Member | Sep 2020 | A | 25% – 50% |
| Resolute Acquisition, Inc. | Shareholder | Apr 2015 | B | ≈ 37.5% – 75% via Resolute Investment Managers, Inc. |
| Resolute Topco, Inc. | Shareholder | Apr 2015 | B | ≈ 28.13% – 75% via Resolute Acquisition, Inc. |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Resolute Acquisition, Inc.: 75% – 100% of Resolute Investment Managers, Inc. × 50% – 75% direct ≈ 37.5% – 75% of the firm
- Resolute Topco, Inc.: 75% – 100% of Resolute Acquisition, Inc. × 75% – 100% of Resolute Investment Managers, Inc. × 50% – 75% direct ≈ 28.13% – 75% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (1, $11.3M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Ssi Hedged Convertible Opportunity Fund, L.P. | Hedge Fund | $11.3M | $500K | 7 |
From Form ADV Section 7.B private fund reporting.
Retirement plans served (7)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| The Bobrick Corporation Profit Sharing Retirement Plan | The Bobrick Corporation | 703 | $92.3M | 11/01/2024 |
| Hotel Union And Hotel Industry Of Hawaii Pension Plan | Board Of Trustees Of The Hotel Union & Hotel Industry Of Hawaii Pensio | 7,585 | $763M | 08/01/2024 |
| Hawaii Iron Workers' Pension Plan | Board Of Trustees Of Hawaii Iron Workers Pension Trust Fund | 649 | $176M | 04/01/2024 |
| Masons Pension Plan | Board Of Trustees Of Masons Pension Trust Fund | 1,248 | $284M | 03/01/2024 |
| Hawaii Masons And Plasterers Annuity Plan | Board Of Trustees Of The Hawaii Masons & Plasterers Annuity Trust Fund | 1,088 | $127M | 03/01/2024 |
| Catv Industry Ibew Pension Plan | Board Of Trustees Of Catv Industry Ibew Pension Plan | 47 | $98.4M | 01/01/2024 |
| Federated Mutual Retirement Plan | Federated Mutual Insurance Company | 2,699 | $789M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/28/2026 | 1.18 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Other fees
- • A PERCENTAGE OF ASSETS UNDER ADVISEMENT
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Northern Trust $569M (22% of AUM) Mar 2026
- BNY Mellon $506M (20% of AUM) Mar 2026
- Morgan Stanley $276M (12% of AUM) Dec 2020
- J.P. Morgan $200M (8% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 28, 2026.
View current Form ADV (SEC/IAPD) ↗