Gam Usa Inc.
- Regulatory AUM
- $1.5B
- Discretionary
- $1.5B
- Clients
- 11
- Avg AUM / client
- $134M
- Accounts
- 11
- Employees
- 14
AUM over time
Annual snapshots from Form ADV filings · as of Jul 02, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Pooled investment vehicles (non-investment companies) | 5 | $547M | 37.1% |
| Pension and profit sharing plans | 2 | $579M | 39.3% |
| Insurance companies | 3 | $266M | 18.0% |
| Corporations and other businesses | 1 | $82.6M | 5.6% |
Private funds (2)
Reported in Form ADV Section 7.B.(1), filing of May 2024 · $243M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Gam Star Mbs Total Return | Securitized Asset Fund | Ireland | $237M | 53 |
| Gam Multibond Abs Pool | Securitized Asset Fund | Luxembourg | $6.1M | 3 |
People (5)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Tinio, Maria, Lourdes | Treasurer / Director | Nov 2021 (5y) | Less than 5% | |
| Samarzija, Aida, Snjezana | Chief Compliance Officer | May 2023 (3y) | Less than 5% | |
| Tan, Nicholas, S | Director | Aug 2023 (3y) | Less than 5% | |
| Walker, Ian, Andrew | Director | Aug 2023 (3y) | Less than 5% | |
| Beevor, Chris | Director | Mar 2024 (2y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Gam (Switzerland) Holding Ag | Shareholder Of Gam Usa | Nov 2021 | A | 75% or more |
| Gam Holding Ag | Shareholder Of Gam (Switzerland) Holding Ag | Nov 2021 | B | ≈ 56.25% – 100% via Gam (Switzerland) Holding Ag |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Gam Holding Ag: 75% – 100% of Gam (Switzerland) Holding Ag × 75% – 100% direct ≈ 56.25% – 100% 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 (2, $243M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Gam Star Mbs Total Return | Securitized Asset Fund | $237M | $10.0K | 53 |
| Gam Multibond Abs Pool | Securitized Asset Fund | $6.1M | $5.0K | 3 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/02/2026 | 2.4 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: SIX EXCHANGE REGULATION AG ("SIX"), THE SWISS LISTING AUTHORITY UPHELD SANCTIONS AGAINST GAM HOLDING AG RELATING TO BREACHING IFRS ACCOUNTING STANDARDS IN CONNECTION WITH ITS ACQUISITION OF CANTAB CAPITAL PARTNERS LLP ("CANTAB") IN 2016. IN CONNECTION WITH THIS ACQUISITION, GAM HOLDING ENTERED INTO A CONTRACTUAL OBLIGATION TO PAY A SHARE OF FUTURE PERFORMANCE FEES TO THE PREVIOUS OWNERS FOR AN INDEFINITE PERIOD OF TIME. GAM HOLDING DID NOT RECOGNIZE THIS CONTRACTUAL OBLIGATION AS A FINANCIAL LIABILITY IN THE CONSOLIDATED INCOME STATEMENT OF THE 2017 IFRS FINANCIAL STATEMENTS AND INSTEAD DISCLOSED THIS OBLIGATION AS A CONTINGENT LIABILITY. Status: Final Sanction Detail: ADDITIONAL MONETARY FINE OF CHF 100,000 RELATING TO COSTS OF THE FINE. Summary: GAM HOLDING AG HELD A DIFFERENT POINT OF VIEW IN GOOD FAITH OF THIS TECHNICAL ACCOUNTING MATTER, DUE IN PART TO EXTERNAL AND INDEPENDENT EXPERT ADVICE. HOWEVER, GAM HOLDING AG DECIDED TO ACCEPT THE DECISION MADE BY SIX'S SANCTIONS COMMISSION AND PAY THE RELATED FINANCIAL PENALTY OF CHF 400,000 (CONVERTED TO USD 425,059.38) AND COSTS OF APPROXIMATELY CHF 100,000. AS A RESULT OF THIS DECISION, GAM HOLDING AG IS REQUIRED TO RECOGNISE THE FINANCIAL LIABILITY RELATING TO THE ACQUISITION OF CANTAB AT FAIR VALUE AND HAS RESTATED IMPACTED HISTORICAL COMPARATIVE AMOUNTS IN THE FOLLOWING CONSOLIDATED FINANCIAL STATEMENTS.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- Northern Trust $538M (37% of AUM) Jul 2026
- Abn Amro Clearing Bank N.V. $304M (10% of AUM) Nov 2019
- Bank Of America, National Association $242M (16% of AUM) Jul 2026
- J.P. Morgan $189M (8% of AUM) Nov 2020
- BNY Mellon $147M (10% of AUM) Jul 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: Jul 02, 2026.
View current Form ADV (SEC/IAPD) ↗