AUMdb

Alumina Investment Management, Llc

SEC-registered Investment Adviser · Mid-sized ($1B–$10B) CRD 164273 · SEC file 801-76782 · Charlotte, NC · www.linkedin.com
☆ Save with Pro ADV data as of Mar 27, 2026
Regulatory AUM
$5.3B
Discretionary
$0
Clients
Avg AUM / client
Accounts
1
Employees
2

AUM over time

$0 $14.7B
Jun 2012 Dec 2025

Annual snapshots from Form ADV filings · as of Mar 27, 2026

Who they serve

Client typeClientsAUM% of AUM
Banking or thrift institutions Fewer than 5 clients $5.3B 100.0%

People (3)

NameRole / titleCredentialsWith firm sinceOwnership
Kares, Gregory, Alexander Founder/Chief Investment Officer May 2012 (14y) 75% or more
Sterner, Caren, Margaret Chief Financial Officer May 2012 (14y) Less than 5%
Sweeney, Kevin, Patrick Principal/Chief Compliance Officer Jul 2012 (14y) Less than 5%

Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.

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.

Documents (1 archived)

FormPeriodSize
Form ADV (full filing) 03/27/2026 907 KB 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

  • Fixed fees

Services

  • Portfolio management for businesses/institutional clients
  • Other services

Custody

Reported custodians

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 27, 2026.

View current Form ADV (SEC/IAPD) ↗