Bergamot Asset Management Lp
- Regulatory AUM
- $106M
- Discretionary
- $57.6M
- Clients
- 114
- Avg AUM / client
- $934K
- Accounts
- 258
- Employees
- 8
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of May 01, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 48 | $11.1M | 10.4% |
| High net worth individuals | 47 | $60.8M | 57.1% |
| Pooled investment vehicles (non-investment companies) | 7 | $20.2M | 19.0% |
| Charitable organizations | 0 | $6.3M | 5.91% |
| Corporations and other businesses | 12 | $8.0M | 7.55% |
Private funds (2)
Reported in Form ADV Section 7.B.(1), filing of Oct 2020 · $0 combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Bergamot Capital Partners Fund I Lp | Hedge Fund | Delaware | $0 | 0 |
| Bergamot Music Fund I Lp | Private Equity Fund | Delaware | $0 | 0 |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Babar, Frank | Shareholder | Sep 2003 (23y) | ≈ 1.88% – 12.5% via Phase One Network, Inc. | |
| Babar, Lisa | Shareholder | Sep 2003 (23y) | ≈ 1.88% – 12.5% via Phase One Network, Inc. | |
| Cassandra Enriquez Ballo Lally | Chief Compliance Officer | Aug 2019 (7y) | Less than 5% | |
| Liong, Christopher, Neal | Cio, Portfolio Manager | Aug 2019 (7y) | 75% or more | |
| Andy Wing Keung Wong | Registered representative | Dec 2020 (6y) | ||
| Vijay Aluwalia | Registered representative | CFP | Oct 2021 (5y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Anomaly Creative Capital Llc | Limited Partner | May 2020 | A | 10% – 25% |
| Bergamot Asset Management, Llc | General Partner | May 2020 | A | Less than 5% |
| Phase One Network, Inc. | Member | Mar 2020 | B | ≈ 7.5% – 25% via Anomaly Creative Capital Llc |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Babar, Frank: 25% – 50% of Phase One Network, Inc. × 75% – 100% of Anomaly Creative Capital Llc × 10% – 25% direct ≈ 1.88% – 12.5% of the firm
- Babar, Lisa: 25% – 50% of Phase One Network, Inc. × 75% – 100% of Anomaly Creative Capital Llc × 10% – 25% direct ≈ 1.88% – 12.5% of the firm
- Phase One Network, Inc.: 75% – 100% of Anomaly Creative Capital Llc × 10% – 25% direct ≈ 7.5% – 25% 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, $0 gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Bergamot Capital Partners Fund I Lp | Hedge Fund | $0 | $0 | 0 |
| Bergamot Music Fund I Lp | Private Equity Fund | $0 | $0 | 0 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/01/2026 | 2.63 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
- • Fixed fees
- • Performance-based fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $79.4M (75% of AUM) May 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: May 01, 2026.
View current Form ADV (SEC/IAPD) ↗