Clinton Retail Investment Management LLC (New York)

Name: Clinton Retail Investment Management LLC
Address: 510 Madison Avenue, New York, NY, 10022
Telephone: 212-825-0400

Clinton Retail Investment Management LLC is a related adviser based in New York. It has been registered with the SEC as an adviser since 2016.

Clinton Retail Investment Management provides portfolio management for investment companies. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Clinton Retail Investment Management LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients George Estes Hall serves?

The only and largest group of clients of George Estes Hall is investment companies with 1 clients and $0 of assets under management. Among the 2 most similar advisory firms, Clinton Retail Investment Management has the highest percentage of investment companies out of all clients.

None of the firm’s clients are foreign persons or businesses.

Clinton Retail Investment Management doesn't advise any private funds.

Careers at Clinton Retail Investment Management LLC

The company employs 39 people that are either part- or full-time employees. 74 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.

George Estes Hall has been acting as President since 1 Aug 1991. Inc Clinton Group joined the executive team most recently as the Member.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
George Estes Hall	Ceo/president/director	1 Aug 1991	Other	1488952
John Lawrence Hall	Secretary/director	1 May 1995	Other	1534018
Francis Ruchalski	Cfo/director	1 Dec 2002	Other	4505080
Nader Behbehani	Cco	1 Dec 2010	Other	1771304
Inc Clinton Group	Member	1 Jan 2016	75% - 100%	106253

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
George Estes Hall	President	1 May 1999	75% - 100%	1488952
Cgi Holdings Inc.	Shareholder	1 Dec 2001	75% - 100%	13-4061644
Madison Avenue Capital Holdings Inc.	Sole owner	1 Dec 2001	75% - 100%	13-4201440
Clinton Group Equity Co	Sole owner	1 Dec 2001	75% - 100%	13-4201440

Based in New York

The principal office where Clinton Retail Investment Management LLC performs its advisory services is located at 510 Madison Avenue, New York, NY 10022, which is also the mailing address of the firm. An additional office of the firm is in Tinton Falls, NJ. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-825-0400 or by fax 212-377-4181. The normal business hours are 8 am - 6 pm on Monday - Friday. You can find more information about the New York firm at clinton.com/cgi-bin/home.pl.