Gator Capital Management, LLC (Tampa)

Name: Gator Capital Management, LLC
Address: 100 S. Ashley Dr., Suite 895, Tampa, FL, 33602
Telephone: (813) 282-7870

Gator Capital Management, LLC is a large advisory firm based in Tampa. It manages $117.34 million of regulatory assets for 23 client accounts. It has been registered with the SEC as an adviser since 2013 and has operated in the jurisdictions of Florida and Texas.

Gator Capital Management provides financial planning services, portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Gator Capital Management: assets under management

The assets under management (AUM) of Gator Capital Management, LLC is $117.34 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 461% since the beginning of its operation, and $2.92 million of the total AUM is attributable to clients outside of the United States.

The firm manages $117.34 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $5.1 million each.

Gator Capital Management has custody of $39.47 million in cash and securities for 2 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Gator Capital Management, LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Gator Capital Management serves?

The firm provides services to individuals, investment companies, high net worth individuals, and pooled investment vehicles. The largest group of clients of Gator Capital Management is pooled investment vehicles with 3 clients and $67.3 million of assets under management. Among the 9 most similar advisory firms, Gator Capital Management has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $112.67 million for 22 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Gator Capital Management also advises several private funds. Namely, one hedge fund. The minimum investment commitment required of non-related persons is $100,000 for each fund.

Careers at Gator Capital Management, LLC

The company employs 3 people that are either part- or full-time employees. 67 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There are 3 people 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.

Derek Steven Pilecki has served as the Chief Investment Officer since 1 Apr 2008. Kyle Roger Bubeck joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Derek Steven Pilecki	Managing member/chief investment officer/chief compliance officer	1 Apr 2008	75% - 100%	2254221
Erik Matthew Anderson	Chief financial officer	1 Dec 2013	Other	4737526
Kyle Roger Bubeck	Chief compliance officer	1 Jan 2014	Other	4784699
Kyle Roger Bubeck	Chief compliance officer	1 Oct 2016	Other	4784699

Based in Tampa

The principal office where Gator Capital Management, LLC performs its advisory services is located at 100 S. Ashley Dr., Suite 895, Tampa, FL 33602, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (813) 282-7870 or by fax (813) 425-9168. The normal business hours are 9 am - 5 pm on Monday - Friday. You can find more information about the New York firm at gatorcapital.com.