Alumina Investment Management, Llc
- Regulatory AUM
- $5.3B
- Discretionary
- $0
- Clients
- —
- Avg AUM / client
- —
- Accounts
- 1
- Employees
- 2
AUM over time
Annual snapshots from Form ADV filings · as of Mar 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Banking or thrift institutions | Fewer than 5 clients | $5.3B | 100.0% |
People (3)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| 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)
| Form | Period | Size | |
|---|---|---|---|
| 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
- BNY Mellon $5.3B (100% of AUM) Mar 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: Mar 27, 2026.
View current Form ADV (SEC/IAPD) ↗