Global Imc Llc
- Regulatory AUM
- $790M
- Discretionary
- $790M
- Clients
- 9
- Avg AUM / client
- $87.8M
- Accounts
- 9
- Employees
- 22
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 28, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Investment companies | 1 | $135M | 17.1% |
| Pooled investment vehicles (non-investment companies) | 3 | $498M | 63.0% |
| Charitable organizations | 5 | $157M | 19.9% |
Private funds (2)
Reported in Form ADV Section 7.B.(1), filing of Mar 2024 · $392M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Eam Emerging Markets Small Cap Fund, Lp | Other Private Fund | Delaware | $298M | 7 |
| Eam International Small Cap Fund, Lp | Other Private Fund | Delaware | $94.0M | 7 |
People (6)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Roth, Byron, Clarence | Shareholder | Jan 2000 (27y) | ≈ 14.06% – 50% via Cr Financial Holdings, Inc. | |
| Travis Tyler Prentice | President, Chief Executive Officer, Managing Director, Class B Common Unit Holder | Jul 2007 (19y) | 10% – 25% | |
| Weisenberger, Montie, Lee | Managing Director, Class A Common Unit Holder | Jul 2007 (19y) | 10% – 25% | |
| Hurst, Frank, Page | Managing Member | Jun 2011 (15y) | 5% – 10% | |
| Derek John Gaertner | Chief Compliance Officer, Chief Operating Officer, Class A Common Unit Holder | May 2014 (12y) | Less than 5% | |
| Joshua Matthew Moss | Vice President, Class B Common Unit Holder | May 2014 (12y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Eam Investors, Llc | Manager/Class A Common Unit Holder | May 2014 | A | 25% – 50% |
| Waco Limited, Llc | Class A Common Unit Holder | May 2014 | A | 25% – 50% |
| Northern Lights Midco, Llc | Preferred Unit Holder | Jul 2014 | A | 10% – 25% |
| Cr Financial Holdings, Inc. | Member | Jan 2014 | B | ≈ 18.75% – 50% via Waco Limited, Llc |
| Aurora Trust | Member | Nov 2014 | B | ≈ 7.5% – 25% via Northern Lights Midco, Llc |
| Pacific Current Group | Unitholder | Nov 2014 | B | ≈ 3.75% – 18.75% via Aurora Trust |
| Waco Limited, Llc | Member | Jan 2014 | B | ≈ 6.25% – 25% via Eam Investors, Llc |
| Northern Lights Capital Partners, Llc | Unitholder | Nov 2014 | B | ≈ 1.88% – 12.5% via Aurora Trust |
| Aurora Investment Management Pty Limited | Trustee | Nov 2014 | B | GP / trustee / elected manager of Aurora Trust (indirect) |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Roth, Byron, Clarence: 75% – 100% of Cr Financial Holdings, Inc. × 75% – 100% of Waco Limited, Llc × 25% – 50% direct ≈ 14.06% – 50% of the firm
- Cr Financial Holdings, Inc.: 75% – 100% of Waco Limited, Llc × 25% – 50% direct ≈ 18.75% – 50% of the firm
- Aurora Trust: 75% – 100% of Northern Lights Midco, Llc × 10% – 25% direct ≈ 7.5% – 25% of the firm
- Pacific Current Group: 50% – 75% of Aurora Trust × 75% – 100% of Northern Lights Midco, Llc × 10% – 25% direct ≈ 3.75% – 18.75% of the firm
- Waco Limited, Llc: 25% – 50% of Eam Investors, Llc × 25% – 50% direct ≈ 6.25% – 25% of the firm
- Northern Lights Capital Partners, Llc: 25% – 50% of Aurora Trust × 75% – 100% of Northern Lights Midco, Llc × 10% – 25% direct ≈ 1.88% – 12.5% 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, $392M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Eam Emerging Markets Small Cap Fund, Lp | Other Private Fund | $298M | $1.0M | 7 |
| Eam International Small Cap Fund, Lp | Other Private Fund | $94.0M | $1.0M | 7 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/28/2026 | 1.52 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
Services
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- Northern Trust $157M (20% of AUM) Mar 2026
- BNY Mellon $71.4M (5% of AUM) Mar 2023
- State Street $61.7M (5% of AUM) Mar 2024
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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 28, 2026.
View current Form ADV (SEC/IAPD) ↗