SourcingSourcing

NEW VERNON INVESTMENT MANAGEMENT LLC

B64
CRD 160247·SEC 801-73602·HIGHLAND PARK, IL
AUM
$115.5M
$100M-$500M
Est. Revenue
$1.2M
@ 1% on AUM
Est. EBITDA
$347K
@ 30% margin
Est. Deal Value
$2.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
NEW VERNON INVESTMENT MANAGEMENT LLC
CRD
160247
SEC file #
801-73602
EIN
271681645
DBA names
—

Economics

AUM
$115.5M
AUM band
$100M-$500M
AUM trajectory
'20'26
$101.0M → $115.5M▲ +14%
Client mix
Pooled Investment Vehicles10
Other Investment Advisers2
Corporations1

Operations

Employees (total)
8
Advisory staff (per ADV)
4
Advisory staff (5-yr trend)
'20'26
6 advisors → 4 advisors▼ -33%
Primary office
HIGHLAND PARK IL
Branches
—

Custodian & Brokerage

Primary custodian
Pershinglow confidence
Services offered
Portfolio mgmt — pooled vehiclesPortfolio mgmt — businessesSecurity Ratings Or PricingOther Advisory Services
Fee basis
% of AUMFixed feesPerformance-based feesOther Compensation

Filings

Latest ADV filing
04/27/2026
ADV-W filed at
—
Website
—

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
NV CAPITAL HOLDINGS II, LLC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
4
Control Persons
NV CAPITAL HOLDINGS II, LLC
SHAPIRO, DANIEL, MARK
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001484786
Edgar Registered
Yes
Edgar Filing Count
7
Edgar First Filing Date
2010-03-15
Edgar Last Filing Date
2016-03-08
Edgar Form D Count
7
Edgar Form D Offerings
2016-03-082016-03-08 · 0001484786-16-000002
2015-03-092015-03-09 · 0001484786-15-000001

Compliance & brand

Firm Registration Status
active

All other collected signals (11)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
0
Bc Firm IAR Count
0
Custodian Candidates
Full
Pershing4
E*trade4
Morgan Stanley2
Edgar Addresses
Mailing
799 CENTRAL AVE.SUITE 350HIGHLAND PARK, IL 60035
Business
799 CENTRAL AVE.SUITE 350HIGHLAND PARK, IL 60035
Edgar EIN
271681645
Edgar Recent Filings
D/A2016-03-08 · 0001484786-16-000002
D/A2015-03-09 · 0001484786-15-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Trust Company Affiliate
Yes

People (3)

3
SHAPIRO, DANIEL, MARK
Direct Owner · 7.5%
1989147
STEVEN ARTHUR SHAPIRO
Direct Owner · 7.5%
2153746
GARY ALAN JUST
Executive Officer · 2.5%
2101902