SourcingSourcing

GALAXY INVESTMENT MANAGEMENT, LLC

C34
CRD 281589·SEC 801-114875·UNIONDALE, NY
AUM
$323.8M
$100M-$500M
Est. Revenue
$3.2M
@ 1% on AUM
Est. EBITDA
$971K
@ 30% margin
Est. Deal Value
$7.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
GALAXY INVESTMENT MANAGEMENT, LLC
CRD
281589
SEC file #
801-114875
EIN
—
DBA names
—

Economics

AUM
$323.8M
AUM band
$100M-$500M
AUM trajectory
'20'26
$107.2M → $323.8M▲ +202%
Client mix
Pooled Investment Vehicles5

Operations

Employees (total)
7
Advisory staff (per ADV)
7
Advisory staff (5-yr trend)
'20'26
4 advisors → 7 advisors▲ +75%
Primary office
UNIONDALE NY
Branches
—

Custodian & Brokerage

Primary custodian
Wells Fargolow confidence
Services offered
Portfolio mgmt — pooled vehicles
Fee basis
% of AUMPerformance-based fees

Filings

Latest ADV filing
03/25/2026
ADV-W filed at
—
Website
galaxy-funds.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
GALAXY IM HOLDINGS, LLC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
5
Control Persons
GALAXY IM HOLDINGS, LLC
GALAXY FUND MANAGEMENT, LLC
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

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
GALAXY-FUNDS.COM
Rdap Domain Creation Date
2014-11-11T17:06:52Z
Rdap Firm Age Years
12
Rdap Firm Age Band
10-20y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Fdic Zip Total Deposits
21,951,179,000
Fdic Zip Branch Count
23
Fdic Zip Top Banks
Flushing Bank
The Bank of New York Mellon

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

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
Wells Fargo4
E*trade4
Jpmorgan3
Fdic Zip Branches Raw
Flushing BankUniondale, NY
Flushing BankUniondale, NY
Fdic Zip HHI
10,000
Fdic Zip Top Bank Share Pct
100
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2028-11-11T17:06:52Z
Rdap Domain Last Changed
2025-11-12T10:15:14Z
Rdap Nameservers
Ns31.domaincontrol.comNs32.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Trust Company Affiliate
No

People (3)

3
LIPSAY, SETH, BARRON
Executive Officer · 2.5%
2011192
Partlow, Kenneth
Executive Officer · 2.5%
7344839
SCHLICHT, CHRISTINE, ELIZABETH
Executive Officer · 2.5%
5851634