{"url":"https://nivawealth.com/firms/ellington-financial-management-150510","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/150510","regulatoryAum":19352910000,"crd":"150510","secFileNumber":"801-70630","legalName":"Ellington Financial Management LLC","displayName":"Ellington Financial Management","website":"http://www.ellington.com","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"53 Forest Ave, 3rd Floor","city":"Old Greenwich","state":"CT","stateName":"Connecticut","country":"United States","postalCode":"06870"},"tradeNames":[],"registration":{"secApproved":"9 October 2009","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":164,"advisory":68,"brokerDealerReps":8,"insuranceAgents":0,"promoters":3},"aum":{"discretionary":19352910000,"discretionaryAccounts":1,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":1,"regulatoryAum":19352910000}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Ellington Financial Management has custody of $19.35B for 1 clients.","otherCustodians":[],"leadership":[{"name":"Michael Vranos","title":"Chief Executive Officer and President","crd":"2013180"},{"name":"Laurence Penn","title":"Executive Vice President","crd":"1914867"},{"name":"John Herlihy","title":"Chief Financial Officer","crd":"4825072"},{"name":"Patrick Maloney","title":"Chief Compliance Officer & Associate General Counsel","crd":"4777731"},{"name":"Daniel Margolis","title":"General Counsel","crd":"5800952"},{"name":"Mark Tecotzky","title":"Chief Investment Officer","crd":"1656046"}],"ownership":[{"label":"Emg Holdings, L.P.","detail":"Member in the 75% or more ownership band and a control person, since March 2009."},{"label":"Michael Vranos","detail":"Indirect owner: a limited partner of Emg Holdings, L.P. in the 25% to 50% band and a control person, since April 2007. Also a managing member of VC Investments, L.L.C. in the 75% or more band and a control person, since August 1995.","parent":"Emg Holdings, L.P."},{"label":"VC Investments, L.L.C.","detail":"Indirect owner: general partner of Emg Holdings, L.P. and a control person, since January 2007.","parent":"Emg Holdings, L.P."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[{"state":"Connecticut","offices":1,"addresses":[{"street":"53 Forest Ave, 3rd Floor","city":"Old Greenwich","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"203-698-1200","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":null,"assetMix":[],"privateFunds":0},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/150510/PDF/150510.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Ellington Financial Management have?","answer":"Ellington Financial Management has 1 clients and manages $19.4 billion for them, as of March 2026.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Ellington Financial Management offer?","answer":"Ellington Financial Management provides portfolio management for pooled vehicles.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Ellington Financial Management have?","answer":"Ellington Financial Management has 0 investment adviser representatives registered with state securities authorities, out of 164 employees, and 68 perform investment advisory functions. 8 are registered representatives of a broker-dealer and 0 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Ellington Financial Management?","answer":"Ellington Financial Management is owned through a holding company by Michael Vranos. Its direct owner is Emg Holdings, L.P. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Ellington Financial Management get paid?","answer":"Ellington Financial Management is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}