{"url":"https://nivawealth.com/firms/glazer-capital-management-139403","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/139403","regulatoryAum":120053264,"crd":"139403","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1241206","suffix":null,"lastName":"GLAZER","firstName":"MAURICE","middleName":"MYRON"},{"crd":"4476941","suffix":null,"lastName":"GOLDBLATT","firstName":"LEIGH","middleName":"JAY"},{"crd":"5447752","suffix":null,"lastName":"MOORE","firstName":"BRANDON","middleName":"A"},{"crd":"2636506","suffix":null,"lastName":"PRECHT","firstName":"FRANK","middleName":"DOUGLAS"}],"total":4,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"secFileNumber":"801-136197","legalName":"Glazer Capital Management, LLC","displayName":"Glazer Capital Management","slug":"glazer-capital-management-139403","website":"https://gfncapitalmgmt.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Texas limited liability company","fiscalYearEnd":"December","headquarters":{"street":"300 N. Coit Road, Suite 1300","city":"Richardson","state":"TX","stateName":"Texas","country":"United States","postalCode":"75080"},"tradeNames":[],"registration":{"secApproved":"8 July 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":255798.14147909966,"staff":{"employees":5,"advisory":4,"brokerDealerReps":4,"insuranceAgents":4,"promoters":0},"aum":{"regulatory":120053264,"discretionary":110344554,"discretionaryAccounts":360,"nonDiscretionary":9708710,"nonDiscretionaryAccounts":24,"wrapProgram":82095316,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":190,"regulatoryAum":21756746},{"label":"High-net-worth individuals","clients":121,"regulatoryAum":57796476},{"label":"Pension and profit-sharing plans","clients":54,"regulatoryAum":31203317},{"label":"Charitable organizations","clients":6,"regulatoryAum":1252316},{"label":"Corporations and other businesses","clients":6,"regulatoryAum":8044409}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T13:24:14.927835+00:00","documents":[{"name":"GFN CAPITAL MANAGEMENT BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1040310","versionId":1040310,"submittedOn":"2026-04-03"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1040311","versionId":1040311,"submittedOn":null}]},"custodians":[{"name":"Assetmark","shortName":"Assetmark","location":"Concord, CA","smaAssets":57486795}],"custodyNote":"Glazer Capital Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Leigh Goldblatt","title":"Chief Compliance Officer","crd":"4476941"},{"name":"David Glazer","title":"Managing Member","crd":"2494848"},{"name":"Maurice Glazer","title":"Managing Member","crd":"1241206"}],"ownership":[{"label":"David Glazer","detail":"Managing member in the 50% to 75% ownership band and a control person, since January 2006."},{"label":"Maurice Glazer","detail":"Managing member in the 50% to 75% ownership band and a control person, since May 2007."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Texas","offices":1,"addresses":[{"street":"300 N. Coit Road, Suite 1300","city":"Richardson","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"972-385-0007","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Subscription fees","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":86},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":7},{"label":"Sovereign bonds","percent":1},{"label":"Cash and cash equivalents","percent":5}],"privateFunds":0},"sources":{"adv1FilingDate":"7 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/139403/PDF/139403.pdf","brochureDate":"3 April 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1040310","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Glazer Capital Management have?","answer":"Glazer Capital Management has 377 clients and manages $120 million for them, as of July 2026. They include 190 individual clients, 121 high-net-worth individuals, and 54 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 7 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Glazer Capital Management offer?","answer":"Glazer Capital Management provides portfolio management for individuals and small businesses and pension consulting.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Glazer Capital Management use?","answer":"Glazer Capital Management’s separately managed account assets are held at Assetmark (Concord, CA), with $57.5M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 7 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Glazer Capital Management have?","answer":"Glazer Capital Management has 4 investment adviser representatives registered with state securities authorities, out of 5 employees, and 4 perform investment advisory functions. 4 employees are registered representatives of a broker-dealer and 4 employees 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":"What does Glazer Capital Management invest in?","answer":"At the end of its last fiscal year, Glazer Capital Management’s separately managed accounts held 86% exchange-traded equities, 7% state and local bonds, 5% cash and equivalents, 1% U.S. government and agency bonds and 1% sovereign bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Glazer Capital Management?","answer":"Glazer Capital Management’s direct owners are David Glazer (50% to 75%) and Maurice Glazer (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 7 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Glazer Capital Management get paid?","answer":"Glazer Capital Management is paid through a percentage of assets under management, subscription fees and fixed fees. Its Form ADV lists no commissions or performance-based fees 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"}},{"question":"How do I contact Glazer Capital Management?","answer":"Glazer Capital Management’s main office is at 300 N. Coit Road, Suite 1300, Richardson, TX 75080. Its phone number is 972-385-0007. Its website is gfncapitalmgmt.com.","source":"Form ADV Part 1A, Item 1.F, filed 7 July 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"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 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."}