BULLDOG INVESTORS, LLP

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Adviser Profile
As of Date 03/25/2024
Adviser Type - Large advisory firm
- An investment adviser (or subadviser) to an investment company
Number of Employees 6
of those in investment advisory functions 3
Registration SEC, Approved, 09/23/2009
AUM* 334,790,240 -9.06%
of that, discretionary 334,790,240 -9.06%
Private Fund GAV* 3,540,341 3.13%
Avg Account Size 959,284 6.58%
% High Net Worth 9.69% -11.16%
SMA’s Yes
Private Funds 6
Contact Info 201 xxxxxxx
Websites

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Investment companies
- Pooled investment vehicles
- Pension and profit sharing plans
- Charitable organizations
- Insurance companies
- Corporations or other businesses not listed above
- Other

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles

Compensation Arrangments

- A percentage of assets under your management
- Performance-based fees

Recent News

Reported AUM

Discretionary
Non-discretionary
619M 531M 442M 354M 265M 177M 88M
2015 2016 2017 2018 2019 2020 2021 2022 2023

Private Funds



Employees

Private Funds Structure

Fund Type Count GAV
Fund TypeHedge Fund Count6 GAV$3,540,341

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Brochure Summary

Overview

Bulldog Investors was co-founded in 1992 by Phillip Goldstein, who remains a Principal of the firm. Andrew Dakos joined Bulldog Investors in 2001 and currently is a Principal of the firm. The Company serves as the investment adviser to Special Opportunities Fund, Inc., a registered investment company (“SPE”); separately-managed accounts (“SMAs”); and several private investment funds that are currently in the process of liquidation and dissolution (“Liquidating Funds”). Bulldog Investors’ principal owners are Messrs. Goldstein and Dakos. They are also the owners of Ryan Heritage, LLP (an SEC-registered investment adviser) and Bulldog Holdings, LLC, which is the sole owner of Kimball &
Winthrop, LLC, a special purpose vehicle. Bulldog Investors advises SPE including placing discretionary trades pursuant to SPE’s investment policies and restrictions. Bulldog Investors may tailor its advisory services to the specific needs and specifications of its SMA clients. SMA clients may impose reasonable restrictions on investing in certain securities or types of securities, including the designation of particular securities or types of securities that should not be purchased for the account. As of December 31, 2023, Bulldog Investors managed approximately $335 million on a discretionary basis. The Company does not manage client assets on a non-discretionary basis.