ASTOR INVESTMENT MANAGEMENT LLC

HTTP://WWW.ASTORIM.COM CHICAGO, IL Investment Advisor How do I update this listing?

Also known as:

  • ASTOR INVESMENT MANAGEMENT LLC

Astor Investment Management is based out of Chicago. Astor Investment Management is a large advisory firm with 1305 clients and discretionary assets under management (AUM) of $575,592,000 (Form ADV from 2018-08-31). Their last reported 13F filing for Q4 2018 included $551,929,000 in managed 13F securities and a top 10 holdings concentration of 77.43%. Astor Investment Management's largest holding is iShares Trust S&P 1500 Index Fund (ETF) with shares held of 1,223,197. Astor Investment Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 25 13F filings, and 2 13G filings

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12/31/2018

13F Sector Allocation Over Time

12/31/2018

13F Activity

  • Market Value $551.929 Million
  • Prior Market Value $649.584 Million
  • New Purchases10 stocks
  • Additional Purchases19 stocks
  • Sold out of3 stocks
  • Reduced holdings in18 stocks
  • Top 10 Holdings % 77.43 %
  • Turnover % [1]:27.66%
  • Turnover Alt % [2]: 27.27 %
  • Time Held Top20:5.55 quarters
  • Time Held Top10:5.50 quarters
  • Time Held All:6.53 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2018-11-14

Performance for Q3 2018: -7.73%
Performance Last 4 Quarters: -1.65%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR/A (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR/A (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR/A (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR/A (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR/A (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

ASTOR INVESTMENT MANAGEMENT LLC
111 S WACKER DRIVE SUITE 3950
CHICAGO IL    60606
Country: United States

Business Phone: 800-899-8230
Fax: 312-228-5901
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 14
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities:
Total Number of Clients: 1305
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Non-derivative Insider Transactions Since 12/31/2018

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ASTOR INVESTMENT MANAGEMENT LLC

ownership team - last updated 2018-05-30
Name Title Start Date Direct/Indirect % Ownership
STEIN, ROBERT, NEIL CHIEF EXECUTIVE OFFICER 10/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
BRANDT KELLY & SIMMONS, L.L.C. CHIEF ECONOMIST direct 2002-01-01
ASTOR ASSET MANAGEMENT, L.L.C. MANAGER direct 2001-10-01
ASTOR ASSET MANAGEMENT LLC SR. MANAGING DIRECTOR direct 2001-10-01
ASTOR ASSET MANAGEMENT, L.L.C. CHIEF COMPLIANCE OFFICER direct 2001-10-01
ASTOR ASSET MANAGEMENT, L.L.C. OWNER indirect 2003-02-01
ASTOR BUSINESS VENTURES MANAGER/CHIEF COMPLIANCE OFFICER direct 2001-10-01
ASTOR BUSINESS VENTURES MANAGER direct 2001-10-01
LAKEWOOD INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2011-03-01
LAKEWOOD INVESTMENT MANAGEMENT LLC OWNER indirect 2011-03-01
ASTOR INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2013-10-01
ASTOR INVESTMENT MANAGEMENT LLC OWNER / MANAGING MEMBER indirect 2013-10-01
ASTOR INVESTMENT MANAGEMENT LLC OWNER indirect 2013-10-01
LAKEWOOD INVESTMENT MANAGEMENT LLC OWNER / MANAGING MEMBER 10/01/2013 Direct 75% or more
Fund Name Position direct/indirect start date end date
ASTOR INVESTMENT MANAGEMENT LLC OWNER direct 2013-10-01
ASTOR INVESTMENT MANAGEMENT LLC OWNER / MANAGING MEMBER direct 2013-10-01
ECKSTEIN, JOHN, FRANCIS CHIEF INVESTMENT OFFICER 10/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASTOR INVESTMENT MANAGEMENT LLC CHIEF INVESTMENT OFFICER direct 2013-10-01
NOVAK, BRYAN, MICHAEL SENIOR MANAGING DIRECTOR 10/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASTOR INVESTMENT MANAGEMENT LLC SENIOR MANAGING DIRECTOR direct 2013-10-01
THOMAS, SCOTT, ANTHONY DIRECTOR, CHIEF FINANCIAL OFFICER, CHIEF OPERATIONS OFFICER 11/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASTOR INVESTMENT MANAGEMENT LLC DIRECTOR direct 2014-11-01
HILL, SUSAN, JEAN CHIEF COMPLIANCE OFFICER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NORTHERN TRUST INVESTMENTS, NATIONAL ASSOCIATION. CHIEF COMPLIANCE OFFICER direct 2005-03-01
NORTHERN TRUST INVESTMENTS, INCORPORATED SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER direct 2005-03-01
NORTHERN TRUST GLOBAL ADVISORS INC CHIEF COMPLIANCE OFFICER direct 2007-12-01
THE NORTHERN TRUST COMPANY OF CONNECTICUT CHIEF COMPLIANCE OFFICER direct 2007-12-01
ASTOR INVESTMENT MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2016-05-01
OBRIEN, THOMAS, MCCARTHY DIRECTOR 11/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASTOR INVESTMENT MANAGEMENT LLC DIRECTOR direct 2016-11-01
OLIFF, LEE, CHARLES CHIEF LEGAL OFFICER 08/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASTOR INVESTMENT MANAGEMENT LLC CHIEF LEGAL OFFICER direct 2014-08-01
STEIN, ROBERT, NEIL OWNER / MANAGING MEMBER LAKEWOOD INVESTMENT MANAGEMENT LLC 10/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BRANDT KELLY & SIMMONS, L.L.C. CHIEF ECONOMIST direct 2002-01-01
ASTOR ASSET MANAGEMENT, L.L.C. MANAGER direct 2001-10-01
ASTOR ASSET MANAGEMENT LLC SR. MANAGING DIRECTOR direct 2001-10-01
ASTOR ASSET MANAGEMENT, L.L.C. CHIEF COMPLIANCE OFFICER direct 2001-10-01
ASTOR ASSET MANAGEMENT, L.L.C. OWNER indirect 2003-02-01
ASTOR BUSINESS VENTURES MANAGER/CHIEF COMPLIANCE OFFICER direct 2001-10-01
ASTOR BUSINESS VENTURES MANAGER direct 2001-10-01
LAKEWOOD INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2011-03-01
LAKEWOOD INVESTMENT MANAGEMENT LLC OWNER indirect 2011-03-01
ASTOR INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER direct 2013-10-01
ASTOR INVESTMENT MANAGEMENT LLC OWNER / MANAGING MEMBER indirect 2013-10-01
ASTOR INVESTMENT MANAGEMENT LLC OWNER indirect 2013-10-01

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