TORTOISE INVESTMENT MANAGEMENT, LLC

HTTP://WWW.TORTOISEINVESTMENT.COM WHITE PLAINS, NY Investment Advisor How do I update this listing?

Tortoise Investment Management is based out of White Plains. Tortoise Investment Management is a large advisory firm with 419 clients and discretionary assets under management (AUM) of $938,361,733 (Form ADV from 2019-10-31). Their last reported 13F filing for Q3 2019 included $387,589,000 in managed 13F securities and a top 10 holdings concentration of 44.99%. Tortoise Investment Management's largest holding is iShares Core S&P 500 ETF with shares held of 218,691. Tortoise Investment Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 29 13F filings, and 12 13G filings

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67

S&P 500
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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $387.589 Million
  • Prior Market Value $395.675 Million
  • New Purchases19 stocks
  • Additional Purchases33 stocks
  • Sold out of44 stocks
  • Reduced holdings in166 stocks
  • Top 10 Holdings % 44.99 %
  • Turnover % [1]:10.14%
  • Turnover Alt % [2]: 9.02 %
  • Time Held Top20:14.05 quarters
  • Time Held Top10:12.00 quarters
  • Time Held All:14.23 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 2019-11-14

Performance for Q3 2019: 5.72%
Performance Last 4 Quarters: 11.79%
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:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 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 (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (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)
  • 2013-12-31 - 13F-HR/A (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

TORTOISE INVESTMENT MANAGEMENT, LLC
2 WESTCHESTER PARK DRIVE SUITE 215
WHITE PLAINS NY    10604
Country: United States

Business Phone: 914-686-0024
Fax: 914-227-9174
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: NY
Number of employees: 16
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities:
Total Number of Clients: 419
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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TORTOISE INVESTMENT MANAGEMENT, LLC

ownership team - last updated 2019-09-13
Name Title Start Date Direct/Indirect % Ownership
YANKWITT, IAN, JEFFREY MEMBER / PRESIDENT 09/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
YANKWITT, IAN JEFFREY SOLE PROPRIETOR, CHIEF COMPLIANCE OFFICER direct 2002-07-01
TORTOISE INVESTMENT MANAGEMENT, LLC MEMBER / PRESIDENT direct 2004-09-01
TORTOISE INVESTMENT MANAGEMENT, LLC MEMBER, CHIEF COMPLIANCE OFFICER direct 2004-09-01
TORTOISE INVESTMENT MANAGEMENT, LLC MEMBER direct 2004-09-01
TORTOISE INVESTMENT MANAGEMENT, LLC MEMBER / PRESIDENT direct 2006-12-01
TORTOISE INVESTMENT MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2015-05-01
ROLOFF, RIVA, BETH CHIEF OPERATING OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORTOISE INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2018-03-01
MATTERN, MICHAEL, TERRENCE CHIEF COMPLIANCE OFFICER 05/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORTOISE INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2019-05-01

TORTOISE INVESTMENT MANAGEMENT, LLC

ownership team - last updated 2019-05-15
Name Title Start Date Direct/Indirect % Ownership
YANKWITT, IAN, JEFFREY MEMBER / PRESIDENT 09/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
YANKWITT, IAN JEFFREY SOLE PROPRIETOR, CHIEF COMPLIANCE OFFICER direct 2002-07-01
TORTOISE INVESTMENT MANAGEMENT, LLC MEMBER / PRESIDENT direct 2004-09-01
TORTOISE INVESTMENT MANAGEMENT, LLC MEMBER, CHIEF COMPLIANCE OFFICER direct 2004-09-01
TORTOISE INVESTMENT MANAGEMENT, LLC MEMBER direct 2004-09-01
TORTOISE INVESTMENT MANAGEMENT, LLC MEMBER / PRESIDENT direct 2006-12-01
TORTOISE INVESTMENT MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2015-05-01
ROLOFF, RIVA, BETH CHIEF OPERATING OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORTOISE INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2018-03-01
MATTERN, MICHAEL, TERRENCE CHIEF COMPLIANCE OFFICER 05/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORTOISE INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2019-05-01

TORTOISE INVESTMENT MANAGEMENT, LLC

ownership team - last updated 2019-03-05
Name Title Start Date Direct/Indirect % Ownership
YANKWITT, IAN, JEFFREY MEMBER / PRESIDENT 09/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
YANKWITT, IAN JEFFREY SOLE PROPRIETOR, CHIEF COMPLIANCE OFFICER direct 2002-07-01
TORTOISE INVESTMENT MANAGEMENT, LLC MEMBER / PRESIDENT direct 2004-09-01
TORTOISE INVESTMENT MANAGEMENT, LLC MEMBER, CHIEF COMPLIANCE OFFICER direct 2004-09-01
TORTOISE INVESTMENT MANAGEMENT, LLC MEMBER direct 2004-09-01
TORTOISE INVESTMENT MANAGEMENT, LLC MEMBER / PRESIDENT direct 2006-12-01
TORTOISE INVESTMENT MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2015-05-01
GOLDSTEIN, RANDAL, IAN PRINCIPAL 07/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORTOISE INVESTMENT MANAGEMENT, LLC PRINCIPAL direct 2012-07-01
TORTOISE INVESTMENT MANAGEMENT, LLC PRINCIPAL, CHIEF COMPLIANCE OFFICER direct 2012-07-01
TORTOISE INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2015-03-01
GOLDSTEIN, RANDAL, IAN CHIEF COMPLIANCE OFFICER 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORTOISE INVESTMENT MANAGEMENT, LLC PRINCIPAL direct 2012-07-01
TORTOISE INVESTMENT MANAGEMENT, LLC PRINCIPAL, CHIEF COMPLIANCE OFFICER direct 2012-07-01
TORTOISE INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2015-03-01
ROLOFF, RIVA, BETH CHIEF OPERATING OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORTOISE INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2018-03-01

TORTOISE INVESTMENT MANAGEMENT, LLC

ownership team - last updated 2017-09-28
Name Title Start Date Direct/Indirect % Ownership
YANKWITT, IAN, JEFFREY CHIEF INVESTMENT OFFICER 05/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
YANKWITT, IAN JEFFREY SOLE PROPRIETOR, CHIEF COMPLIANCE OFFICER direct 2002-07-01
TORTOISE INVESTMENT MANAGEMENT, LLC MEMBER / PRESIDENT direct 2004-09-01
TORTOISE INVESTMENT MANAGEMENT, LLC MEMBER, CHIEF COMPLIANCE OFFICER direct 2004-09-01
TORTOISE INVESTMENT MANAGEMENT, LLC MEMBER direct 2004-09-01
TORTOISE INVESTMENT MANAGEMENT, LLC MEMBER / PRESIDENT direct 2006-12-01
TORTOISE INVESTMENT MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2015-05-01
GOLDSTEIN, RANDAL, IAN CHIEF COMPLIANCE OFFICER 03/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORTOISE INVESTMENT MANAGEMENT, LLC PRINCIPAL direct 2012-07-01
TORTOISE INVESTMENT MANAGEMENT, LLC PRINCIPAL, CHIEF COMPLIANCE OFFICER direct 2012-07-01
TORTOISE INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2015-03-01
GOLDSTEIN, RANDAL, IAN PRINCIPAL 07/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORTOISE INVESTMENT MANAGEMENT, LLC PRINCIPAL direct 2012-07-01
TORTOISE INVESTMENT MANAGEMENT, LLC PRINCIPAL, CHIEF COMPLIANCE OFFICER direct 2012-07-01
TORTOISE INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2015-03-01
SMITH, LIVIA, RAMIREZ CHIEF OPERATING OFFICER 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
TORTOISE INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2011-01-01
YANKWITT, IAN, JEFFREY MEMBER / PRESIDENT 09/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
YANKWITT, IAN JEFFREY SOLE PROPRIETOR, CHIEF COMPLIANCE OFFICER direct 2002-07-01
TORTOISE INVESTMENT MANAGEMENT, LLC MEMBER / PRESIDENT direct 2004-09-01
TORTOISE INVESTMENT MANAGEMENT, LLC MEMBER, CHIEF COMPLIANCE OFFICER direct 2004-09-01
TORTOISE INVESTMENT MANAGEMENT, LLC MEMBER direct 2004-09-01
TORTOISE INVESTMENT MANAGEMENT, LLC MEMBER / PRESIDENT direct 2006-12-01
TORTOISE INVESTMENT MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2015-05-01

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