Investment adviser · CRD 164299

FUNDAMENTAL GLOBAL INVESTORS, LLC

Investment adviser filing (IA)

MOORESVILLE, NC, United States · Form ADV filed Mar 31, 2021

Regulatory AUM: $128M
Client accounts: 15
Employees: 6
Advisory professionals: 6

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Pooled investment vehicles	15	$127,809,082	100.0%

Filing source

Form ADV 1506918 · Mar 31, 2021 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

10 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

CWA FGI SPECIAL OPPORTUNITIES FUND, LPOther Private Fund · Last reported Mar 31, 2021$19.1MGross asset value

Fund administrator SS&C TECHNOLOGIES INC. WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor GRANT THORNTON, LLP CHARLOTTE, North Carolina, United States

Custodian NORTHERN TRUST SECURITIES, INC. CHICAGO, Illinois, United States Related to adviser: No

Custodian WELLS FARGO BANK, N.A. SAN FRANCISCO, California, United States Related to adviser: No

Prime broker NORTHERN TRUST SECURITIES, INC. CHICAGO, Illinois, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

GRANT THORNTON, LLP
PCAOB 248

NORTHERN TRUST SECURITIES, INC.
SEC 8-23689

WELLS FARGO BANK, N.A.
LEI KB1H1DSPRFMYMCUFXT09

NORTHERN TRUST SECURITIES, INC.
CRD 7927 · SEC 8-23689

Fund details & source

Fund ID: 805-7130088069
Reported beneficial owners: 40
Minimum commitment: $0
Form D file number: 021-316329

Form ADV 1506918 · Mar 31, 2021 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

FUNDAMENTAL ACTIVIST FUND I, LPHedge Fund · Last reported Mar 31, 2021$11.9MGross asset value

Fund administrator SS&C TECHNOLOGIES WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor GRANT THORNTON, LLP CHARLOTTE, North Carolina, United States

Custodian NORTHERN TRUST SECURITIES, INC. CHICAGO, Illinois, United States Related to adviser: No

Custodian WELLS FARGO BANK, N.A. SAN FRANCISCO, California, United States Related to adviser: No

Prime broker NORTHERN TRUST SECURITIES, INC. CHICAGO, Illinois, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

GRANT THORNTON, LLP
PCAOB 248

NORTHERN TRUST SECURITIES, INC.
SEC 8-23689

WELLS FARGO BANK, N.A.
LEI KB1H1DSPRFMYMCUFXT09

NORTHERN TRUST SECURITIES, INC.
CRD 7927 · SEC 8-23689

Fund details & source

Fund ID: 805-8964395520
Reported beneficial owners: 38
Minimum commitment: $0
Form D file number: 021-284718

Form ADV 1506918 · Mar 31, 2021 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

FGI METROLINA PROPERTY INCOME FUND, LPReal Estate Fund · Last reported Mar 31, 2021$9.1MGross asset value

Form D fundraising filings

FGI METROLINA PROPERTY INCOME FUND, LP

Fund administrator SS&C TECHNOLOGIES WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor GRANT THORNTON, LLP CHARLOTTE, North Carolina, United States

Custodian NORTHERN TRUST SECURITIES, INC. CHICAGO, Illinois, United States Related to adviser: No

Custodian WELLS FARGO BANK, N.A. SAN FRANCISCO, California, United States Related to adviser: No

Prime broker NORTHERN TRUST SECURITIES, INC. CHICAGO, Illinois, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

GRANT THORNTON, LLP
PCAOB 248

NORTHERN TRUST SECURITIES, INC.
SEC 8-23689

WELLS FARGO BANK, N.A.
LEI KB1H1DSPRFMYMCUFXT09

NORTHERN TRUST SECURITIES, INC.
CRD 7927 · SEC 8-23689

Fund details & source

Fund ID: 805-8939068687
Reported beneficial owners: 36
Minimum commitment: $0
Form D file number: 021-284722

Form ADV 1506918 · Mar 31, 2021 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

FUNDAMENTAL GLOBAL CAPITAL APPRECIATION FUND, LPHedge Fund · Last reported Mar 31, 2021$7.71MGross asset value

Fund administrator SS&C TECHNOLOGIES WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor GRANT THORNTON, LLP CHARLOTTE, North Carolina, United States

Custodian NORTHERN TRUST SECURITIES, INC. CHICAGO, Illinois, United States Related to adviser: No

Custodian WELLS FARGO BANK, N.A. SAN FRANCISCO, California, United States Related to adviser: No

Prime broker NORTHERN TRUST SECURITIES, INC. CHICAGO, Illinois, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

GRANT THORNTON, LLP
PCAOB 248

NORTHERN TRUST SECURITIES, INC.
SEC 8-23689 · LEI 3CHSO99JSPHD9HGNYJ46

WELLS FARGO BANK, N.A.
LEI KB1H1DSPRFMYMCUFXT09

NORTHERN TRUST SECURITIES, INC.
CRD 7927 · SEC 8-23689

Fund details & source

Fund ID: 805-9148302638
Reported beneficial owners: 32
Minimum commitment: $0
Form D file number: 021-371061

Form ADV 1506918 · Mar 31, 2021 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

FGI GLOBAL ASSET ALLOCATION FUND, LTD.Hedge Fund · Last reported Mar 31, 2021$5.84MGross asset value

Fund administrator SS&C TECHNOLOGIES WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor GRANT THORNTON INTERNATIONAL LIMITED GEORGE TOWN, Cayman Islands

Custodian NORTHERN TRUST SECURITIES, INC. CHICAGO, Illinois, United States Related to adviser: No

Custodian WELLS FARGO BANK, N.A. SAN FRANCISCO, California, United States Related to adviser: No

Prime broker NORTHERN TRUST SECURITIES, INC. CHICAGO, Illinois, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

GRANT THORNTON INTERNATIONAL LIMITED
PCAOB 5346

NORTHERN TRUST SECURITIES, INC.
SEC 8-23689

WELLS FARGO BANK, N.A.
LEI KB1H1DSPRFMYMCUFXT09

NORTHERN TRUST SECURITIES, INC.
CRD 7927 · SEC 8-23689

Fund details & source

Fund ID: 805-9253015240
Reported beneficial owners: 2
Minimum commitment: $1M

Form ADV 1506918 · Mar 31, 2021 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

FUNDAMENTAL GLOBAL HOLDINGS, LPHedge Fund · Last reported Mar 31, 2021$5.1MGross asset value

Auditor GRANT THORNTON, LLP CHARLOTTE, North Carolina, United States

Custodian NORTHERN TRUST SECURITIES, INC. CHICAGO, Illinois, United States Related to adviser: No

Custodian WELLS FARGO BANK, N.A. SAN FRANCISCO, California, United States Related to adviser: No

Prime broker NORTHERN TRUST SECURITIES, INC. CHICAGO, Illinois, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

GRANT THORNTON, LLP
PCAOB 248

NORTHERN TRUST SECURITIES, INC.
SEC 8-23689

WELLS FARGO BANK, N.A.
LEI KB1H1DSPRFMYMCUFXT09

NORTHERN TRUST SECURITIES, INC.
CRD 7927 · SEC 8-23689

Fund details & source

Fund ID: 805-3686764669
Reported beneficial owners: 10
Minimum commitment: $0
Form D file number: 021-284717

Form ADV 1506918 · Mar 31, 2021 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

FG SPECIAL SITUATIONS FUND, LPHedge Fund · Last reported Mar 31, 2021$5MGross asset value

Fund administrator SS&C TECHNOLOGIES WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor GRANT THORNTON, LLP CHARLOTTE, North Carolina, United States

Custodian NORTHERN TRUST SECURITIES, INC. CHICAGO, Illinois, United States Related to adviser: No

Custodian WELLS FARGO BANK, N.A. SAN FRANCISCO, California, United States Related to adviser: No

Prime broker NORTHERN TRUST SECURITIES, INC. CHICAGO, Illinois, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

GRANT THORNTON, LLP
PCAOB 248

NORTHERN TRUST SECURITIES, INC.
SEC 8-23689 · LEI 3CHSO99JSPHD9HGNYJ46

WELLS FARGO BANK, N.A.
LEI KB1H1DSPRFMYMCUFXT09

NORTHERN TRUST SECURITIES, INC.
CRD 7927 · SEC 8-23689

Fund details & source

Fund ID: 805-8302176556
Reported beneficial owners: 1
Minimum commitment: $0
Form D file number: 021-378460

Form ADV 1506918 · Mar 31, 2021 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Mar 31, 2021. View historical filings

Reported services

Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Fixed · Performance-based

Principal office

136 CORPORATE PARK DRIVE, SUITE G
MOORESVILLE, NC, 28117, United States

CRD 164299

Filing source

Form ADV 1506918 · Mar 31, 2021 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.