Investment adviser · CRD 104889

SSI INVESTMENT MANAGEMENT LLC

Investment adviser filing (IA)

LOS ANGELES, CA, United States · Form ADV filed Mar 28, 2026

Regulatory AUM: $2.55B
Client accounts: 79
Employees: 25
Advisory professionals: 11

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
Investment companies	4	$778,243,000	30.5%
Government entities	11	$565,508,000	22.1%
Individuals	24	$480,967,000	18.8%
Retirement plans	24	$340,651,000	13.3%
Insurance companies	Fewer than 5	$278,267,000	10.9%
Charities	7	$76,065,000	3.0%
High-net-worth individuals	5	$35,167,000	1.4%
Corporations & businesses	Fewer than 5	$56,000	0.0%

Filing source

Form ADV 2085900 · Mar 28, 2026 · 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

7 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.

SSI CONVERTIBLE INCOME FUND, L.P.Hedge Fund · Last reported Mar 29, 2012$241MGross asset value

Form D fundraising filings

SSI Convertible Income Fund, L.P.

Auditor ROTHSTEIN, KASS & COMPANY P.C. BEVERLY HILLS, California, United States

Custodian UBS SECURITIES LLC SAN FRANCISCO, California, United States Related to adviser: No

Prime broker UBS SECURITIES LLC SAN FRANCISCO, California, United States

Provider details

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

UBS SECURITIES LLC
SEC 8-22651

UBS SECURITIES LLC
CRD 7654 · SEC 8-22651

Fund details & source

Fund ID: 805-8268902345
Reported beneficial owners: 26
Minimum commitment: $500K
Form D file number: 021-106880

Form ADV 626636 · Mar 29, 2012 · 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.

SSI TACTICAL ALPHA HEDGE, L.P.Hedge Fund · Last reported Mar 30, 2015$40.3MGross asset value

Form D fundraising filings

SSI Tactical Alpha Hedge L P

Auditor KPMG, LLP LOS ANGELES, California, United States

Custodian CITIGROUP GLOBAL MARKETS INC. NEW YORK CITY, New York, United States Related to adviser: No

Prime broker CITIGROUP GLOBAL MARKETS INC. NEW YORK CITY, New York, United States

Provider details

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

CITIGROUP GLOBAL MARKETS INC.
SEC 8-8177

CITIGROUP GLOBAL MARKETS INC.
CRD 7059 · SEC 8-8177

Fund details & source

Fund ID: 805-1483684936
Reported beneficial owners: 8
Minimum commitment: $500K
Form D file number: 021-72715

Form ADV 896844 · Mar 30, 2015 · 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.

SSI CONVERTIBLE INCOME FUND II, L.P., CLASS BHedge Fund · Last reported Mar 22, 2016$17.3MGross asset value

Form D fundraising filings

SSI Convertible Income Fund II, L.P.

Auditor BDO USA, LLP LOS ANGELES, California, United States

Custodian MORGAN STANLEY & CO. LLC SAN FRANCISCO, California, United States Related to adviser: No

Prime broker MORGAN STANLEY & CO. LLC SAN FRANCISCO, California, United States

Provider details

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

MORGAN STANLEY & CO. LLC
SEC 8-15869

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source

Fund ID: 805-7030580711
Reported beneficial owners: 3
Minimum commitment: $500K
Form D file number: 021-174921

Form ADV 995412 · Mar 22, 2016 · 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.

SSI HEDGED CONVERTIBLE OPPORTUNITY FUND, L.P.Hedge Fund · Last reported May 16, 2025$10.8MGross asset value

Form D fundraising filings

SSI Hedged Convertible Opportunity Fund, L.P.

Auditor CBIZ CPA'S P.C. LOS ANGELES, California, United States

Custodian PERSHING LLC JERSEY CITY, New Jersey, United States Related to adviser: No

Prime broker PERSHING LLC JERSEY CITY, New Jersey, United States

Provider details

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

CBIZ CPA'S P.C.
PCAOB 199

PERSHING LLC
SEC 8-17574

PERSHING LLC
CRD 7560 · SEC 8-17574

Fund details & source

Fund ID: 805-9779064374
Reported beneficial owners: 6
Minimum commitment: $500K
Form D file number: 021-46136

Form ADV 1990222 · May 16, 2025 · 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.

SSI MARKET NEUTRAL, L.P.Hedge Fund · Last reported Dec 8, 2014$8.26MGross asset value

Form D fundraising filings

SSI MARKET NEUTRAL, L.P.

Auditor ROTHSTEIN, KASS & COMPANY P.C. BEVERLY HILLS, California, United States

Custodian MORGAN STANLEY & CO. LLC SAN FRANCISCO, California, United States Related to adviser: No

Prime broker MORGAN STANLEY & CO. LLC SAN FRANCISCO, California, United States

Provider details

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

MORGAN STANLEY & CO. LLC
SEC 8-15869

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source

Fund ID: 805-6585235350
Reported beneficial owners: 10
Minimum commitment: $500K
Form D file number: 021-55205

Form ADV 859631 · Dec 8, 2014 · 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.

SSI CONVERTIBLE OPPORTUNITY FUND, L.P., CLASS AHedge Fund · Last reported Jun 27, 2019$5.81MGross asset value

Form D fundraising filings

SSI Convertible Opportunity Fund, L.P.

Auditor BDO USA, LLP LOS ANGELES, California, United States

Custodian MORGAN STANLEY & CO. LLC SAN FRANCISCO, California, United States Related to adviser: No

Prime broker MORGAN STANLEY & CO. LLC SAN FRANCISCO, California, United States

Provider details

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

BDO USA, LLP
PCAOB 243

MORGAN STANLEY & CO. LLC
SEC 8-15869

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source

Fund ID: 805-8330392050
Reported beneficial owners: 7
Minimum commitment: $500K
Form D file number: 021-138250

Form ADV 1329794 · Jun 27, 2019 · 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.

SSI CONVERTIBLE OPPORTUNITY FUND, L.P., CLASS BHedge Fund · Last reported Mar 22, 2016$2.43MGross asset value

Auditor SINGER LEWAK, LLP LOS ANGELES, California, United States

Custodian MORGAN STANLEY & CO. LLC SAN FRANCISCO, California, United States Related to adviser: No

Prime broker MORGAN STANLEY & CO. LLC SAN FRANCISCO, California, United States

Provider details

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

MORGAN STANLEY & CO. LLC
SEC 8-15869

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source

Fund ID: 805-4103969391
Reported beneficial owners: 1
Minimum commitment: $500K
Form D file number: 021-138250

Form ADV 995412 · Mar 22, 2016 · 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 28, 2026. View historical filings

Reported services

Individual portfolio management · Investment company portfolio management · Business portfolio management

Compensation

Percentage of assets

Principal office

2121 AVENUE OF THE STARS, SUITE 2050
LOS ANGELES, CA, 90067, United States

CRD 104889

Filing source

Form ADV 2085900 · Mar 28, 2026 · 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.