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TORTOISE INVESTMENT MANAGEMENT, LLC
CRD 128723File 801-65160
APPROVED
Retail clients
Custody
Filing as of Mar 27, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$2.07B
Top 25% of cohort (national)
Discretionary AUM
$2.03B
Non-discretionary $41.3M
Clients
504
3,029 accounts
Employees
21
Above cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Jan 13, 2006
- Principal office
- 2 WESTCHESTER PARK DRIVE, SUITE 215, WHITE PLAINS, NY, 10604
- Phone
- 914-686-0024
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $2.07B
- Discretionary AUM
- $2.03B
- Non-discretionary AUM
- $41.3M
- Discretionary accounts
- 3,017
- Non-discretionary accounts
- 12
- Total accounts
- 3,029
- AUM per client
- $4.1M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 360 | $2.01B |
| Pension and profit sharing plans | Fewer than 5 | $1.7M |
| Individuals (other than high net worth individuals) | 144 | $60.7M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 18 | 21 | increased by3 |
| Apr 1, 2026 | Clients | 481 | 504 | increased by23 |
| Apr 1, 2026 | AUM | $1,731,785,545 | $2,067,860,526 | increased by$336,074,981 |
| Apr 1, 2026 | Accounts | 2,832 | 3,029 | increased by197 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 19 | 18 | decreased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 431 | 481 | increased by50 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $1,347,052,817 | $1,731,785,545 | increased by$384,732,728 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 2,407 | 2,832 | increased by425 |
| Apr 1, 2022 | Employees | 18 | 19 | increased by1 |
| Apr 1, 2022 | Clients | 415 | 431 | increased by16 |
| Apr 1, 2022 | AUM | $1,165,603,318 | $1,347,052,817 | increased by$181,449,499 |
| Apr 1, 2022 | Accounts | 2,304 | 2,407 | increased by103 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “TORTOISE INVESTMENT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“TORTOISE INVESTMENT” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.