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GREENWICH INVESTMENT MANAGEMENT, INC.

NORWALK, CT · CRD 127161 · IAPD ↗ · greenwichinvestmentmgt.com · 203-930-7200

$592.7MRegulatory AUM
4Advisory reps
8Employees
0Clients
n/aPlanning clients
0Private funds
34States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

63
January 2025 — GREENWICH INVESTMENT MANAGEMENT, INC. (NORWALK, CT) left the SEC roster (was $592.7M RAUM, 4 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
48
April 2024 — GREENWICH INVESTMENT MANAGEMENT, INC. reported RAUM down 27% ($816.9M -> $592.7M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
53
April 2024 — GREENWICH INVESTMENT MANAGEMENT, INC. shrank from 8 to 4 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.