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NIERENBERG INVESTMENT MANAGEMENT COMPANY, LLC

· CRD 155416 · IAPD ↗ · d3familyfunds.com · 360-604-8600

$235.5MRegulatory AUM
2Advisory reps
3Employees
0Clients
1-10Planning clients
3Private funds
1States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

40
February 2026 — NIERENBERG INVESTMENT MANAGEMENT COMPANY, LLC filed an Item 4A succession naming NIERENBERG INVESTMENT MANAGEMENT COMPANY, INC. (CRD 155416) — an entity change, not a deal.
Item 4A succession where the acquired firm is the same business (entity change, not a deal).
Integration & migration consultingCompliance
55
February 2026 — NIERENBERG INVESTMENT MANAGEMENT COMPANY, INC. is now doing business as NIERENBERG INVESTMENT MANAGEMENT COMPANY, LLC.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
60
April 2024 — NIERENBERG INVESTMENT MANAGEMENT COMPANY, INC. reported RAUM up 26% ($138.2M -> $174.5M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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