Goehring & Rozencwajg Associates, LLC
Registered investment adviser · New York, NY · CRD #283394
Form ADV data as of 2026-09-01Regulatory assets
$1.51 billion
Total accounts
13
Employees
6
Disclosure events
0
Firm details
- Website: https://twitter.com/go_rozen
- Telephone: 646-216-9777
- SEC file number: 801-107891
- Most recent Form ADV filing: 2026-05-04
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $1.51 billion |
| Non-discretionary regulatory assets under management | $0 |
| Total regulatory assets under management | $1.51 billion |
| Discretionary accounts | 13 |
| Non-discretionary accounts | 0 |
| Total accounts | 13 |
| Regulatory assets under management attributable to non-U.S. persons | $608.7 million |
People
| Total employees (excluding clerical) | 6 |
| Employees performing investment advisory functions (including research) | 2 |
| Employees who are registered representatives of a broker-dealer | 2 |
| Employees registered as investment adviser representatives with a state | 0 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 2 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | Yes |
| A related person has custody of client securities | Yes |
| Client funds and securities held in a related person's custody | $5.3 million |
| Clients for whom a related person has custody | 3 |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
| Number of persons acting as qualified custodians for the firm's clients | 1 |
How the firm is compensated
Advisory services offered
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Recommends securities in which it has another proprietary interest
- Recommends securities for which it serves as underwriter or general partner
- Compensates a non-employee for client referrals
- Provides employee compensation specifically for obtaining clients
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Investment companies | 1 | $764.4 million |
| Pooled investment vehicles (other than investment companies and BDCs) | 3 | $5.3 million |
| Pension and profit sharing plans (not the participants or government plans) | Not reported | $13.8 million |
| Sovereign wealth funds and foreign official institutions | Not reported | $160.8 million |
| Corporations or other businesses not listed above | Not reported | $126.7 million |
| Other | Not reported | $443.6 million |