Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Private Funds
Private funds reported by Senvest Management, LLC
Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
Ownership
Reported direct and indirect ownership ranges
Reported ownership ranges
Highlighted bands show the percentage range reported in Form ADV.
Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Senvest Management, LLC.
No indirect ownership information reported in the source’s Schedule B.
Reported ownership and control details
Form ADV · Filing date 2026-03-26 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | RICHARD RON MASHAALFOUNDER & CO-CHIEF INVESTMENT OFFICERIndividual | SENVEST MANAGEMENT, LLC | 75% or moreCode E | Yes | FOUNDER & CO-CHIEF INVESTMENT OFFICER04/1997 | Schedule APDF page 47 |
| 2 | GEORGE MALIKOTSISCHIEF FINANCIAL OFFICERIndividual | SENVEST MANAGEMENT, LLC | Less than 5%Code NA | Yes | CHIEF FINANCIAL OFFICER04/1997 | Schedule APDF page 47 |
| 3 | BRIAN MICHAEL GONICKCO-CHIEF INVESTMENT OFFICERIndividual | SENVEST MANAGEMENT, LLC | 10% to less than 25%Code B | Yes | CO-CHIEF INVESTMENT OFFICER03/2008 | Schedule APDF page 47 |
| 4 | HARILAOS TRAHANASCHIEF COMPLIANCE OFFICER & COUNSELIndividual | SENVEST MANAGEMENT, LLC | Less than 5%Code NA | Yes | CHIEF COMPLIANCE OFFICER & COUNSEL03/2016 | Schedule APDF page 47 |
| 5 | ROBERT LORNE KATZSR. MANAGING DIRECTORIndividual | SENVEST MANAGEMENT, LLC | Less than 5%Code NA | Yes | SR. MANAGING DIRECTOR03/2016 | Schedule APDF page 47 |
Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.
Compliance & Disclosures
Filing dated 3/26/2026 1:56:55 PM
Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.
AFelonies2 No
In the past ten years, have you or any advisory affiliate:
- A1Been convicted of or pleaded guilty or no contest to a felony?No
- A2Been charged with a felony?No
BMisdemeanors2 No
In the past ten years, have you or any advisory affiliate:
- B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
- B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions3 Yes2 No
Has the SEC or CFTC ever:
- C1Found you or an advisory affiliate made a false statement or omission?No
- C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?Yes
- C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- C4Entered an order against you or an advisory affiliate in connection with investment-related activity?Yes
- C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?Yes
DOther regulatory actions5 No
Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:
- D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
- D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
- D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
- D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No
Has a self-regulatory organization or commodities exchange ever:
- E1Found you or an advisory affiliate made a false statement or omission?No
- E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
- E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
- FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
- GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No
(1) Court actions
Has a domestic or foreign court:
- H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
- H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
- H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No
(2) Pending civil proceedings
- H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No
Additional DRP filings 1 source block
Verbatim excerpts from supporting DRP filings, which may concern the firm or advisory affiliates. Amounts retain their filed labels; no total or attribution is inferred.
regulatory · block 1PDF pages 48–50
- Regulator name — filed text
- UNITED STATES SECURITIES AND EXCHANGE COMMISSION
- Monetary/Fine Amount — filed text
- $ 6,500,000.00
- How was matter resolved — filed text
- Order
Action status / disposition — filed text
ON APRIL 3,2024 , THE SEC ISSUED A SETTLED ADMINISTRATIVE ORDER (THE "ORDER") FINDING VIOLATIONS DESCRIBED ABOVE UNDER ITEM 7 OF THIS DRP. SENVEST PAID THE CIVIL MONEY PENALTY ON APRIL 3, 2024. IN ADDITION TO THE OTHER SANCTIONS DETAILED IN ITEM 12 OF THIS DRP, PURSUANT TO THE ORDER, SENVEST HAS UNDERTAKEN TO RETAIN A COMPLIANCE CONSULTANT TO REVIEW CERTAIN ASPECTS OF SENVEST'S COMPLIANCE PROGRAM RELATED TO THE USE OF UNAUTHORIZED COMMUNICATION METHODS FOR BUSINESS COMMUNICATIONS, INCLUDING RELATED POLICIES, PROCEDURES, TRAININGS, SURVEILLANCE PROGRAM, TECHNOLOGICAL SOLUTIONS, AND OTHER PREVENTATIVE MEASURES. SENVEST HAS UNDERTAKEN TO IMPLEMENT SUCH CONSULTANT'S RECOMMENDATIONS, SUBJECT TO THE TERMS OF THE ORDER, AND AGREED TO A FOLLOW-ON REVIEW.
Other filed details
Description of allegations — filed text
THE SEC FOUND THAT SENVEST MANAGEMENT, LLC ("SENVEST") VIOLATED: (1) SECTION 204 OF THE ADVISERS ACT AND RULE 204-2(A)(7) BY FAILING TO ADEQUATELY PRESERVE CERTAIN OFF-CHANNEL COMMUNICATIONS RELATED TO ITS BUSINESS; (2) SECTION 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7 BY FAILING TO ADOPT AND IMPLEMENT WRITTEN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT VIOLATION OF THE ADVISERS ACT AND THE RULES THEREUNDER; (3) SECTION 204A OF THE ADVISERS ACT AND RULE 204A-1 BY FAILING TO ESTABLISH, MAINTAIN, AND ENFORCE A WRITTEN CODE OF ETHICS THAT MEETS THE MINIMUM STANDARDS SET FORTH IN RULE 204A-1; AND (4) SECTION 203(E)(6) OF THE ADVISERS ACY BY FAILING TO REASONABLY SUPERVISE CERTAIN EMPLOYEES.
Sanction detail — filed text
IN CONNECTION WITH THE ENTRY OF THE ORDER, SENVEST HAS AGREED TO (1) A CENSURE, (2) CEASE AND DESIST FROM COMMITTING OR CAUSING ANY FUTURE VIOLATIONS OF SECTIONS 204, 204A, AND 206(4) OF THE ADVISERS ACT, (3) PAY A $6.5 MILLION CIVIL MONEY PENALTY AND (4) PERFORM UNDERTAKINGS DESCRIBED IN RESPONSE TO QUESTION 13 OF THIS DISCLOSURE REPORTING PAGE.
Full extracted filing text
Includes form instructions and options. Options shown in this text do not identify which boxes were selected.
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page.
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A. The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name).
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
No Information Filed
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances:
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
Yes
No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1. Regulatory Action initiated by:
SEC
Other Federal
State
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO)
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
2.
Principal Sanction:
Cease and Desist
Other Sanctions:
UNDERTAKING, CIVIL MONETARY PENALTY, AND CENSURE
3.
Date Initiated (MM/DD/YYYY):
04/03/2024
Exact
Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
ADMINISTRATIVE PROCEEDING FILE NO. 3-21900
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
No Product
Other Product Types:
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
THE SEC FOUND THAT SENVEST MANAGEMENT, LLC ("SENVEST") VIOLATED: (1) SECTION 204 OF THE ADVISERS ACT AND RULE 204-2(A)(7) BY FAILING
TO ADEQUATELY PRESERVE CERTAIN OFF-CHANNEL COMMUNICATIONS RELATED TO ITS BUSINESS; (2) SECTION 206(4) OF THE ADVISERS ACT AND
RULE 206(4)-7 BY FAILING TO ADOPT AND IMPLEMENT WRITTEN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT VIOLATION OF THE
ADVISERS ACT AND THE RULES THEREUNDER; (3) SECTION 204A OF THE ADVISERS ACT AND RULE 204A-1 BY FAILING TO ESTABLISH, MAINTAIN, AND
ENFORCE A WRITTEN CODE OF ETHICS THAT MEETS THE MINIMUM STANDARDS SET FORTH IN RULE 204A-1; AND (4) SECTION 203(E)(6) OF THE
ADVISERS ACY BY FAILING TO REASONABLY SUPERVISE CERTAIN EMPLOYEES.
8.
Current Status?
Pending
On Appeal
Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Order
11. Resolution Date (MM/DD/YYYY):
04/03/2024
Exact
Explanation
If not exact, provide explanation:
12. Resolution Detail:
A. Were any of the following Sanctions Ordered (check all appropriate items)?
Monetary/Fine Amount: $ 6,500,000.00
Revocation/Expulsion/Denial
Disgorgement/Restitution
Censure
Cease and Desist/Injunction
Bar
Suspension
B.
Other Sanctions Ordered:
UNDERTAKINGS
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived:
IN CONNECTION WITH THE ENTRY OF THE ORDER, SENVEST HAS AGREED TO (1) A CENSURE, (2) CEASE AND DESIST FROM COMMITTING OR
CAUSING ANY FUTURE VIOLATIONS OF SECTIONS 204, 204A, AND 206(4) OF THE ADVISERS ACT, (3) PAY A $6.5 MILLION CIVIL MONEY PENALTY
AND (4) PERFORM UNDERTAKINGS DESCRIBED IN RESPONSE TO QUESTION 13 OF THIS DISCLOSURE REPORTING PAGE.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
ON APRIL 3,2024 , THE SEC ISSUED A SETTLED ADMINISTRATIVE ORDER (THE "ORDER") FINDING VIOLATIONS DESCRIBED ABOVE UNDER ITEM 7 OF
THIS DRP. SENVEST PAID THE CIVIL MONEY PENALTY ON APRIL 3, 2024. IN ADDITION TO THE OTHER SANCTIONS DETAILED IN ITEM 12 OF THIS DRP,
PURSUANT TO THE ORDER, SENVEST HAS UNDERTAKEN TO RETAIN A COMPLIANCE CONSULTANT TO REVIEW CERTAIN ASPECTS OF SENVEST'S
COMPLIANCE PROGRAM RELATED TO THE USE OF UNAUTHORIZED COMMUNICATION METHODS FOR BUSINESS COMMUNICATIONS, INCLUDING RELATED
POLICIES, PROCEDURES, TRAININGS, SURVEILLANCE PROGRAM, TECHNOLOGICAL SOLUTIONS, AND OTHER PREVENTATIVE MEASURES. SENVEST HAS
UNDERTAKEN TO IMPLEMENT SUCH CONSULTANT'S RECOMMENDATIONS, SUBJECT TO THE TERMS OF THE ORDER, AND AGREED TO A FOLLOW-ON
REVIEW.* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.