Firm profile

Global Imc LLC

SOLANA BEACH, CACRD 170870Registration Status: ApprovedEffective since May 23, 2014SEC # 801-79753Latest ADV September 1, 2026

Global Imc LLC is an SEC registered investment adviser organized as a limited liability company with a primary office location in Solana Beach, CA. Its latest Form ADV filing, dated September 1, 2026, reports $790M in regulatory assets under management, 22 employees, 2 offices, and 9 accounts.

Assets Under Management
$790M
Employees
22
Offices
2 offices
Total Clients
9

Associated firm names

4 names listed
  • EAM GLOBAL INVESTORS
  • THE INFORMED MOMENTUM COMPANY LLC
  • GLOBAL IMC LLC
  • EAM GLOBAL INVESTORS LLC

Leadership

3 roles identified
CEODerek J. Gaertner
CCOIris L. Kelly
COODerek J. Gaertner

Advisory services offered

4 types reported
Portfolio management for businesses
Portfolio management for investment companies
Portfolio management for pooled investment vehicles

Fee models offered

1 types reported
Asset based fees

Offices & Contact

Primary office

SOLANA BEACH, California, United States

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Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

California

SOLANA BEACHPrimary office

Washington

SPOKANE

2 office records listed · 2 total offices reported. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links
Phone760-479-5080
WebsiteNot found
LinkedInNot found

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$790Mas of September 1, 2026
Discretionary100.0%
$790M
100% of total RAUM100.0%
Non-discretionary0.0%
$0
0% of total RAUM0.0%
All regulatory assets under management are discretionary.

Client Coverage Demographics

Top client segmentCharitable represent 55.6% of total clients.
Top client categories% of clientsClients
1
Charitable
55.6%
5
2
Pooled Investment Vehicles
33.3%
3
3
Investment Cos.
11.1%
1

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$790M
Total Accounts9
10Y AUM Change+$486M (+159.7%)

Private Funds

Private funds reported by Global Imc LLC

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Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees22
Clients per Employee0:1
10Y Employee Change+7 (+46.7%)

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

Each range applies to a separate reported relationship and should not be added together.

Reported ownership ranges

Highlighted bands show the percentage range reported in Form ADV.

0%25%50%75%100%
THE INFORMED MOMENTUM COMPANY LLCDirect owner · Schedule AInterest in GLOBAL IMC LLC
50% to < 75%
CR FINANCIAL HOLDINGS, INC.Direct owner · Schedule AInterest in GLOBAL IMC LLC
25% to < 50%
TRAVIS TYLER PRENTICEDirect owner · Schedule AInterest in GLOBAL IMC LLC
10% to < 25%
FRANK PAGE HURSTDirect owner · Schedule AInterest in GLOBAL IMC LLC
10% to < 25%
NORTHERN LIGHTS MIDCO, LLCDirect owner · Schedule AInterest in GLOBAL IMC LLC
10% to < 25%
BYRON CLARENCE ROTHIndirect owner · Schedule BInterest in CR FINANCIAL HOLDINGS, INC.
75%+
AURORA TRUSTIndirect owner · Schedule BInterest in NORTHERN LIGHTS MIDCO, LLC
75%+
PACIFIC CURRENT GROUPIndirect owner · Schedule BInterest in AURORA TRUST
50% to < 75%
CR FINANCIAL HOLDINGS, INC.Indirect owner · Schedule BInterest in THE INFORMED MOMENTUM COMPANY LLC
25% to < 50%
NORTHERN LIGHTS CAPITAL PARTNERS, LLCIndirect owner · Schedule BInterest in AURORA TRUST
25% to < 50%

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 Global Imc LLC.

Reported ownership and control details

Form ADV · Filing date 2026-09-01 · Schedules A and B

16 entries
#Owner / person & roleInterest in entityReported interestControl personTitle / status acquiredSource
1THE INFORMED MOMENTUM COMPANY LLCMANAGER/CLASS A COMMON UNIT HOLDERDomestic entityGLOBAL IMC LLC50% to less than 75%Code DYesMANAGER/CLASS A COMMON UNIT HOLDER05/2014Schedule APDF page 33
2TRAVIS TYLER PRENTICEPRESIDENT, MANAGING DIRECTOR, CLASS B COMMON UNIT HOLDERIndividualGLOBAL IMC LLC10% to less than 25%Code BYesPRESIDENT, MANAGING DIRECTOR, CLASS B COMMON UNIT HOLDER01/2025Schedule APDF page 33
3DEREK JOHN GAERTNERCHIEF EXECUTIVE OFFICER, CHIEF OPERATING OFFICER, CLASS A COMMON UNIT HOLDERIndividualGLOBAL IMC LLCLess than 5%Code NAYesCHIEF EXECUTIVE OFFICER, CHIEF OPERATING OFFICER, CLASS A COMMON UNIT HOLDER01/2025Schedule APDF page 33
4FRANK PAGE HURSTMANAGING DIRECTOR, CLASS A COMMON UNIT HOLDERIndividualGLOBAL IMC LLC10% to less than 25%Code BYesMANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER05/2014Schedule APDF page 34
5JOSHUA MATTHEW MOSSVICE PRESIDENT, CLASS B COMMON UNIT HOLDERIndividualGLOBAL IMC LLCLess than 5%Code NAYesVICE PRESIDENT, CLASS B COMMON UNIT HOLDER05/2014Schedule APDF page 34
6NORTHERN LIGHTS MIDCO, LLCPREFERRED UNIT HOLDERDomestic entityGLOBAL IMC LLC10% to less than 25%Code BYesPREFERRED UNIT HOLDER07/2014Schedule APDF page 34
7IRIS LIBOHOVA KELLYCHIEF COMPLIANCE OFFICERIndividualGLOBAL IMC LLCLess than 5%Code NAYesCHIEF COMPLIANCE OFFICER01/2025Schedule APDF page 34
8CR FINANCIAL HOLDINGS, INC.MEMBERDomestic entityGLOBAL IMC LLC25% to less than 50%Code CYesMEMBER01/2014Schedule APDF page 34
9TRAVIS TYLER PRENTICEMANAGING MEMBERIndividualTHE INFORMED MOMENTUM COMPANY LLCPercentage not specifiedCode FYesMANAGING MEMBER07/2007Schedule BPDF page 34
10FRANK PAGE HURSTMANAGING MEMBERIndividualTHE INFORMED MOMENTUM COMPANY LLCPercentage not specifiedCode FYesMANAGING MEMBER06/2011Schedule BPDF page 34
11CR FINANCIAL HOLDINGS, INC.MEMBERDomestic entityTHE INFORMED MOMENTUM COMPANY LLC25% to less than 50%Code CYesMEMBER01/2014Schedule BPDF page 34
12BYRON CLARENCE ROTHSHAREHOLDERIndividualCR FINANCIAL HOLDINGS, INC.75% or moreCode EYesSHAREHOLDER01/2000Schedule BPDF page 34
13AURORA TRUSTMEMBERForeign entityNORTHERN LIGHTS MIDCO, LLC75% or moreCode EYesMEMBER11/2014Schedule BPDF page 34
14AURORA INVESTMENT MANAGEMENT PTY LIMITEDTRUSTEEForeign entityAURORA TRUSTPercentage not specifiedCode FYesTRUSTEE11/2014Schedule BPDF page 34
15PACIFIC CURRENT GROUPUNITHOLDERForeign entityAURORA TRUST50% to less than 75%Code DYesUNITHOLDER11/2014Schedule BPDF page 34
16NORTHERN LIGHTS CAPITAL PARTNERS, LLCUNITHOLDERDomestic entityAURORA TRUST25% to less than 50%Code CYesUNITHOLDER11/2014Schedule BPDF page 34

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 9/1/2026 2:52:38 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.

RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
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 actions5 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?No
  • 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?No
  • 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?No
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

* 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.