Firm profile

Bergamot Asset Management LP

PRINCETON, NJCRD 309424Registration Status: ApprovedEffective since May 1, 2026SEC # 801-136089Latest ADV October 20, 2026

Bergamot Asset Management LP's Form ADV filing dated 2026-10-20 reports $106,482,912 in regulatory assets under management, $57,594,550 discretionary and $48,888,362 non-discretionary, 258 accounts, and 8 employees.

Assets Under Management
$106M
Employees
8
Offices
1 office
Total Clients
114

Associated firm names

1 name listed
  • BERGAMOT ASSET MANAGEMENT LP

Leadership

1 roles identified
CCOCassandra E. Lally

Advisory services offered

3 types reported
Portfolio management for businesses
Portfolio management for individuals and small businesses
Portfolio management for pooled investment vehicles

Fee models offered

3 types reported
Asset based fees
Fixed fees
Performance-based fees

Offices & Contact

Primary office

PRINCETON, New Jersey, 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.

New Jersey

PRINCETONPrimary office

1 office records listed · 1 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

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$106Mas of October 20, 2026
Discretionary54.1%
$58M
54% of total RAUM54.1%
Non-discretionary45.9%
$49M
46% of total RAUM45.9%
Regulatory assets under management are split between discretionary and non-discretionary assets.

Client Coverage Demographics

Top client segmentIndividuals represent 42.1% of total clients.
Top client categories% of clientsClients
1
Individuals
42.1%
48
2
HNWI
41.2%
47
3
Corporations
10.5%
12
4
Pooled Investment Vehicles
6.1%
7
Categories with <5 clients
Charitable Organizations<5 clients

Assets under management Growth by Quarter

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

Total AUM$106M
Total Accounts258
10Y AUM Change$0 (0.0%)

Private Funds

Private funds reported by Bergamot Asset Management LP

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Employee Growth by Quarter

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

Total Employees8
Clients per Employee14:1
10Y Employee Change0 (0.0%)

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.

This firm has a multi year gap in available SEC ADV filing history between 2020 and 2026. Charts show the most recent available filing segment under this CRD.


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%
CHRISTOPHER NEAL LIONGDirect owner · Schedule AInterest in BERGAMOT ASSET MANAGEMENT LP
25% to < 50%
ANOMALY CREATIVE CAPITAL LLCDirect owner · Schedule AInterest in BERGAMOT ASSET MANAGEMENT LP
25% to < 50%
Vijay AluwaliaDirect owner · Schedule AInterest in BERGAMOT ASSET MANAGEMENT LP
5% to < 10%
BERGAMOT ASSET MANAGEMENT, LLCDirect owner · Schedule AInterest in BERGAMOT ASSET MANAGEMENT LP
< 5%
PHASE ONE NETWORK, INC.Indirect owner · Schedule BInterest in ANOMALY CREATIVE CAPITAL LLC
75%+
Frank BabarIndirect owner · Schedule BInterest in PHASE ONE NETWORK, INC.
25% to < 50%
Lisa BabarIndirect owner · Schedule BInterest in PHASE ONE NETWORK, INC.
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 Bergamot Asset Management LP.

Reported ownership and control details

Form ADV · Filing date 2026-05-01 · Schedules A and B

8 entries
#Owner / person & roleInterest in entityReported interestControl personTitle / status acquiredSource
1CHRISTOPHER NEAL LIONGCIO, PORTFOLIO MANAGERIndividualBERGAMOT ASSET MANAGEMENT LP25% to less than 50%Code CYesCIO, PORTFOLIO MANAGER08/2019Schedule APDF page 52
2CASSANDRA ENRIQUEZ-BALLO LALLYCHIEF COMPLIANCE OFFICERIndividualBERGAMOT ASSET MANAGEMENT LPLess than 5%Code NAYesCHIEF COMPLIANCE OFFICER08/2019Schedule APDF page 52
3ANOMALY CREATIVE CAPITAL LLCLIMITED PARTNERDomestic entityBERGAMOT ASSET MANAGEMENT LP25% to less than 50%Code CNoLIMITED PARTNER05/2020Schedule APDF page 52
4BERGAMOT ASSET MANAGEMENT, LLCGENERAL PARTNERDomestic entityBERGAMOT ASSET MANAGEMENT LPLess than 5%Code NAYesGENERAL PARTNER05/2020Schedule APDF page 53
5Vijay AluwaliaWEALTH ADVISOR, PARTNERIndividualBERGAMOT ASSET MANAGEMENT LP5% to less than 10%Code ANoWEALTH ADVISOR, PARTNER01/2023Schedule APDF page 53
6PHASE ONE NETWORK, INC.MEMBERDomestic entityANOMALY CREATIVE CAPITAL LLC75% or moreCode EYesMEMBER03/2020Schedule BPDF page 53
7Frank BabarSHAREHOLDERIndividualPHASE ONE NETWORK, INC.25% to less than 50%Code CYesSHAREHOLDER09/2003Schedule BPDF page 53
8Lisa BabarSHAREHOLDERIndividualPHASE ONE NETWORK, INC.25% to less than 50%Code CYesSHAREHOLDER09/2003Schedule BPDF page 53

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 5/1/2026 11:31:07 AM

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.