Governance

Legal, Privacy & Compliance

Information about how Gallantree operates, the terms that apply to your use of this website, and the disclosures required by US federal securities laws.

Broker-Dealer and Adviser Disclosures

Last updated: 9 August 2026

Securities and investment advisory services within the Gallantree group are provided by entities registered with the US Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). This page summarizes the registered entities, the scope of the services offered, and where to find their regulatory filings.

Registered entities

Gallantree Securities LLC — SEC-registered broker-dealer, member FINRA / SIPC [CRD #TBD]
Gallantree Advisors LLC — SEC-registered investment adviser [SEC File #801-TBD]
Gallantree, Inc. — US holding company. Registered office: 1 Rockefeller Plaza, New York, NY 10020

Regulatory filings and lookup

You can verify the background of Gallantree Securities LLC and its registered representatives on FINRA BrokerCheck at brokercheck.finra.org. You can review Gallantree Advisors LLC's Form ADV, brochures, and disciplinary history on the SEC Investment Adviser Public Disclosure database at adviserinfo.sec.gov. Form CRS (the Client Relationship Summary) is available on request and on our Form CRS page.

Services offered

Gallantree Securities LLC and Gallantree Advisors LLC provide the following services to institutional investors, Qualified Institutional Buyers, and Accredited Investors:

structuring, private placement, and institutional distribution of rated structured credit securities under Rule 144A and Regulation D 506(c), including CRE-CLO, CLO, non-agency RMBS, CMBS, and specialty ABS;
investment advisory services relating to structured credit and private-credit portfolios, program management, and warehouse aggregation;
program-level analytics, surveillance, reporting, and post-close program management delivered through the Gallantree Platform.

Institutional and Accredited Investors only

Offerings referenced on this website are directed solely to persons who qualify as Qualified Institutional Buyers under Rule 144A, or as Accredited Investors under Regulation D 506(c), of the US Securities Act of 1933, as amended. Gallantree does not offer or sell securities to retail investors through this website.

Before subscribing for any Gallantree offering, you may be required to provide evidence of your status as a Qualified Institutional Buyer or Accredited Investor, including third-party verification where applicable under Rule 506(c).

No offer or solicitation

Nothing on this website constitutes an offer to sell, or the solicitation of an offer to buy, any security. Any offering will be made only pursuant to definitive offering documents made available to eligible investors, which should be read in full before any investment decision is made.

No agency affiliation

Gallantree is not affiliated with, sponsored by, endorsed by, or acting on behalf of Fannie Mae, Freddie Mac, Ginnie Mae, the Federal Housing Finance Agency, the Federal Home Loan Bank system, or any US federal agency or government-sponsored enterprise. Gallantree programs are not guaranteed by any such entity or by the US government.

Complaints handling

If you have a complaint about a service provided by Gallantree, please contact our Compliance team. Complaints relating to the broker-dealer are handled under FINRA Rule 4530 and internal WSPs. Complaints relating to the investment adviser are handled under the adviser's Code of Ethics and Compliance program described in Form ADV.

Compliance enquiries