SPRING LAKE ASSET MANAGEMENT, INC.
Adviser information for SPRING LAKE ASSET MANAGEMENT, INC. last updated from Form ADV on March 19th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 3 | $1.1B |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $1.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 3 | $1.1B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 32 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-108168 |
|---|---|
| SEC ERA File Number | 801-108168 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 283750 |
| Legal Entity Identifier | 549300SOYIVCXO2JZN97 |
Principal Office
3214 WEST PARKLAND BLVD.TAMPA
FL
United States
Monday - Friday, 9-5
Tel: 813-336-6889, Fax: None
Websites
Chief Compliance Officer
DAVID THOMAS
CHIEF OPERATING OFFICER
3214 WEST PARKLAND BLVD.
TAMPA
FL
United States
Tel:
917-242-4881
D**********@***************M
(Full email address available in API data)
Regulatory Contact
CHRISTOPHER CROSBY
PRESIDENT
3214 WEST PARKLAND BLVD.
TAMPA
FL
United States
Tel:
813-336-6889
C**********@***************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| SPRING LAKE UNCONSTRAINED MUNICIPAL OPPORTUNITIES FUND II, LLC | Hedge Fund | $149.0M | $0.0M | 87 |
| SPRING LAKE UNCONSTRAINED MUNICIPAL OPPORTUNITIES FUND, LLC | Hedge Fund | $937.0M | $0.0M | 136 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| THOMAS, DAVID, EDWARD | Individual | – | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | 02/2017 | < 5% |
| CALDWELL, THOMAS, BARRY | Individual | – | CEO | 01/2015 | 25-50% |
| CROSBY, CHRISTOPHER, WILLIAM | Individual | – | PRESIDENT | 01/2015 | 25-50% |
| BRISCOE, KAITLIN, MCGILLION | Individual | – | PORTFOLIO MANAGER | 01/2017 | 25-50% |
| BRODSKY, MICHAEL, DYLAN | Individual | – | PORTFOLIO MANAGER | 01/2023 | 25-50% |