WESTROCK ASSET MANAGEMENT, LLC
Adviser information for WESTROCK ASSET MANAGEMENT, LLC last updated from Form ADV on March 28th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 4 | $416.8M |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $416.8M |
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 | 4 | $416.8M |
| 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 | 25 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
4009 N. RODNEY PARHAM ROADLITTLE ROCK
AR
United States
Monday - Friday, 8:30 A.M. - 5:30 P.M.
Tel: 501.320.4867, Fax: 501.320.4879
Chief Compliance Officer
MARY ANN SMITH
4009 N. RODNEY PARHAM ROAD
LITTLE ROCK
AR
United States
Tel:
501.320.4867
Fax:
501.320.4879
M*********@*************M
(Full email address available in API data)
Industry Affiliates
| WESTROCK ABSOLUTE RETURN GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| WESTROCK ALPHA GP, L.P. | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| WESTROCK ARCH GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| WESTROCK EQUITIES GP, LLC | Sponsor or syndicator of limited partnerships |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| WESTROCK ABSOLUTE RETURN FUND, LP | FUND OF FUNDS | $19.7M | $1.0M | 9 |
| WESTROCK ALPHA MASTER FUND, L.P. | Hedge Fund | $405.8M | $1.0M | 11 |
| WESTROCK ARCH FUND, LP | FUND OF FUNDS | $13.5M | $1.0M | 8 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FORD, SCOTT, THOMAS | Individual | – | CHAIRMAN | 01/2015 | < 5% |
| WESTROCK GROUP, LLC | Domestic Entity | – | SOLE MEMBER | 12/2014 | > 75% |
| GREENBRIER HOLDINGS, LLC | Domestic Entity | WESTROCK GROUP, LLC | MEMBER | 12/2013 | 50-75% |
| Ford, Samuel, Thomas | Individual | – | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | 11/2017 | < 5% |
| WOOSTER CAPITAL, LLC | Domestic Entity | WESTROCK GROUP, LLC | MEMBER | 12/2013 | 25-50% |
| FORD, SCOTT, THOMAS | Individual | GREENBRIER HOLDINGS, LLC | SOLE MEMBER | 12/2013 | > 75% |
| FORD, JOE, THOMAS | Individual | WOOSTER CAPITAL, LLC | SOLE MEMBER | 12/2013 | > 75% |
| Smith, Mary, Ann | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2020 | < 5% |