SEIX CLO MANAGEMENT LLC
Adviser information for SEIX CLO MANAGEMENT LLC last updated from Form ADV on March 27th, 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 | 12 |
|---|---|
| Investment Advisory/Research | 10 |
| 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 | 2 | $704.6M |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $704.6M |
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 | 2 | $704.6M |
| 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 | 2 |
| No. of Non-U.S. Clients | 100 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | COLLATERAL MANAGEMENT FEES. SEE CLO OFFERING MEMORANDUM. |
Identifiers
| SEC RIA File Number | 801-108565 |
|---|---|
| SEC ERA File Number | 801-108565 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 285354 |
| Legal Entity Identifier | 549300JKFCXYQONPOL14 |
Principal Office
ONE MAYNARD DRIVESUITE 3200
PARK RIDGE
NJ
United States
Monday - Friday, 8:30 - 5:00
Tel: 201-391-0300, Fax: 201-391-5023
Chief Compliance Officer
DEIRDRE A. DILLON
ONE MAYNARD DRIVE
SUITE 3200
PARK RIDGE
NJ
United States
Tel:
2018022305
Fax:
2013915023
D******@***************M
(Full email address available in API data)
Regulatory Contact
ROBERT CERETTI
COMPLIANCE OFFICER
ONE MAYNARD DRIVE
SUITE 3200
PARK RIDGE
NJ
United States
Tel:
2017432606
Fax:
2013915023
R*******@***************M
(Full email address available in API data)
Industry Affiliates
| ALPHASIMPLEX GROUP, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| CEREDEX VALUE ADVISORS LLC | Other investment adviser, including financial planners |
| DUFF & PHELPS INVESTMENT MANAGEMENT CO. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC | Other investment adviser, including financial planners |
| NFJ INVESTMENT GROUP, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| SEIX CLO MANAGEMENT GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| SILVANT CAPITAL MANAGEMENT LLC | Other investment adviser, including financial planners |
| SUSTAINABLE GROWTH ADVISERS, LP | Other investment adviser, including financial planners |
| VIRTUS ALTERNATIVE INVESTMENT ADVISERS, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| VIRTUS ETF ADVISERS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| VIRTUS FIXED INCOME ADVISERS, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| VIRTUS FUND ADVISERS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| VIRTUS GLOBAL PARTNERS PTE. LTD. | Other investment adviser, including financial planners |
| VIRTUS INTERNATIONAL FUND MANAGEMENT LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| VIRTUS INTERNATIONAL MANAGEMENT LLP | Other investment adviser, including financial planners |
| VIRTUS INVESTMENT ADVISERS, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| VP DISTRIBUTORS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| WESTCHESTER CAPITAL MANAGEMENT, LLC | Other investment adviser, including financial planners |
| WESTCHESTER CAPITAL PARTNERS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| MOUNTAIN VIEW CLO 2016-1 LTD. | Securitized Asset Fund | $409.9M | $0.3M | 1 |
| MOUNTAIN VIEW CLO 2017-1 LTD. | Securitized Asset Fund | $294.7M | $0.3M | 4 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DILLON, DEIRDRE, ANN | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2016 | < 5% |
| SEIX CLO MANAGEMENT LP | Foreign Entity | – | MEMBER | 07/2016 | > 75% |
| VIRTUS FIXED INCOME ADVISERS, LLC | Domestic Entity | SEIX CLO MANAGEMENT GP LLC | SOLE MEMBER | 07/2016 | > 75% |
| VIRTUS INTERMEDIATE HOLDINGS LLC | Domestic Entity | SEIX CLO MANAGEMENT LP | MEMBER | 11/2013 | > 75% |
| AYLWARD, GEORGE, ROBERT | Individual | – | CHIEF EXECUTIVE OFFICER | 06/2017 | < 5% |
| SEIX CLO MANAGEMENT GP LLC | Domestic Entity | SEIX CLO MANAGEMENT LP | GENERAL PARTNER | 01/2018 | |
| ANGERTHAL, MICHAEL, AARON | Individual | – | EVP, CHIEF FINANCIAL OFFICER | 06/2017 | < 5% |
| VIRTUS PARTNERS, INC. | Domestic Entity | VIRTUS INTERMEDIATE HOLDINGS LLC | SOLE MEMBER | 06/2017 | > 75% |
| VIRTUS INVESTMENT PARTNERS, INC. | Domestic Entity | VIRTUS PARTNERS, INC. | SOLE SHAREHOLDER | 11/2008 | > 75% |