BALBEC CAPITAL MANAGEMENT LP
Adviser information for BALBEC CAPITAL MANAGEMENT LP last updated from Form ADV on March 29th, 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 Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 105 |
|---|---|
| Investment Advisory/Research | 38 |
| 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 | 19 | $6.1B |
| Non-Discretionary | 1 | $227.4M |
| Total | 20 | $6.4B |
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 | 19 | $6.1B |
| 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 | <5 | $227.4M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesNON-DISCRETIONARY ADVISORY SERVICES TO SEPARATELY MANAGED ACCOUNT |
|---|---|
| Compensation | % of AUMPerformance-based feesASSET MANAGEMENT FEES |
Identifiers
| SEC RIA File Number | 801-108741 |
|---|---|
| SEC ERA File Number | 801-108741 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 284363 |
| Legal Entity Identifier | 549300ZNG8IUFU0CB396 |
Principal Office
7114 E STETSON DRIVESUITE 250
SCOTTSDALE
AZ
United States
Monday - Friday, 9:00 A.M. - 6:00 P.M.
Tel: 602-802-8300, Fax: None
Chief Compliance Officer
BRETT S. NIEHAUS
7114 E STETSON DRIVE
SUITE 250
SCOTTSDALE
AZ
United States
Tel:
602-802-8307
B*******@*********M
(Full email address available in API data)
Regulatory Contact
JEFF C. PADDEN
GENERAL COUNSEL
7114 E STETSON DRIVE
SUITE 250
SCOTTSDALE
AZ
United States
Tel:
602-802-8306
J******@*********M
(Full email address available in API data)
Industry Affiliates
| BALBEC MIH MANAGEMENT, LP | Sponsor, GP, manager of pooled investment vehicles |
| BALBEC MORTGAGE STRATEGIES FUND GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| BALBEC SC CAPITAL MANAGEMENT, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| BALBEC SC EVERGREEN FEEDER FUND GP, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| BMCF MANAGEMENT FUND II, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| FALLINGWATER CAPITAL MANAGEMENT, LP | Sponsor, GP, manager of pooled investment vehicles |
| FALLINGWATER FEEDER FUND GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| INSOLVE CAPITAL MANAGEMENT FUND III, LP | Sponsor, GP, manager of pooled investment vehicles |
| INSOLVE CAPITAL MANAGEMENT FUND IV, LP | Sponsor, GP, manager of pooled investment vehicles |
| INSOLVE CAPITAL MANAGEMENT FUND V, LP | Sponsor, GP, manager of pooled investment vehicles |
| INSOLVE CAPITAL MANAGEMENT FUND VI, LP | Sponsor, GP, manager of pooled investment vehicles |
| INSOLVE GLOBAL CREDIT FEEDER FUND III, GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| INSOLVE GLOBAL CREDIT FEEDER FUND IV, GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| INSOLVE GLOBAL CREDIT FEEDER FUND V, GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| INSOLVE GLOBAL CREDIT FEEDER FUND VI GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PALACE CAPITAL MANAGEMENT FUND II, LP | Sponsor, GP, manager of pooled investment vehicles |
| SOUTHBRIDGE LAW GROUP, P.C. | Lawyer or law firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| BALBEC SC EVERGREEN FUND, L.P. | Private Equity Fund | $310.0M | $0.0M | 3 |
| BKPL MORTGAGE HOLDING SPV, LP | Private Equity Fund | $154.6M | $0.0M | 10 |
| BMCF FUND II, L.P. | Private Equity Fund | $41.6M | $0.0M | 3 |
| FALLINGWATER FUND, LP | Private Equity Fund | $53.3M | $0.0M | 4 |
| INSOLVE GLOBAL CREDIT FUND - SC, LLC | Private Equity Fund | $9.2M | $0.0M | 2 |
| INSOLVE GLOBAL CREDIT FUND III, LP | Private Equity Fund | $342.7M | $0.0M | 337 |
| INSOLVE GLOBAL CREDIT FUND IV, LP | Private Equity Fund | $1,241.0M | $0.0M | 447 |
| INSOLVE GLOBAL CREDIT FUND V, LP | Private Equity Fund | $2,722.0M | $0.0M | 638 |
| INSOLVE GLOBAL CREDIT FUND VI, LP | Private Equity Fund | $448.2M | $0.0M | 253 |
| PALACE MORTGAGE FUND II, L.P. | Private Equity Fund | $372.1M | $0.0M | 9 |
| PALACE MORTGAGE FUND, L.P. | Private Equity Fund | $135.7M | $0.0M | 13 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BALBEC CAPITAL MANAGEMENT, LLC | Domestic Entity | – | GENERAL PARTNER | 09/2016 | < 5% |
| SPECTOR, WARREN, JEFFREY | Individual | – | CHAIRMAN | 09/2016 | < 5% |
| RUSBASAN, CHARLES, JOSEPH | Individual | – | CHIEF EXECUTIVE OFFICER | 09/2016 | < 5% |
| PADDEN, JEFF, CARTER | Individual | – | CHIEF LEGAL OFFICER | 09/2016 | < 5% |
| DANIELS, PHILIP, JOHN | Individual | – | CHIEF INVESTMENT OFFICER | 09/2016 | < 5% |
| INSOLVE CAPITAL G.P. PARENT (OPERATIONS), L.P. | Domestic Entity | – | LIMITED PARTNER OF BALBEC CAPITAL MANAGEMENT, LP | 12/2016 | > 75% |
| INSOLVE CAPITAL G.P. PARENT (OPERATIONS), L.P. | Domestic Entity | BALBEC CAPITAL MANAGEMENT, LLC | MEMBER | 12/2016 | > 75% |
| INSOLVE CAPITAL G.P. PARENT, L.L.C. | Domestic Entity | INSOLVE CAPITAL GP (OPERATIONS), LP | GENERAL PARTNER | 12/2016 | |
| NIEHAUS, BRETT, STEVEN | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2021 | < 5% |
| HOUGHTON, CHRISTINA, L | Individual | – | CHIEF FINANACIAL OFFICER | 01/2023 | < 5% |
| TROISI, PETER, JOHN | Individual | – | PRESIDENT | 01/2023 | < 5% |