FLAT ROCK GLOBAL
FLAT ROCK GLOBAL, LLC Legal Name
Adviser information for FLAT ROCK GLOBAL last updated from Form ADV on March 25th, 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 | Wyoming, United States |
Employees
| Total Number of Employees | 12 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 5 |
| 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 | $833.1M |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $833.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 3 | $833.1M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| 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 | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Principal Office
680 S CACHE STREETSUITE 100
JACKSON
WY
United States
Monday - Friday, 9:00-5:30
Tel: 307-500-5200, Fax: None
Chief Compliance Officer
ANDREW P. CHICA
P.O. BOX 847
MORRISVILLE
NC
United States
Tel:
9196464005
A********@********************M
(Full email address available in API data)
Regulatory Contact
RYAN K. RIPP
CFO
680 S CACHE STREET
SUITE 100
JACKSON
WY
United States
Tel:
9082397493
R***@*****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GRUNEWALD, ROBERT, KARL | Individual | – | CHIEF EXECUTIVE OFFICER | 11/2016 | < 5% |
| ROBERT KARL GRUNEWALD REVOCABLE TRUST | Domestic Entity | – | MEMBER - CLASS A & C | 09/2020 | 10-25% |
| TURTLE, LLC | Domestic Entity | – | MEMBER - CLASS A & C | 09/2020 | 10-25% |
| THOMSON FAMILY LIMITED PARTNERSHIP | Domestic Entity | – | MEMBER - CLASS A & C | 09/2020 | 5-10% |
| FLAT ROCK GLOBAL - SERIES A, LLC | Domestic Entity | – | MEMBER - CLASS A | 09/2020 | 10-25% |
| GRUNEWALD, ROBERT, KARL | Individual | ROBERT KARL GRUNEWALD REVOCABLE TRUST | TRUSTEE | 11/2015 | > 75% |
| KLEINERT, ROBERT, ALAN | Individual | TURTLE, LLC | MANAGER | 08/1997 | > 75% |
| THOMSON FAMILY MANAGEMENT LLC | Domestic Entity | THOMSON FAMILY LIMITED PARTNERSHIP | GENERAL PARTNER | 02/2018 | 25-50% |
| THOMSON, JOHN, LAWRENCE | Individual | THOMSON FAMILY MANAGEMENT LLC | MANAGER | 09/2020 | > 75% |
| RIPP, RYAN, KELLY | Individual | – | CHIEF FINANCIAL OFFICER | 01/2021 | < 5% |
| BATES, SHILOH, RYAN | Individual | – | MANAGING DIRECTOR | 05/2018 | 10-25% |
| CHICA, ANDREW, PAUL | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2022 | < 5% |
| ROBERT KARL GRUNEWALD 2022 IRREVOCABLE TRUST | Domestic Entity | – | MEMBER - CLASS A | 10/2023 | 10-25% |
| GRUNEWALD, ROBERT, KARL | Individual | ROBERT KARL GRUNEWALD 2022 IRREVOCABLE TRUST | TRUSTEE | 10/2023 | > 75% |