OFS CLO MANAGEMENT, LLC
Adviser information for OFS CLO MANAGEMENT, LLC 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 Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 53 |
|---|---|
| Investment Advisory/Research | 25 |
| Registered Broker-Dealer Representatives | 1 |
| 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 | 4 | $1.2B |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $1.2B |
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 | $1.2B |
| 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 | 100 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Principal Office
10 SOUTH WACKER DRIVESUITE 2500
CHICAGO
IL
United States
Monday - Friday, 9AM - 5PM (CST)
Tel: 847.734.2000, Fax: 847.734.7910
Chief Compliance Officer
MUKYA PORTER
4700 WILSHIRE BLVD
LOS ANGELES
CA
United States
Tel:
323-860-7421
Fax:
323.843.9482
M******@****************M
(Full email address available in API data)
Regulatory Contact
BRETT MIGUEL
AVP, COMPLIANCE
10 SOUTH WACKER DRIVE
SUITE 2500
CHICAGO
IL
United States
Tel:
847.734.2059
Fax:
847.734.7910
B******@****************M
(Full email address available in API data)
Industry Affiliates
| 432 PARK MANAGEMENT, LLC | Real estate broker or dealer |
| 4750 CO-INVESTOR, LLC | Sponsor or syndicator of limited partnerships |
| BROKER DEALER | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CCLA SMA I OPERATOR, LTD | Sponsor or syndicator of limited partnerships |
| CCO CAPITAL, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CCO GROUP, LLC | Sponsor or syndicator of limited partnerships |
| CIM CAPITAL CONTROLLED COMPANY MANAGEMENT, LLC | Other investment adviser, including financial planners |
| CIM CAPITAL IC MANAGEMENT, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| CIM CAPITAL RE DEBT MANAGEMENT, LLC | Other investment adviser, including financial planners |
| CIM CAPITAL REAL PROPERTY MANAGEMENT, LLC | Other investment adviser, including financial planners |
| CIM CAPITAL SA MANAGEMENT, LLC | Other investment adviser, including financial planners |
| CIM CAPITAL SECURITIES MANAGEMENT, LLC | Other investment adviser, including financial planners |
| CIM CAPITAL, LLC | Other investment adviser, including financial planners |
| CIM CONTROLLED COMPANY MANAGEMENT, LLC | Sponsor or syndicator of limited partnerships |
| CIM GROUP | Sponsor or syndicator of limited partnerships |
| CIM GROUP (AUSTRALIA) PTY LTD | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CIM GROUP, LP | Sponsor or syndicator of limited partnerships |
| CIM IL MANAGEMENT, LLC | Real estate broker or dealer |
| CIM INFRASTRUCTURE FUND II-A GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| CIM INFRASTRUCTURE FUND III GP (LUX), S.A.R.L. | Sponsor, GP, manager of pooled investment vehicles |
| CIM INFRASTRUCTURE FUND III GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| CIM INFRASTRUCTURE II GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| CIM MANAGEMENT, INC. | Real estate broker or dealer |
| CIM MD MANAGEMENT, LLC | Real estate broker or dealer |
| CIM NY MANAGEMENT, LLC | Real estate broker or dealer |
| CIM RE DEBT MANAGEMENT, LLC | Sponsor or syndicator of limited partnerships |
| CIM REAL ESTATE FINANCE MANAGEMENT, LLC | Commodity pool operator or commodity trading advisorSponsor or syndicator of limited partnerships |
| CIM REAL ESTATE SERVICES, LLC | Real estate broker or dealer |
| CIM TX MANAGEMENT, LLC | Real estate broker or dealer |
| CIM VA MANAGEMENT, LLC | Real estate broker or dealer |
| CREI ADVISORS, LLC | Real estate broker or dealer |
| OCV I GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| OCV MANAGEMENT, LLC | Other investment adviser, including financial planners |
| OFS CAPITAL MANAGEMENT, LLC | Other investment adviser, including financial planners |
| OFS CLO MANAGEMENT II, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| OFSI BSL X, LTD | Securitized Asset Fund | $311.5M | $0.1M | 0 |
| OFSI BSL CLO XI, LTD. | Securitized Asset Fund | $300.3M | $0.1M | 0 |
| OFSI BSL IX, LTD | Securitized Asset Fund | $375.1M | $0.1M | 0 |
| OFSI BSL VIII, LTD | Securitized Asset Fund | $169.1M | $0.1M | 0 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| OFS FUNDING I, LLC | Domestic Entity | – | MANAGING MEMBER | 12/2016 | > 75% |
| CERNY, JEFFREY, ALAN | Individual | – | SENIOR MANAGING DIRECTOR | 12/2016 | < 5% |
| RASHID, BILAL, (NMN) | Individual | – | PRESIDENT & SENIOR MANAGING DIRECTOR | 12/2016 | < 5% |
| REICHERT, TOD, KEVIN | Individual | – | MANAGING DIRECTOR, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICERS & SECRETARY | 12/2016 | < 5% |
| PORTER, MUKYA, SUE DENISE | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2017 | < 5% |
| ORCHARD FIRST SOURCE ASSET MANAGEMENT, LLC | Domestic Entity | OFS FUNDING I, LLC | MEMBER/MANAGER | 12/2009 | > 75% |
| ORCHARD FIRST SOURCE CAPITAL, INC. | Domestic Entity | ORCHARD FIRST SOURCE ASSET MANAGEMENT, LLC | MANAGER | 12/2009 | |
| ORCHARD FIRST SOURCE ASSET MANAGEMENT, LLC | Domestic Entity | OFS FUNDING I, LLC | OWNER | 12/2009 | > 75% |
| RESSLER, RICHARD, SCOTT | Individual | THE OI3 2019 TRUST | TRUSTEE | 01/2020 | |
| THE OI3 2019 TRUST | Domestic Entity | OI3, LLC | OWNER | 06/2023 | > 75% |
| ORCHARD INVESTMENTS, LLC | Domestic Entity | ORCHARD INVESTMENTS II, LLC | OWNER | 09/2021 | > 75% |
| ORCHARD FIRST SOURCE ASSET MANAGEMENT HOLDINGS, LLC | Domestic Entity | ORCHARD FIRST SOURCE ASSET MANAGEMENT, LLC | MEMBER/MANAGER | 12/2022 | > 75% |
| ORCHARD INVESTMENTS II, LLC | Domestic Entity | ORCHARD FIRST SOURCE ASSET MANAGEMENT HOLDINGS, LLC | OWNER/MANAGING MEMBER | 12/2022 | 50-75% |
| OI3, LLC | Domestic Entity | ORCHARD INVESTMENTS, LLC | OWNER | 06/2023 | > 75% |