COMPASS ROSE ASSET MANAGEMENT
COMPASS ROSE ASSET MANAGEMENT, LP Legal Name
Adviser information for COMPASS ROSE ASSET MANAGEMENT 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 Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 35 |
|---|---|
| Investment Advisory/Research | 18 |
| 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 | 4 | $12.4B |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $12.4B |
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 | 3 | $9.5B |
| 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 | $2.8B |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 88 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesSEPARATELY MANAGED ACCOUNTS |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
124 EAST 14TH STREET21ST FLOOR
NEW YORK
NY
United States
Monday - Friday, 9 A.M. - 5 P.M.
Tel: 212-888-1433, Fax: 212-888-1033
Websites
Chief Compliance Officer
TODD FRANCIS DUFFY
124 EAST 14TH STREET
21ST FLOOR
NEW YORK
NY
United States
Tel:
212-888-1433
Fax:
212-888-1033
D****@****************M
(Full email address available in API data)
Regulatory Contact
JONATHAN FRISCH
DIRECTOR OF OPERATIONS
124 EAST 14TH STREET
21ST FLOOR
NEW YORK
NY
United States
Tel:
212-888-1433
F*****@****************M
(Full email address available in API data)
Industry Affiliates
| COMPASS ROSE GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CLAREN ROAD CREDIT FUND, LTD. | Hedge Fund | $2,101.4M | $50.0M | 204 |
| CLAREN ROAD CREDIT MASTER FUND, LTD. | Hedge Fund | $9,517.8M | $0.0M | 240 |
| CLAREN ROAD CREDIT PARTNERS, LP | Hedge Fund | $339.6M | $50.0M | 34 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FAHEY, SEAN, PATRICK | Individual | – | CO-CHIEF INVESTMENT OFFICER | 09/2017 | 25-50% |
| RIANO, BRIAN, PETER | Individual | – | CHIEF EXECUTIVE OFFICER | 09/2017 | 25-50% |
| COMPASS ROSE ASSET MANAGEMENT GP, LLC | Domestic Entity | – | GENERAL PARTNER | 09/2017 | < 5% |
| RIANO, BRIAN, PETER | Individual | COMPASS ROSE ASSET MANAGEMENT GP, LLC | MEMBER | 09/2017 | |
| FAHEY, SEAN, PATRICK | Individual | COMPASS ROSE ASSET MANAGEMENT GP, LLC | MEMBER | 09/2017 | |
| DUFFY, TODD, FRANCIS | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2018 | < 5% |
| ROCHE, JASON, MICHAEL | Individual | COMPASS ROSE ASSET MANAGEMENT GP, LLC | MEMBER | 08/2018 | 25-50% |
| ROCHE, JASON, MICHAEL | Individual | – | CO-CHIEF INVESTMENT OFFICER | 08/2018 | 25-50% |
| BERMAN, NEIL, ANDREW | Individual | – | CHIEF FINANCIAL OFFICER | 01/2021 | < 5% |
| LEWIS, CAMERON, O"CONNOR | Individual | – | PORTFOLIO MANAGER | 05/2018 | 5-10% |
| CARROLL, BRYAN, JOHN | Individual | – | CHIEF RISK OFFICER | 09/2017 | 10-25% |
| COMPASS ROSE GP LLC | Domestic Entity | – | GENERAL PARTNER | 07/2018 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ALBEMARLE CORP | 7.25% DEP SHS A | 7M | 140K | – |
| ALTICE USA INC | CL A | 1M | 600K | – |
| COMMSCOPE HLDG CO INC | COM | 1M | 1M | – |
| IHS HOLDING LIMITED | ORD SHS | 2M | 500K | – |
| PARAMOUNT GLOBAL | CLASS B COM | 15M | 1M | – |
| WARNER BROS DISCOVERY INC | COM SER A | 26M | 4M | – |
| WARNER BROS DISCOVERY INC | COM SER A | 6M | 800K | – |