UPPER BAY INFRASTRUCTURE MANAGEMENT, LP
Adviser information for UPPER BAY INFRASTRUCTURE MANAGEMENT, LP last updated from Form ADV on December 11th, 2023. 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 | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| 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 | 7 | $309.2M |
| Non-Discretionary | 0 | $0 |
| Total | 7 | $309.2M |
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 | 5 | $309.2M |
| 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 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesDEVELOPMENT JOINT VENTURE |
|---|---|
| Compensation | % of AUMPerformance-based feesACQUISITION, MONITORING & EXPENSE-BASED FEES |
Identifiers
| SEC RIA File Number | 801-114230 |
|---|---|
| SEC ERA File Number | 801-114230 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 297494 |
| Legal Entity Identifier | None |
Principal Office
269 HOWARD AVESTATEN ISLAND
NY
United States
Monday - Friday, 9:30AM - 5:30PM
Tel: 212-655-8800, Fax: None
Chief Compliance Officer
MARIO MASELLI
MANAGING PARTNER
269 HOWARD AVE
STATEN ISLAND
NY
United States
Tel:
212-655-8807
M*******@**********M
(Full email address available in API data)
Regulatory Contact
MARIETTA MOSHIASHVILI
CHIEF EXECUTIVE OFFICER / MANAGING PARTNER
269 HOWARD AVE
STATEN ISLAND
NY
United States
Tel:
212-655-8800
M************@**********M
(Full email address available in API data)
Industry Affiliates
| MDS CAPITAL MANAGEMENT, LLC | Sponsor or syndicator of limited partnerships |
| THE ENERGY & MINERALS GROUP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| UPPER BAY INFRASTRUCTURE PARTNERS GP, LP | Sponsor, GP, manager of pooled investment vehicles |
| UPPER BAY INFRASTRUCTURE PARTNERS UC RENEWABLES GP, LP | Sponsor or syndicator of limited partnerships |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| OTV HOLDINGS, LLC | Private Equity Fund | $292.8M | $0.0M | 23 |
| UPPER BAY INFRASTRUCTURE PARTNERS OFFSHORE B, LP | Private Equity Fund | $12.3M | $0.0M | 4 |
| UPPER BAY INFRASTRUCTURE PARTNERS, LP | Private Equity Fund | $32.3M | $0.0M | 4 |
| ZON HOLDINGS II, LLC | Private Equity Fund | $4.9M | $0.0M | 2 |
| ZON HOLDINGS, LLC | Private Equity Fund | $18.5M | $0.0M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| RAYMOND, JOHN, THOMAS | Individual | – | INVESTMENT COMMITTEE MEMBER | 04/2018 | < 5% |
| UPPER BAY INFRASTRUCTURE MANAGEMENT, LLC | Domestic Entity | – | GENERAL PARTNER | 04/2018 | 10-25% |
| MOSHIASHVILI, MARIETTA, NMN | Individual | – | MANAGING PARTNER / CHIEF EXECUTIVE OFFICER | 04/2018 | 25-50% |
| MASELLI, MARIO, VITO | Individual | – | MANAGING PARTNER / PRESIDENT / CHIEF COMPLIANCE OFFICER | 04/2018 | 25-50% |
| MOSHIASHVILI, MARIETTA, NMN | Individual | UPPER BAY INFRASTRUCTURE MANAGEMENT, LLC | MEMBER | 04/2018 | 50-75% |
| MASELLI, MARIO, VITO | Individual | UPPER BAY INFRASTRUCTURE MANAGEMENT, LLC | MEMBER | 04/2018 | 25-50% |