ANNALY CREDIT OPPORTUNITIES MANAGEMENT LLC
Adviser information for ANNALY CREDIT OPPORTUNITIES MANAGEMENT LLC last updated from Form ADV on March 26th, 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 | 41 |
|---|---|
| Investment Advisory/Research | 35 |
| 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 | 2 | $2.3B |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $2.3B |
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 | 1 | $579.6M |
| 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 | $1.7B |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-114397 |
|---|---|
| SEC ERA File Number | 801-114397 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 299542 |
| Legal Entity Identifier | None |
Principal Office
1211 AVENUE OF THE AMERICAS41ST FLOOR
NEW YORK
NY
United States
Monday - Friday, 9AM-5PM
Tel: 212-696-0100, Fax: None
Chief Compliance Officer
SARAH D'AMICO
1211 AVENUE OF THE AMERICAS
41ST FLOOR
NEW YORK
NY
United States
Tel:
412-576-3546
S****@*********************M
(Full email address available in API data)
Industry Affiliates
| ANNALY RESI-CREDIT GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| ARCOLA SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| TRUMAN INSURANCE COMPANY LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ANNALY RESI-CREDIT FUND LP | Private Equity Fund | $1,728.6M | $150.0M | 1 |
| OBX MBS FUND LP | Private Equity Fund | $579.6M | $0.0M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ANNALY CAPITAL FUND ADVISORS LLC | Domestic Entity | – | MANAGING MEMBER | 09/2017 | > 75% |
| ANNALY CAPITAL MANAGEMENT, INC. | Domestic Entity | ANNALY TRS, INC. | SHAREHOLDER | 08/2018 | > 75% |
| ANNALY TRS, INC. | Domestic Entity | ANNALY CAPITAL FUND ADVISORS LLC | MEMBER | 08/2018 | > 75% |
| GREEN, ANTHONY, CHARLES | Individual | – | CHIEF LEGAL OFFICER | 09/2017 | < 5% |
| KURTZ, JONATHAN, I | Individual | – | CHIEF FINANCIAL OFFICER | 06/2023 | < 5% |
| D'AMICO, SARAH, REID | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2024 | < 5% |