SPF INVESTMENT MANAGEMENT, L.P.
Adviser information for SPF INVESTMENT MANAGEMENT, L.P. 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 Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 25 |
|---|---|
| Investment Advisory/Research | 11 |
| 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 | $3.6B |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $3.6B |
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 | $3.6B |
| 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 | 75 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-114411 |
|---|---|
| SEC ERA File Number | 801-114411 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 299036 |
| Legal Entity Identifier | 549300BZD2THFIFJ1X94 |
Principal Office
220 FIFTH AVENUE13TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 212-457-8745, Fax: 212-202-4456
Chief Compliance Officer
CHRISTOPHER MARVIN
GENERAL COUNSEL
220 FIFTH AVENUE
13TH FLOOR
NEW YORK
NY
United States
Tel:
212-457-8760
Fax:
212-202-4456
C******@********M
(Full email address available in API data)
Regulatory Contact
SEAN KEATING
DEPUTY CHIEF OPERATING OFFICER / CHIEF FINANCIAL OFFICER
220 FIFTH AVENUE
13TH FLOOR
NEW YORK
NY
United States
Tel:
212-457-8745
Fax:
212-202-4456
S*******@********M
(Full email address available in API data)
Industry Affiliates
| SPF FUND (GP), L.P. | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| SPF SECURITIZED PRODUCTS MASTER FUND LTD. | Hedge Fund | $3,591.1M | $0.3M | 362 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SPF INVESTMENT MANAGEMENT (GP), LLC | Domestic Entity | – | GENERAL PARTNER | 08/2018 | < 5% |
| SOHN, ALBERT, JEENYOUNG | Individual | – | CHIEF INVESTMENT OFFICER / CHIEF EXECUTIVE OFFICER / LIMITED PARTNER | 08/2018 | 50-75% |
| BARRES, MARK, STEVEN | Individual | – | CHIEF OPERATING OFFICER | 11/2018 | < 5% |
| KEATING, SEAN, CHRISTOPHER | Individual | – | DEPUTY CHIEF OPERATING OFFICER / CHIEF FINANCIAL OFFICER | 11/2018 | < 5% |
| SOHN, ALBERT, JEENYOUNG | Individual | SPF INVESTMENT MANAGEMENT (GP), LLC | MEMBER / MANAGING DIRECTOR | 08/2018 | > 75% |
| VERMA, ALOK, DEV | Individual | – | LIMITED PARTNER | 12/2018 | 5-10% |
| DEFORREST, CORY, ALBERT | Individual | – | LIMITED PARTNER | 12/2018 | 5-10% |
| BUCHALTER, GARY, MARK | Individual | – | LIMITED PARTNER | 12/2018 | 5-10% |
| DRVOSTEP, JAMES, BLAKE | Individual | – | LIMITED PARTNER | 12/2018 | 5-10% |
| SUJANANI, SURAJ, MOHAN | Individual | – | LIMITED PARTNER | 12/2018 | 5-10% |
| MARVIN, CHRISTOPHER, MATTHEW | Individual | – | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 01/2019 | < 5% |
| CREDIT SUISSE ASSET MANAGEMENT, LLC | Domestic Entity | – | LIMITED PARTNER | 12/2018 | 5-10% |
| CSAM AMERICAS HOLDING CORP. | Domestic Entity | CREDIT SUISSE ASSET MANAGEMENT, LLC | SHAREHOLDER | 11/2000 | > 75% |
| CREDIT SUISSE (USA), INC. | Domestic Entity | CSAM AMERICAS HOLDING CORP. | SHAREHOLDER | 01/2011 | > 75% |
| CREDIT SUISSE HOLDINGS (USA), INC. | Domestic Entity | CREDIT SUISSE (USA), INC. | SHAREHOLDER | 11/2000 | > 75% |
| CREDIT SUISSE AG | Foreign Entity | CREDIT SUISSE HOLDINGS (USA), INC. | SHAREHOLDER | 03/2018 | > 75% |
| CREDIT SUISSE GROUP AG | Foreign Entity | CREDIT SUISSE AG | SHAREHOLDER | 03/1982 | > 75% |
| BARRES, MARK, STEVEN | Individual | SPF INVESTMENT MANAGEMENT (GP), LLC | MANAGING DIRECTOR | 12/2018 | |
| KEATING, SEAN, CHRISTOPHER | Individual | SPF INVESTMENT MANAGEMENT (GP), LLC | MANAGING DIRECTOR | 12/2018 | |
| MARVIN, CHRISTOPHER, MATTHEW | Individual | SPF INVESTMENT MANAGEMENT (GP), LLC | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 02/2019 | |
| UBS GROUP AG | Foreign Entity | CREDIT SUISSE GROUP AG | SHAREHOLDER | 06/2023 | > 75% |