SIERRA CREST INVESTMENT MANAGEMENT LLC
Adviser information for SIERRA CREST INVESTMENT 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 | 0 |
|---|---|
| Investment Advisory/Research | 0 |
| 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 | 3 | $994.2M |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $994.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $263.4M |
| Business development companies | 1 | $549.2M |
| Pooled investment vehicles | 1 | $181.5M |
| 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 | 0 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio 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 | 801-114566 |
|---|---|
| SEC ERA File Number | 801-114566 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 300069 |
| Legal Entity Identifier | None |
Principal Office
650 MADISON AVENUE, 23RD FLOORNEW YORK
NY
United States
Monday - Friday, 9AM - 5PM
Tel: 212-891-2880, Fax: 646-768-1698
Chief Compliance Officer
DAVID I HELD
650 MADISON AVENUE
23RD FLOOR
NEW YORK
NY
United States
Tel:
2128912880
D*********@*************M
(Full email address available in API data)
Regulatory Contact
ANDREW DEVINE
40 PORTMAN SQUARE
LONDON
United Kingdom
Tel:
44(0)70094839
C*********@*************M
(Full email address available in API data)
Industry Affiliates
| ABILITY INSURANCE COMPANY | Insurance company or agency |
| BC PARTNERS ADVISORS L.P. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| BC PARTNERS LLP | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| BC PARTNERS SECURITIES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| MOUNT LOGAN CAPITAL INC. | Other investment adviser, including financial planners |
| MOUNT LOGAN MANAGEMENT | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| GREAT LAKES KCAP F3C SENIOR, LLC | Securitized Asset Fund | $181.5M | $0.3M | 0 |
| PORTMAN RIDGE FUNDING 2018-2 LTD. | Securitized Asset Fund | $199.6M | $0.3M | 0 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GOLDTHORPE, EDWARD, JOSEPH | Individual | – | EXECUTIVE OFFICER | 12/2018 | < 5% |
| EDERER, MATTHIAS, L | Individual | – | EXECUTIVE OFFICER | 12/2018 | < 5% |
| BC PARTNERS, INC. | Domestic Entity | BCPSC HOLDINGS FINANCE LLC | SOLE MEMBER | 01/2019 | > 75% |
| WANG, HENRY, HAN-WEI | Individual | – | EXECUTIVE OFFICER | 12/2018 | < 5% |
| BCPSC HOLDINGS LLC | Domestic Entity | – | MANAGING MEMBER | 04/2019 | > 75% |
| BCPSC HOLDINGS FINANCE LLC | Domestic Entity | BCPSC HOLDINGS LLC | SOLE MEMBER | 01/2019 | > 75% |
| BC PARTNERS ADVISORS HOLDINGS LIMITED | Foreign Entity | BC PARTNERS, INC. | SHAREHOLDER | 03/2017 | > 75% |
| BC PARTNERS GROUP HOLDINGS LIMITED | Foreign Entity | BC PARTNERS ADVISORS HOLDINGS LIMITED | SHAREHOLDER | 07/2019 | > 75% |
| BC PARTNERS HOLDINGS LIMITED | Foreign Entity | BC PARTNERS GROUP HOLDINGS LIMITED | SHAREHOLDER | 07/2019 | > 75% |
| MLCSC HOLDINGS LLC | Domestic Entity | – | MEMBER | 12/2020 | 10-25% |
| HELD, DAVID, ISAAC | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2021 | < 5% |