NASSAU ALTERNATIVE INVESTMENTS LLC
Adviser information for NASSAU ALTERNATIVE INVESTMENTS LLC last updated from Form ADV on March 30th, 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 | 5 |
|---|---|
| Investment Advisory/Research | 5 |
| 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 | $775.0M |
| Non-Discretionary | 6 | $457.0M |
| Total | 9 | $1.2B |
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 | $775.0M |
| 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 | 5 | $410.1M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $46.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 11 |
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 | 801-117014 |
|---|---|
| SEC ERA File Number | 801-117014 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 300006 |
| Legal Entity Identifier | None |
Principal Office
300 PARK AVENUE2ND FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: (646) 630-8376, Fax: None
Chief Compliance Officer
JOHN HERBERT ROTH
300 PARK AVENUE
2ND FLOOR
NEW YORK
NY
United States
Tel:
(860) 403-5663
J****@******M
(Full email address available in API data)
Regulatory Contact
VALENTINA SANCHEZ
COMPLIANCE ASSOCIATE
300 PARK AVENUE
2ND FLOOR
NEW YORK
NY
United States
Tel:
(203) 902-5526
V*******@******M
(Full email address available in API data)
Industry Affiliates
| 1851 SECURITIES, INC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| AIC CREDIT OPPORTUNITIES PARTNERS FUND II GP, L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| CONCORD RE, INC. | Insurance company or agency |
| GGC OPPORTUNITY FUND MANAGEMENT, L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| GOLDEN GATE CAPITAL | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| LYNBROOK RE, INC. | Insurance company or agency |
| MAGNI RE LTD. | Insurance company or agency |
| NASSAU GLOBAL CREDIT (UK) LLP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NASSAU GLOBAL CREDIT GP LP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NASSAU GLOBAL CREDIT LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NASSAU LIFE AND ANNUITY COMPANY | Insurance company or agency |
| NASSAU LIFE INSURANCE COMPANY | Insurance company or agency |
| NASSAU LIFE INSURANCE COMPANY OF KANSAS | Insurance company or agency |
| NASSAU PRIVATE CREDIT GP LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NASSAU PRIVATE CREDIT LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NASSAU RE (CAYMAN) LTD. | Insurance company or agency |
| NGC CAPITAL MANAGEMENT LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NGC CLO MANAGER LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PHL VARIABLE INSURANCE COMPANY | Insurance company or agency |
| SUNRISE RE, INC. | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| NASSAU 2019 CFO LLC | Securitized Asset Fund | $188.6M | $0.3M | 0 |
| NASSAU CFO 2022 LLC | Securitized Asset Fund | $582.0M | $0.3M | 0 |
| NASSAU EMPLOYEE CO-INVEST FUND II LLC | Private Equity Fund | $4.4M | $0.1M | 18 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GASS, PHILLIP, JOHN | Individual | – | MEMBER OF THE BOARD OF MANAGERS | 11/2018 | < 5% |
| Cheliotis, Kostas | Individual | – | MEMBER OF THE BOARD OF MANAGERS | 11/2018 | < 5% |
| NASSAU ASSET MANAGEMENT LLC | Domestic Entity | – | MEMBER OF NASSAU ALTERNATIVE INVESTMENTS LLC | 11/2018 | > 75% |
| NASSAU FINANCIAL GROUP, L.P. | Foreign Entity | NASSAU ASSET MANAGEMENT LLC | MEMBER | 04/2018 | > 75% |
| NASSAU FINANCIAL GROUP GP LTD. | Foreign Entity | NASSAU FINANCIAL GROUP, L.P. | GENERAL PARTNER | 04/2018 | |
| NASSAU NAMCO SPLITTER, L.P. | Foreign Entity | GGCOF NASSAU INVESTMENTS, L.P. | LIMITED PARTNER | 04/2020 | > 75% |
| NASSAU NAMCO BLOCKER, LLC | Foreign Entity | NASSAU NAMCO SPLITTER, L.P. | LIMITED PARTNER | 04/2018 | 25-50% |
| GOLDEN GATE CAPITAL OPPORTUNITY FUND, L.P. | Foreign Entity | NASSAU NAMCO SPLITTER, L.P. | LIMITED PARTNER | 04/2018 | 50-75% |
| GGC OPPORTUNITY FUND MANAGEMENT, L.P. | Foreign Entity | NASSAU NAMCO SPLITTER, L.P. | GENERAL PARTNER | 04/2018 | |
| GOLDEN GATE CAPITAL OPPORTUNITY FUND-A, L.P. | Foreign Entity | NASSAU NAMCO BLOCKER, LLC | MEMBER | 04/2018 | 25-50% |
| GGC OPPORTUNITY FUND MANAGEMENT, L.P. | Foreign Entity | GOLDEN GATE CAPITAL OPPORTUNITY FUND, L.P. | GENERAL PARTNER | 07/2007 | |
| GGC OPPORTUNITY FUND MANAGEMENT, L.P. | Foreign Entity | GOLDEN GATE CAPITAL OPPORTUNITY FUND-A, L.P. | GENERAL PARTNER | 07/2007 | |
| GGCOF NASSAU INVESTMENTS, L.P. | Foreign Entity | NASSAU FINANCIAL GROUP, L.P. | LIMITED PARTNER | 04/2020 | > 75% |
| Srinivasan, Ravi | Individual | – | MANAGING DIRECTOR | 06/2020 | < 5% |
| ROTH, JOHN, HERBERT | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2023 | < 5% |
| Buland, Olga | Individual | – | DEPUTY GENERAL COUNSEL AND SECRETARY | 01/2023 | < 5% |
| BANULSKI, JUSTIN, WILLIAM | Individual | – | CHIEF FINANCIAL OFFICER | 07/2023 | < 5% |