HALSEYPOINT ASSET MANAGEMENT
HALSEYPOINT ASSET MANAGEMENT, LLC Legal Name
Adviser information for HALSEYPOINT ASSET MANAGEMENT last updated from Form ADV on March 18th, 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 | 12 |
|---|---|
| Investment Advisory/Research | 9 |
| 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 | 6 | $3.1B |
| Non-Discretionary | 0 | $0 |
| Total | 6 | $3.1B |
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 | 6 | $3.1B |
| 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 | $873,036 |
| 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 | 2 |
| No. of Non-U.S. Clients | 100 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-117358 |
|---|---|
| SEC ERA File Number | 801-117358 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 305194 |
| Legal Entity Identifier | 549300NH4SCNIXVGYC09 |
Principal Office
200 N. PACIFIC COAST HIGHWAYSUITE 675
EL SEGUNDO
CA
United States
Monday - Friday, 9:00AM-5:00PM
Tel: 424-220-6440, Fax: None
Chief Compliance Officer
YVONNE STEVENS
MANAGING PARTNER
200 N. PACIFIC COAST HIGHWAY
SUITE 675
EL SEGUNDO
CA
United States
Tel:
424-220-6450
Y*******@**************M
(Full email address available in API data)
Regulatory Contact
LYNN HOPTON
CO-MANAGING MEMBER, CHIEF INVESTMENT OFFICER
200 N. PACIFIC HIGHWAY
SUITE 675
EL SEGUNDO
CA
United States
Tel:
424-220-6452
L******@**************M
(Full email address available in API data)
Industry Affiliates
| DIAGRAM CORPORATION | Other investment adviser, including financial planners |
| PERFORMANCE EQUITY MANAGEMENT, LLC | Other investment adviser, including financial planners |
| SAGARD HOLDINGS MANAGER (US) LLC | Other investment adviser, including financial planners |
| SAGARD HOLDINGS MANAGER LP | Other investment adviser, including financial planners |
| SAGARD PRIVATE EQUITY PARTNERS | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| SAGARD REAL ESTATE ADVISORS AS OF OCTOBER 16, 2023 | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| THE CANADA LIFE ASSURANCE COMPANY | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| HALSEYPOINT CLO 3, LTD. | CLO | $504.1M | $0.3M | 1 |
| HALSEYPOINT CLO 4, LTD. | CLO | $402.5M | $0.3M | 1 |
| HALSEYPOINT CLO 5, LTD. | CLO | $502.3M | $0.3M | 1 |
| HALSEYPOINT CLO 6, LTD. | CLO | $501.6M | $0.3M | 1 |
| HALSEYPOINT CLO 7, LTD. | CLO | $431.6M | $0.3M | 2 |
| HALSEYPOINT CLO I, LTD. | CLO | $448.5M | $0.3M | 3 |
| HALSEYPOINT CLO II, LTD | CLO | $349.8M | $0.3M | 3 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| STEVENS, YVONNE, ELLEN | Individual | – | CHIEF COMPLIANCE OFFICER, MANAGING MEMBER | 02/2019 | < 5% |
| HALSEYPOINT HOLDCO, LLC | Domestic Entity | – | MEMBER | 02/2019 | > 75% |
| STEVENS, YVONNE, ELLEN | Individual | HP ACQUISITION, LLC | MANAGING MEMBER | 02/2019 | 50-75% |
| HOPTON, LYNN, ANN | Individual | HP ACQUISITION, LLC | MANAGING MEMBER | 02/2019 | 50-75% |
| HOPTON, LYNN, ANN | Individual | – | MANAGING MEMBER | 02/2019 | < 5% |
| HP ACQUISITION, LLC | Domestic Entity | HALSEYPOINT HOLDCO, LLC | MEMBER | 02/2019 | 25-50% |
| SAGARD HOLDINGS MANAGEMENT INC. | Foreign Entity | SAGARD CAPITAL PARTNERS MANAGEMENT CORP. | SHAREHOLDER | 03/2021 | > 75% |
| SAGARD CAPITAL PARTNERS MANAGEMENT CORP. | Domestic Entity | HALSEYPOINT HOLDCO, LLC | MEMBER | 03/2024 | 25-50% |
| SAGARD HOLDINGS INC. | Foreign Entity | SAGARD HOLDINGS MANAGEMENT INC. | SHAREHOLDER | 02/2021 | 50-75% |
| SAGARD HOLDINGS PARTICIPATION INC. | Foreign Entity | SAGARD HOLDINGS INC. | SHAREHOLDER | 12/2016 | > 75% |
| POWER CORPORATION OF CANADA | Foreign Entity | SAGARD HOLDINGS PARTICIPATION INC. | SHAREHOLDER | 12/2016 | > 75% |
| PANSOLO HOLDING INC. | Foreign Entity | POWER CORPORATION OF CANADA | SHAREHOLDER | 10/2015 | 50-75% |
| THE DESMARAIS FAMILY RESIDUARY TRUST | Foreign Entity | PANSOLO HOLDING INC. | SHAREHOLDER | 10/2015 | > 75% |
| DESMARAIS, PAUL, GUY | Individual | THE DESMARAIS FAMILY RESIDUARY TRUST | TRUSTEE | 10/2013 | |
| DESMARAIS, SOPHIE, CAROLINE | Individual | THE DESMARAIS FAMILY RESIDUARY TRUST | TRUSTEE, NON-VOTING | 03/2018 | |
| DOER, GARY, ALBERT | Individual | THE DESMARAIS FAMILY RESIDUARY TRUST | TRUSTEE | 05/2023 | |
| DESMARAIS, ANDRE, ROGER | Individual | THE DESMARAIS FAMILY RESIDUARY TRUST | TRUSTEE | 10/2013 | |
| FLEMING, GREGORY, JAMES | Individual | THE DESMARAIS FAMILY RESIDUARY TRUST | TRUSTEE | 02/2024 |