CASTELLAN
CASTELLAN GROUP, LLC Legal Name
Adviser information for CASTELLAN 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 | 9 |
---|---|
Investment Advisory/Research | 6 |
Registered Broker-Dealer Representatives | 0 |
Registered State Investment Advisers | 3 |
Licensed Agents of an Insurance Company | 0 |
No. of Firms/People that Solicit Clients | 1 |
RAUM
Provides Management of Securities Portfolios | Yes |
---|
Type | Accounts | RAUM |
---|---|---|
Discretionary | 59 | $353.5M |
Non-Discretionary | 0 | $0 |
Total | 59 | $353.5M |
Clients
Type | Number | RAUM |
---|---|---|
Individuals | 0 | $0 |
HNW Individuals | 9 | $205.0M |
Banking or thrift institutions | 0 | $0 |
Investment companies | 0 | $0 |
Business development companies | 0 | $0 |
Pooled investment vehicles | 11 | $110.2M |
Pension and profit sharing plans | 0 | $0 |
Charitable organizations | <5 | $38.3M |
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 | 20 |
No. of Non-U.S. Clients | 0 |
No. of Financial Planning Clients | 1-10 |
Services
Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehicles |
---|---|
Compensation | % of AUMFixed feesPerformance-based fees |
Other Business Activities | Insurance broker or agent |
Principal Office
2011 LAKE POINT WAYSUITE 001
LOUISVILLE
KY
United States
Monday - Friday, 8:30-5:00
Tel: 859.494.0523, Fax: None
Chief Compliance Officer
SHANNON BRADBURY
DIRECTOR OF ADMINISTRATION
2011 LAKE POINT WAY
SUITE 001
LOUISVILLE
KY
United States
Tel:
859.494.0523
S***************@*****************M
(Full email address available in API data)
Industry Affiliates
None |
Private Funds
Name | Type | Assets $USD | Min Investment $USD | No. Owners |
---|---|---|---|---|
AWC OPPORTUNITY ZONE FUND I, LLC | Private Equity Fund | $11.7M | $0.1M | 3 |
CASTELLAN VENTURE OPPORTUNITIES EVERGREEN I, LP | Venture Capital Fund | $17.2M | $0.1M | 3 |
CGA AWC FUND I, LLC | Real Estate Fund | $2.6M | $0.1M | 3 |
CGGD FRANCHISEE, LP | Private Equity Fund | $0.0M | $0.1M | 3 |
CGGD FRANCHISOR QOZ, LP | Private Equity Fund | $0.0M | $0.1M | 3 |
CGLHCC HOLDINGS, LLC | Venture Capital Fund | $0.4M | $0.1M | 2 |
CGLV I, LP | Venture Capital Fund | $0.3M | $0.0M | 1 |
CGMX 1, LP | Venture Capital Fund | $0.0M | $0.1M | 3 |
CGRW QOZ LP | Venture Capital Fund | $0.6M | $0.1M | 3 |
CSFRG I, LP | Real Estate Fund | $5.0M | $0.1M | 3 |
Control Persons
Name | Type | Entity | Title | Since | Ownership |
---|---|---|---|---|---|
BRADBURY, SHANNON, K | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2018 | < 5% |
BRAUCH, BARRY, CHARLES | Individual | – | MANAGING DIRECTOR | 11/2018 | < 5% |
CASTELLAN WHY TRUST | Domestic Entity | – | TRUST | 01/2019 | 25-50% |
CASTELLAN ENDEAVOR TRUST | Domestic Entity | – | TRUST | 01/2019 | 25-50% |
Smith, Sean, S | Individual | CASTELLAN ENDEAVOR TRUST | TRUSTEE | 01/2019 | |
Smith, Scott, S | Individual | CASTELLAN WHY TRUST | TRUSTEE | 01/2019 |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 9th, 2024 for period ending June 30th, 2024
Name | Class | Value $USD | # Shares | Private Fund |
---|---|---|---|---|
BOOKING HOLDINGS INC | COM | 6M | 1K | – |
CATERPILLAR INC | COM | 5M | 15K | – |
FTAI AVIATION LTD | SHS | 9M | 86K | – |
GAP INC | COM | 5M | 221K | – |
HALOZYME THERAPEUTICS INC | COM | 6M | 109K | – |
KB HOME | COM | 5M | 75K | – |
KLA CORP | COM NEW | 7M | 8K | – |
MCKESSON CORP | COM | 6M | 10K | – |
MEDPACE HLDGS INC | COM | 7M | 17K | – |
MERITAGE HOMES CORP | COM | 5M | 30K | – |
MICROSOFT CORP | COM | 9M | 20K | – |
MODINE MFG CO | COM | 7M | 73K | – |
NOVO-NORDISK A S | ADR | 6M | 42K | – |
NVIDIA CORPORATION | COM | 6M | 52K | – |
SM ENERGY CO | COM | 5M | 108K | – |
SUPER MICRO COMPUTER INC | COM | 5M | 6K | – |
TENET HEALTHCARE CORP | COM NEW | 6M | 45K | – |
UNITED RENTALS INC | COM | 6M | 9K | – |
VISTRA CORP | COM | 5M | 60K | – |
ACCENTURE PLC IRELAND | SHS CLASS A | 2M | 8K | – |
AMERIPRISE FINL INC | COM | 3M | 6K | – |
ANALOG DEVICES INC | COM | 3M | 13K | – |
BROADCOM INC | COM | 3M | 2K | – |
BROADRIDGE FINL SOLUTIONS IN | COM | 3M | 13K | – |
EATON CORP PLC | SHS | 3M | 8K | – |
ELEVANCE HEALTH INC | COM | 3M | 5K | – |
HONEYWELL INTL INC | COM | 3M | 13K | – |
LOCKHEED MARTIN CORP | COM | 3M | 6K | – |
ORACLE CORP | COM | 3M | 22K | – |
PARKER-HANNIFIN CORP | COM | 2M | 5K | – |
PROCTER AND GAMBLE CO | COM | 3M | 18K | – |
SNAP ON INC | COM | 2M | 10K | – |
GRAINGER W W INC | COM | 3M | 3K | – |
ALPHABET INC | CAP STK CL A | 964K | 5K | – |
AXCELIS TECHNOLOGIES INC | COM NEW | 668K | 5K | – |
BUILDERS FIRSTSOURCE INC | COM | 526K | 4K | – |
CELESTICA INC | COM | 975K | 17K | – |
STRIDE INC | COM | 1M | 15K | – |
TEEKAY TANKERS LTD | CL A | 799K | 12K | – |
LAMB WESTON HLDGS INC | COM | 622K | 7K | – |
AMERICAN TOWER CORP NEW | COM | 3M | 17K | – |
CLEARWAY ENERGY INC | CL C | 3M | 133K | – |
CROWN CASTLE INC | COM | 3M | 31K | – |
DELEK LOGISTICS PARTNERS LP | COM UNT RP INT | 3M | 80K | – |
EXTRA SPACE STORAGE INC | COM | 4M | 25K | – |
HESS MIDSTREAM LP | CL A SHS | 4M | 108K | – |
NATIONAL STORAGE AFFILIATES | COM SHS BEN IN | 4M | 90K | – |
NEXTERA ENERGY PARTNERS LP | COM UNIT PART IN | 3M | 106K | – |
NRG ENERGY INC | COM NEW | 5M | 64K | – |
UDR INC | COM | 4M | 90K | – |
APPLE INC | COM | 397K | 2K | – |
ABRDN PRECIOUS METALS BASKET | PHYSCL PRECS MET | 4M | 41K | – |
BHP GROUP LTD | SPONSORED ADS | 1M | 24K | – |
CHEVRON CORP NEW | COM | 1M | 9K | – |
EXXON MOBIL CORP | COM | 1M | 12K | – |
RIO TINTO PLC | SPONSORED ADR | 1M | 20K | – |
SELECT SECTOR SPDR TR | ENERGY | 3M | 30K | – |
INNOVATOR ETFS TRUST | US EQTY BUFR MAR | 596K | 14K | – |
INNOVATOR ETFS TRUST | US EQT BUFR APR | 398K | 10K | – |