COLUMBIA CENT CLO ADVISERS, LLC
Adviser information for COLUMBIA CENT CLO ADVISERS, LLC last updated from Form ADV on March 27th, 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 | 24 |
|---|---|
| Investment Advisory/Research | 13 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 2 |
| 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 | 7 | $2.6B |
| Non-Discretionary | 0 | $0 |
| Total | 7 | $2.6B |
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 | 7 | $2.6B |
| 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 | 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 | 801-119647 |
|---|---|
| SEC ERA File Number | 801-119647 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 310864 |
| Legal Entity Identifier | None |
Principal Office
290 CONGRESS STREETBOSTON
MA
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 800-225-2365, Fax: None
Chief Compliance Officer
FARIA, LEE, A
VICE PRESIDENT
290 CONGRESS STREET
BOSTON
MA
United States
Tel:
617-385-9571
L********@***********************M
(Full email address available in API data)
Regulatory Contact
RICHARD, MELISSA
LEGAL AFFAIRS MANAGER
5228 AMERIPRISE FINANCIAL CENTER
S13/5228
MINNEAPOLIS
MN
United States
Tel:
612-671-8193
M****************@*******M
(Full email address available in API data)
Industry Affiliates
| ADVISORY CAPITAL STRATEGIES GROUP, INC. | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| AMERIPRISE BANK, FSB | Banking or thrift institution |
| AMERIPRISE FINANCIAL SERVICES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| AMERIPRISE TRUST COMPANY | Commodity pool operator or commodity trading advisorTrust company |
| COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| COLUMBIA THREADNEEDLE (EM) INVESTMENTS LIMITED | Other investment adviser, including financial planners |
| COLUMBIA THREADNEEDLE AM (ASIA) LIMITED | Other investment adviser, including financial planners |
| COLUMBIA THREADNEEDLE FUND MANAGEMENT LIMITED | Other investment adviser, including financial planners |
| COLUMBIA THREADNEEDLE INVESTMENT BUSINESS LIMITED | Other investment adviser, including financial planners |
| COLUMBIA THREADNEEDLE INVESTMENTS | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| COLUMBIA THREADNEEDLE INVESTMENTS JAPAN CO., LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| COLUMBIA THREADNEEDLE MANAGEMENT (SWISS) GMBH | Other investment adviser, including financial planners |
| COLUMBIA THREADNEEDLE MANAGEMENT LIMITED | Other investment adviser, including financial planners |
| COLUMBIA THREADNEEDLE MULTI-MANAGER LLP | Other investment adviser, including financial planners |
| COLUMBIA THREADNEEDLE NETHERLANDS B.V. | Other investment adviser, including financial planners |
| COLUMBIA THREADNEEDLE REAL ESTATE PARTNERS LLP | Sponsor or syndicator of limited partnerships |
| COLUMBIA THREADNEEDLE REP AM PLC | Other investment adviser, including financial planners |
| COLUMBIA WANGER ASSET MANAGEMENT, LLC | Other investment adviser, including financial planners |
| CT REAL ESTATE PARTNERS GMBH & CO. KG | Sponsor, GP, manager of pooled investment vehicles |
| LIONSTONE INVESTMENTS | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PYRFORD INTERNATIONAL LTD | Other investment adviser, including financial planners |
| RIVERSOURCE DISTRIBUTORS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| RIVERSOURCE LIFE INSURANCE CO OF NEW YORK | Insurance company or agency |
| RIVERSOURCE LIFE INSURANCE COMPANY | Insurance company or agency |
| THAMES RIVER CAPITAL LLP | Other investment adviser, including financial planners |
| THREADNEEDLE ASSET MANAGEMENT LIMITED | Other investment adviser, including financial planners |
| THREADNEEDLE INVESTMENT SERVICES LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| THREADNEEDLE INVESTMENTS SINGAPORE (PTE) LIMITED | Other investment adviser, including financial planners |
| THREADNEEDLE PENSIONS LIMITED | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CENT CLO 21 LIMITED | Securitized Asset Fund | $383.2M | $0.3M | 10 |
| COLUMBIA CENT CLO 27 LIMITED | Securitized Asset Fund | $385.3M | $0.3M | 8 |
| COLUMBIA CENT CLO 28 LIMITED | Securitized Asset Fund | $318.4M | $0.3M | 15 |
| COLUMBIA CENT CLO 29 LIMITED | Securitized Asset Fund | $392.4M | $0.1M | 9 |
| COLUMBIA CENT CLO 30 LIMITED | Securitized Asset Fund | $386.4M | $0.1M | 9 |
| COLUMBIA CENT CLO 31 LIMITED | Securitized Asset Fund | $391.1M | $0.1M | 9 |
| COLUMBIA CENT CLO 32 LIMITED | Securitized Asset Fund | $348.2M | $0.1M | 12 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| RIVERSOURCE LIFE INSURANCE COMPANY | Domestic Entity | – | SOLE MEMBER | 08/2020 | > 75% |
| TRUSCOTT, WILLIAM, FREDERICK | Individual | – | PRESIDENT, CHIEF EXECUTIVE OFFICER, AND CHAIRMAN OF THE BOARD | 01/2024 | < 5% |
| FARIA, LEE, A | Individual | – | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 08/2020 | < 5% |
| CLARKE, MICHAEL, GERALD | Individual | – | SENIOR VICE PRESIDENT AND NORTH AMERICA HEAD OF OPERATIONS & INVESTOR SERVICES | 06/2023 | < 5% |
| ENGELKING, BRIAN, MICHAEL | Individual | – | MEMBER, BOARD OF DIRECTORS, VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 08/2020 | < 5% |
| AMERIPRISE FINANCIAL, INC. | Domestic Entity | RIVERSOURCE LIFE INSURANCE COMPANY | SOLE SHAREHOLDER | 07/1957 | > 75% |
| TANNUZZO, GENE, RICHARD | Individual | – | MEMBER, BOARD OF DIRECTORS, MANAGING DIRECTOR AND GLOBAL HEAD OF FIXED INCOME | 01/2022 | < 5% |
| DEFAO, MICHAEL, E | Individual | – | CHIEF LEGAL OFFICER, VICE PRESIDENT AND ASSISTANT SECRETARY | 10/2021 | < 5% |
| Ray, Stanton, DeWayne | Individual | – | VICE PRESIDENT | 01/2024 | < 5% |
| WALDNER, MATT, M | Individual | – | SENIOR VICE PRESIDENT AND GLOBAL HEAD OF TRADING | 03/2024 | < 5% |