FLATIRON RR LLC, MANAGER SERIES
Adviser information for FLATIRON RR LLC, MANAGER SERIES last updated from Form ADV on March 28th, 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 | 20 |
|---|---|
| Investment Advisory/Research | 20 |
| Registered Broker-Dealer Representatives | 3 |
| 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 | 1 | $399.2M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $399.2M |
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 | 1 | $399.2M |
| 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 pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-122074 |
|---|---|
| SEC ERA File Number | 801-122074 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 314505 |
| Legal Entity Identifier | None |
Principal Office
51 MADISON AVENUENEW YORK
NY
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 212-576-7000, Fax: None
Chief Compliance Officer
ALPESH JASVANT RATHOD
51 MADISON AVENUE
NEW YORK
NY
United States
Tel:
212-576-7956
A**************@**************M
(Full email address available in API data)
Regulatory Contact
PAUL VENGROW
CORPORATE VICE PRESIDENT
51 MADISON AVENUE
NEW YORK
NY
United States
Tel:
212-576-7833
P***********@********M
(Full email address available in API data)
Industry Affiliates
| APOGEM CAPITAL LLC | Other investment adviser, including financial planners |
| AUSBIL INVESTMENT MANAGEMENT LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BOW RIVER ADVISERS, LLC | Other investment adviser, including financial planners |
| CANDRIAM S.C.A. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| EAGLE STRATEGIES LLC | Other investment adviser, including financial planners |
| INDEXIQ ADVISORS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| KARTESIA MANAGEMENT S.A. | Other investment adviser, including financial planners |
| LIFE INSURANCE COMPANY OF NORTH AMERICA | Insurance company or agency |
| MACKAY SHIELDS EUROPE INVESTMENT MANAGEMENT LIMITED | Other investment adviser, including financial planners |
| MACKAY SHIELDS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| MACKAY SHIELDS UK LLP | Other investment adviser, including financial planners |
| NEW YORK LIFE ENTERPRISES LLC | Insurance company or agency |
| NEW YORK LIFE GROUP INSURANCE COMPANY OF NY | Insurance company or agency |
| NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION | Commodity pool operator or commodity trading advisorInsurance company or agency |
| NEW YORK LIFE INSURANCE COMPANY | Commodity pool operator or commodity trading advisorInsurance company or agency |
| NEW YORK LIFE INVESTMENT MANAGEMENT ASIA LIMITED | Other investment adviser, including financial planners |
| NEW YORK LIFE INVESTMENT MANAGEMENT LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| NYL INVESTORS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| NYLIFE DISTRIBUTORS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NYLIFE INSURANCE COMPANY ARIZONA | Insurance company or agency |
| NYLIFE SECURITIES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency |
| NYLINK INSURANCE AGENCY INC. | Insurance company or agency |
| SEGUROS MONTERREY NEW YORK LIFE, S.A. DE C.V. | Insurance company or agency |
| TRISTAN CAPITAL PARTNERS | Other investment adviser, including financial planners |
| TRUST COMPANY | Commodity pool operator or commodity trading advisorTrust companySponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| FLATIRON RR CLO 22 LLC | Securitized Asset Fund | $399.2M | $0.3M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NYL INVESTORS LLC | Domestic Entity | – | SERIES A MEMBER | 03/2021 | > 75% |
| RATHOD, ALPESH, JASVANT | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2021 | < 5% |
| CAMPELLONE, MARK, ANTHONY | Individual | – | DIRECTOR | 04/2021 | < 5% |
| TORREY, ARTHUR, STARRATT | Individual | – | DIRECTOR | 04/2021 | < 5% |
| STANDBRIDGE, ELIZABETH, ANN | Individual | – | DIRECTOR | 04/2021 | < 5% |
| NEW YORK LIFE INSURANCE COMPANY | Domestic Entity | NYL INVESTORS LLC | SOLE MEMBER/DIRECT & SOLE INTEREST HOLDER | 10/2013 | > 75% |
| SALTAFORMAGGIO, CHRISTIAN, PETER | Individual | – | DIRECTOR | 03/2023 | < 5% |