ARISTOTLE INVESTMENT SERVICES, LLC
Adviser information for ARISTOTLE INVESTMENT SERVICES, LLC 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 | 21 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 11 |
| Registered State Investment Advisers | 3 |
| 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 | 19 | $13.4B |
| Non-Discretionary | 0 | $0 |
| Total | 19 | $13.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $13.4B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| 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 investment companies |
|---|---|
| Compensation | % of AUM |
Principal Office
840 NEWPORT CENTER DRIVESUITE 700
NEWPORT BEACH
CA
United States
Monday - Friday, 8:00 AM - 5:00PM
Tel: (844) 597-3886, Fax: (310) 478-8496
Chief Compliance Officer
CAROL RUMSEY
840 NEWPORT CENTER DRIVE
SUITE 700
NEWPORT BEACH
CA
United States
Tel:
(949) 999-4947
C******@***************M
(Full email address available in API data)
Regulatory Contact
JOSEPH G. LALLANDE
DEPUTY CHIEF LEGAL OFFICER
840 NEWPORT CENTER DRIVE
SUITE 700
NEWPORT BEACH
CA
United States
Tel:
(949) 999-4928
J********@***************M
(Full email address available in API data)
Industry Affiliates
| APC ASSET DEVELOPMENT I, LP | Other investment adviser, including financial planners |
| APC ASSET DEVELOPMENT II, LP | Other investment adviser, including financial planners |
| APC ASSET GP I, LLC | Sponsor, GP, manager of pooled investment vehicles |
| APC ASSET GP II, LLC | Sponsor, GP, manager of pooled investment vehicles |
| APC HY BOND GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| APC SHORT DURATION HY GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| ARISTOTLE ATLANTIC PARTNERS, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| ARISTOTLE CAPITAL BOSTON, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| ARISTOTLE CAPITAL MANAGEMENT, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| ARISTOTLE CREDIT PARTNERS, LLC | Other investment adviser, including financial planners |
| ARISTOTLE PACIFIC CAPITAL, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| METWEST FUND MANAGER, LLC | Sponsor, GP, manager of pooled investment vehicles |
| METWEST REALTY ADVISORS, LLC | Other investment adviser, including financial planners |
| PAM BANK LOAN FUND GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| PAM CLO OPPORTUNITIES GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| SAUL FUND GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ARISTOTLE CAPITAL MANAGEMENT, LLC | Domestic Entity | – | OWNER/MEMBER | 11/2022 | > 75% |
| RCB ACQUISITION COMPANY, LLC | Domestic Entity | ARISTOTLE CAPITAL MANAGEMENT, LLC | OWNER | 07/2011 | 25-50% |
| GLEICHER HOLDINGS, LLC | Domestic Entity | ARISTOTLE CAPITAL MANAGEMENT, LLC | OWNER | 12/2012 | 25-50% |
| SCHWEITZER, RICHARD, HARLAN | Individual | ARISTOTLE CAPITAL MANAGEMENT, LLC | OWNER, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER | 07/2011 | |
| GLEICHER, HOWARD, ROY | Individual | ARISTOTLE CAPITAL MANAGEMENT, LLC | OWNER, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER | 07/2011 | |
| BOROWSKI, STEVEN, MARK | Individual | ARISTOTLE CAPITAL MANAGEMENT, LLC | OWNER, PRESIDENT | 07/2011 | |
| HOLLANDER, RICHARD, SCOTT | Individual | ARISTOTLE CAPITAL MANAGEMENT, LLC | OWNER, CHAIRMAN OF THE BOARD | 09/2012 | |
| LISENBEE, GARY, WAYNE | Individual | ARISTOTLE CAPITAL MANAGEMENT, LLC | OWNER, VICE CHAIRMAN | 01/2022 | |
| RUMSEY, CAROL, ELAINE | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2023 | < 5% |
| LALLANDE, JOSEPH, GUSTAVE | Individual | – | DEPUTY CHIEF LEGAL OFFICER | 04/2023 | < 5% |
| NOLAN, DOMINIC, DAO | Individual | – | CHIEF EXECUTIVE OFFICER | 04/2023 | < 5% |
| Schwab, Joshua, Brian | Individual | – | CHIEF FINANCIAL OFFICER | 04/2023 | < 5% |
| FUCCILLO, THOMAS, JOSEPH | Individual | – | CHIEF LEGAL OFFICER | 01/2023 | < 5% |
| ST HILAIRE, KIM, MARIE | Individual | – | CHIEF OPERATING OFFICER | 11/2022 | < 5% |
| COSTA, RICARDO | Individual | – | MANAGING DIRECTOR | 04/2023 | < 5% |
| PACIFIC LIFE INSURANCE COMPANY | Domestic Entity | ARISTOTLE CAPITAL MANAGEMENT, LLC | OWNER | 04/2023 |