POLEN CAPITAL CREDIT, LLC
Adviser information for POLEN CAPITAL CREDIT, 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 | Massachusetts, United States |
Employees
| Total Number of Employees | 52 |
|---|---|
| Investment Advisory/Research | 22 |
| 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 | 48 | $7.4B |
| Non-Discretionary | 0 | $0 |
| Total | 48 | $7.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 10 | $1.3B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 12 | $1.0B |
| Pension and profit sharing plans | 8 | $2.5B |
| Charitable organizations | <5 | $323.2M |
| State or municipal gov entities | 7 | $1.0B |
| Other investment advisers | <5 | $913.1M |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $282.6M |
| Corporations or other businesses | <5 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 23 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-55001 |
|---|---|
| SEC ERA File Number | 801-55001 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 108468 |
| Legal Entity Identifier | 549300ZLX14T3RGX6L55 |
Principal Office
1075 MAIN STREETSUITE 320
WALTHAM
MA
United States
Monday - Friday, 8:30 A.M.-5:30 P.M.
Tel: 781-283-8500, Fax: 781-419-9180
Chief Compliance Officer
JOSHUA L. MCCARTHY
GENERAL COUNSEL
1075 MAIN STREET
SUITE 320
WALTHAM
MA
United States
Tel:
781-283-8500
Fax:
781-419-9189
J*********@***************M
(Full email address available in API data)
Regulatory Contact
BRIAN D. GOLDBERG
SECRETARY
1825 NW CORPORATE BLVD.
BOCA RATON
FL
United States
Tel:
516-241-2425
B********@***************M
(Full email address available in API data)
Industry Affiliates
| INCOME PARTNERS ASSET MANAGEMENT (HK) LIMITED | Other investment adviser, including financial planners |
| POLEN CAPITAL CLO EQUITY GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| POLEN CAPITAL CLO MANAGEMENT, LLC | Other investment adviser, including financial planners |
| POLEN CAPITAL HK LIMITED | Other investment adviser, including financial planners |
| POLEN CAPITAL MANAGEMENT, LLC | Other investment adviser, including financial planners |
| POLEN CAPITAL UK LLP | Other investment adviser, including financial planners |
| POLEN/GP STRATEGIC INCOME PLUS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SUMMIT RIDGE CAPITAL PARTNERS LTD. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| POLEN CAPITAL FUNDS, LLC - POLEN CAPITAL FLOATING RATE LOAN FUND | OPEN-ENDED PRIVATE FUND WITH DAILY CONTRIBUTIONS AND MONTHLY REDEMPTIONS, AND NO PERFORMANCE FEE/ALLOCATION COMPONENT. | $10.8M | $2.5M | 5 |
| POLEN CAPITAL FUNDS, LLC - POLEN CAPITAL OPPORTUNISTIC HIGH YIELD FUND | OPEN-ENDED PRIVATE FUND WITH DAILY CONTRIBUTIONS AND MONTHLY REDEMPTIONS, AND NO PERFORMANCE FEE/ALLOCATION COMPONENT. | $15.5M | $2.5M | 5 |
| POLEN CAPITAL FUNDS, LLC - POLEN CAPITAL U.S. HIGH YIELD FUND | OPEN-ENDED PRIVATE FUND WITH DAILY CONTRIBUTIONS AND MONTHLY REDEMPTIONS, AND NO PERFORMANCE FEE/ALLOCATION COMPONENT. | $4.0M | $2.5M | 3 |
| POLEN DDJ STRATEGIC INCOME PLUS FUND, L.P. | Hedge Fund | $0.0M | $5.0M | 8 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MCCARTHY, JOSHUA, LIAM | Individual | – | CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL | 01/2022 | < 5% |
| MOSS, STANLEY, CHARLES | Individual | – | CHIEF EXECUTIVE OFFICER | 01/2022 | < 5% |
| POLEN CAPITAL MANAGEMENT, LLC | Domestic Entity | – | MEMBER | 01/2022 | > 75% |
| POLEN CAPITAL HOLDINGS, LP | Domestic Entity | POLEN CAPITAL MANAGEMENT, LLC | MEMBER | 01/2020 | 50-75% |
| POLEN CAPITAL HOLDINGS GP, LLC | Domestic Entity | POLEN CAPITAL HOLDINGS, LP | GENERAL PARTNER | 01/2020 | |
| DAVIDOWITZ, DANIEL, ADAM | Individual | DANIEL A. DAVIDOWITZ REVOCABLE TRUST | TRUSTEE | 02/2022 | |
| STAN C. MOSS REVOCABLE TRUST | Domestic Entity | POLEN CAPITAL HOLDINGS, LP | LIMITED PARTNER | 01/2020 | 25-50% |
| STAN C. MOSS REVOCABLE TRUST | Domestic Entity | POLEN CAPITAL HOLDINGS GP, LLC | MEMBER | 01/2020 | 50-75% |
| MOSS, STANLEY, CHARLES | Individual | STAN C. MOSS REVOCABLE TRUST | TRUSTEE | 10/2015 | |
| DANIEL A. DAVIDOWITZ REVOCABLE TRUST | Domestic Entity | POLEN CAPITAL HOLDINGS, LP | LIMITED PARTNER | 05/2022 | 25-50% |
| DANIEL A. DAVIDOWITZ REVOCABLE TRUST | Domestic Entity | POLEN CAPITAL HOLDINGS GP, LLC | MEMBER | 05/2022 | 50-75% |