BALLYROCK INVESTMENT ADVISORS LLC
Adviser information for BALLYROCK INVESTMENT ADVISORS 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 | 0 |
---|---|
Investment Advisory/Research | 0 |
Registered Broker-Dealer Representatives | 0 |
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 | 18 | $6.5B |
Non-Discretionary | 0 | $0 |
Total | 18 | $6.5B |
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 | 18 | $6.5B |
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 vehicles |
---|---|
Compensation | % of AUMPerformance-based feesCLO WAREHOUSE RETURNS |
Identifiers
SEC RIA File Number | 801-60583 |
---|---|
SEC ERA File Number | 801-60583 |
SEC CIK Numbers | None |
SEC CRD Numbers | 115324 |
Legal Entity Identifier | 5493001EW1OHRA48KN87 |
Principal Office
245 SUMMER STREETBOSTON
MA
United States
Monday - Friday, 9:00 AM - 5:00 PM EST
Tel: 617-563-7000, Fax: None
Chief Compliance Officer
STEPHANIE BROWN
CHIEF COMPLIANCE OFFICER
ONE SPARTAN WAY
MERRIMACK
NH
United States
Tel:
603-791-1558
S****************@******M
(Full email address available in API data)
Regulatory Contact
JESSICA DUHAMEL
VICE PRESIDENT, ASSET MANAGEMENT COMPLIANCE
245 SUMMER STREET
BOSTON
MA
United States
Tel:
617-563-1064
J**************@******M
(Full email address available in API data)
Industry Affiliates
42 NORTH RESOURCE PARTNERS ADVISORS II LP | Sponsor, GP, manager of pooled investment vehicles |
42 NORTH RESOURCE PARTNERS ADVISORS LP | Sponsor, GP, manager of pooled investment vehicles |
AGILUS VENTURES ADVISORS IV LIMITED PARTNERSHIP | Sponsor, GP, manager of pooled investment vehicles |
ALIMONT VENTURES ADVISORS V LIMITED PARTNERSHIP | Sponsor, GP, manager of pooled investment vehicles |
AVON VENTURE ADVISORS FUND I LP | Sponsor, GP, manager of pooled investment vehicles |
AVON VENTURE ADVISORS FUND II LP | Sponsor, GP, manager of pooled investment vehicles |
DI CONSUMER ADVISORS FUND I LP | Sponsor, GP, manager of pooled investment vehicles |
DI OPPORTUNITY ADVISORS FUND LP | Sponsor, GP, manager of pooled investment vehicles |
DIGITAL BROKERAGE SERVICES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
EMPIRE FIDELITY INVESTMENTS LIFE INSURANCE COMPANY | Insurance company or agency |
F-PRIME CAPITAL PARTNERS HEALTHCARE ADVISORS FUND II LP | Sponsor, GP, manager of pooled investment vehicles |
F-PRIME CAPITAL PARTNERS HEALTHCARE ADVISORS FUND III LP | Sponsor, GP, manager of pooled investment vehicles |
F-PRIME CAPITAL PARTNERS HEALTHCARE ADVISORS FUND IV LP | Sponsor, GP, manager of pooled investment vehicles |
F-PRIME CAPITAL PARTNERS HEALTHCARE ADVISORS FUND IV-A LP | Sponsor, GP, manager of pooled investment vehicles |
F-PRIME CAPITAL PARTNERS HEALTHCARE ADVISORS FUND LP | Sponsor, GP, manager of pooled investment vehicles |
F-PRIME CAPITAL PARTNERS HEALTHCARE ADVISORS FUND V LP | Sponsor, GP, manager of pooled investment vehicles |
F-PRIME CAPITAL PARTNERS HITS ADVISORS FUND II LP | Sponsor, GP, manager of pooled investment vehicles |
F-PRIME CAPITAL PARTNERS HITS ADVISORS FUND III LP | Sponsor, GP, manager of pooled investment vehicles |
F-PRIME CAPITAL PARTNERS HITS ADVISORS FUND LP | Sponsor, GP, manager of pooled investment vehicles |
F-PRIME CAPITAL PARTNERS LIFE SCIENCES ADVISORS FUND VI LP | Sponsor, GP, manager of pooled investment vehicles |
F-PRIME CAPITAL PARTNERS LIFE SCIENCES ADVISORS FUND VII LP | Sponsor, GP, manager of pooled investment vehicles |
F-PRIME CAPITAL PARTNERS LIFE SCIENCES ADVISORS FUND VIII LP | Sponsor, GP, manager of pooled investment vehicles |
F-PRIME CAPITAL PARTNERS TECH ADVISORS FUND 2021 LP | Sponsor, GP, manager of pooled investment vehicles |
F-PRIME CAPITAL PARTNERS TECH ADVISORS FUND II LP | Sponsor, GP, manager of pooled investment vehicles |
F-PRIME CAPITAL PARTNERS TECH ADVISORS FUND LP | Sponsor, GP, manager of pooled investment vehicles |
FIAM INDEX FUND GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
FIAM INSTITUTIONAL FUNDS MANAGER, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
FIAM LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorPension consultant |
FIDELITY BROKERAGE SERVICES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
FIDELITY BUSINESS SERVICES INDIA PRIVATE LIMITED | Other investment adviser, including financial planners |
FIDELITY CONVERTIBLE ARBITRAGE FUND GP LLC | Sponsor, GP, manager of pooled investment vehicles |
FIDELITY CRET TRUSTEE LLC | Sponsor, GP, manager of pooled investment vehicles |
FIDELITY DIGITAL ASSET SERVICES, LLC | Trust company |
FIDELITY DISTRIBUTORS COMPANY LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
FIDELITY DIVERSIFYING SOLUTIONS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
FIDELITY EVERGREEN PRIVATE CREDIT FUND GP LLC | Sponsor, GP, manager of pooled investment vehicles |
FIDELITY FUNDS MANAGER II, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
FIDELITY FUNDS MANAGER, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
FIDELITY HEALTH INSURANCE SERVICES, LLC | Insurance company or agency |
FIDELITY INSTITUTIONAL ASSET MANAGEMENT TRUST COMPANY | Commodity pool operator or commodity trading advisorTrust companyPension consultant |
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC | Other investment adviser, including financial planners |
FIDELITY INSURANCE AGENCY, INC. | Insurance company or agency |
FIDELITY INVESTMENTS LIFE INSURANCE COMPANY | Insurance company or agency |
FIDELITY JAPAN DATA CENTERS FUND GP LP | Sponsor, GP, manager of pooled investment vehicles |
FIDELITY MANAGEMENT & RESEARCH (CANADA) ULC | Other investment adviser, including financial planners |
FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
FIDELITY MANAGEMENT & RESEARCH COMPANY LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
FIDELITY MANAGEMENT TRUST COMPANY | Trust company |
FIDELITY PERSONAL AND WORKPLACE ADVISORS | Other investment adviser, including financial planners |
FIDELITY PERSONAL TRUST COMPANY, FSB | Banking or thrift institutionTrust company |
FIDELITY PRIME FINANCING | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
FIDELITY PRIVATE EQUITY MULTI-STRATEGY FUND GP LLC | Sponsor, GP, manager of pooled investment vehicles |
FIDELITY PRIVATE EQUITY MULTI-STRATEGY FUND II GP LLC | Sponsor, GP, manager of pooled investment vehicles |
FIDELITY REAL ESTATE PARTNERS VI LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
FIDELITY STRATEGIC ADVISERS IRELAND, LIMITED | Other investment adviser, including financial planners |
FIDELITY TOKYO 3 SERIES GP LP | Sponsor, GP, manager of pooled investment vehicles |
FIDVEST US LLC | Insurance company or agency |
FINE STRUCTURE VENTURES ADVISORS FUND II LP | Sponsor, GP, manager of pooled investment vehicles |
FINE STRUCTURES VENTURES ADVISORS FUND I LP | Sponsor, GP, manager of pooled investment vehicles |
FMR INVESTMENT MANAGEMENT (UK) LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
GREEN PIER FINTECH LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
IMPRESA MANAGEMENT LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
KEZAR TRADING, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
NATIONAL FINANCIAL SERVICES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
SOTERIA REINSURANCE LTD. | Insurance company or agency |
STRATEGIC ADVISERS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
VOLCAP ADVISORS FUND I LIMITED PARTNERSHIP | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
Name | Type | Assets $USD | Min Investment $USD | No. Owners |
---|---|---|---|---|
BALLYROCK CLO 14 LTD. | Securitized Asset Fund | $391.3M | $0.3M | 8 |
BALLYROCK CLO 15 LTD. | Securitized Asset Fund | $390.5M | $0.3M | 8 |
BALLYROCK CLO 16 LTD. | Securitized Asset Fund | $438.2M | $0.3M | 9 |
BALLYROCK CLO 17 LTD. | Securitized Asset Fund | $486.3M | $0.3M | 8 |
BALLYROCK CLO 18 LTD. | Securitized Asset Fund | $533.2M | $0.3M | 7 |
BALLYROCK CLO 19 LTD. | Securitized Asset Fund | $410.9M | $0.3M | 8 |
BALLYROCK CLO 20 LTD. | Securitized Asset Fund | $488.3M | $0.3M | 10 |
BALLYROCK CLO 2016-1 LTD | Securitized Asset Fund | $0.0M | $0.3M | 0 |
BALLYROCK CLO 2018-1 LTD | Securitized Asset Fund | $421.4M | $0.3M | 9 |
BALLYROCK CLO 2019-1 LTD | Securitized Asset Fund | $387.0M | $0.3M | 6 |
BALLYROCK CLO 2019-2 LTD | Securitized Asset Fund | $313.3M | $0.3M | 7 |
BALLYROCK CLO 2020-2 LTD. | Securitized Asset Fund | $390.5M | $0.3M | 6 |
BALLYROCK CLO 21 LTD. | Securitized Asset Fund | $393.1M | $0.3M | 10 |
BALLYROCK CLO 22 LTD. | Securitized Asset Fund | $95.9M | $2.5M | 3 |
BALLYROCK CLO 23 LTD. | Securitized Asset Fund | $443.3M | $0.3M | 6 |
BALLYROCK CLO 24 LTD. | Securitized Asset Fund | $445.4M | $0.3M | 9 |
BALLYROCK CLO 25 LTD. | Securitized Asset Fund | $443.7M | $0.3M | 9 |
BALLYROCK CLO 26 LTD. | Securitized Asset Fund | $39.5M | $5.0M | 2 |
Control Persons
Name | Type | Entity | Title | Since | Ownership |
---|---|---|---|---|---|
JOHNSON, ABIGAIL, PIERREPONT | Individual | FMR LLC | ELECTED MANAGER | 05/1994 | |
FMR LLC | Domestic Entity | – | MEMBER | 01/2007 | > 75% |
JOHNSON IV, EDWARD, CROSBY | Individual | FMR LLC | ELECTED MANAGER | 04/2006 | |
MOLLENHAUER, MARK, ERIC | Individual | – | VICE PRESIDENT | 04/2012 | < 5% |
WILENS, MICHAEL, ENGBER | Individual | FMR LLC | ELECTED MANAGER | 10/2014 | |
MCGRAW, GERARD, JOHN | Individual | FMR LLC | ELECTED MANAGER | 10/2014 | |
NIELSEN, KEVIN, DUNLEAVY | Individual | – | VICE PRESIDENT | 04/2018 | < 5% |
RIMMER, CHRISTOPHER, JOHN | Individual | – | HEAD OF ASSET MANAGEMENT FINANCE, TREASURER | 10/2018 | < 5% |
LANK, HARLEY, JAY | Individual | – | DIRECTOR, PRESIDENT, HEAD OF HIGH INCOME | 08/2019 | < 5% |
QUINLAN, CHRISTOPHER, PAUL | Individual | – | CHIEF OPERATING OFFICER | 01/2020 | < 5% |
GRENIER, BART, ALEXANDER | Individual | – | HEAD OF ASSET MANAGEMENT | 02/2020 | < 5% |
Pogorelec, Jason, Philip | Individual | – | COMPLIANCE OFFICER | 06/2020 | < 5% |
Perine, Chandler, Roch | Individual | – | VICE PRESIDENT | 10/2022 | < 5% |
BROWN, STEPHANIE, JEAN | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2023 | < 5% |
NEFF, STEPHEN, CHARLES | Individual | FMR LLC | ELECTED MANAGER | 04/2023 | |
Harris, Lionel, Todd | Individual | – | VICE PRESIDENT, DIRECTOR | 02/2024 | < 5% |