AETOS ALTERNATIVES MANAGEMENT
AETOS ALTERNATIVES MANAGEMENT, L.P. Legal Name
Adviser information for AETOS ALTERNATIVES MANAGEMENT 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 Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 25 |
|---|---|
| Investment Advisory/Research | 15 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 109 | $1.9B |
| Non-Discretionary | 7 | $3.4B |
| Total | 116 | $5.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $0 |
| HNW Individuals | 65 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 3 | $620.1M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 8 | $4.1M |
| Pension and profit sharing plans | 7 | $2.1B |
| Charitable organizations | 13 | $2.6B |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 5 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Principal Office
875 THIRD AVENUE22ND FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00 A.M. TO 5:00 P.M.
Tel: 212-201-2500, Fax: 212-201-2525
Chief Compliance Officer
HAROLD SCHAAFF
GENERAL COUNSEL
875 THIRD AVENUE
22ND FLOOR
NEW YORK
NY
United States
Tel:
212-201-2533
Fax:
212-201-2525
H*******@********M
(Full email address available in API data)
Regulatory Contact
VALERIE ROMEO
COMPLIANCE OFFICER
875 THIRD AVENUE
22ND FLOOR
NEW YORK
NY
United States
Tel:
212-201-2519
Fax:
212-201-2525
V*****@********M
(Full email address available in API data)
Industry Affiliates
| AETOS SPECIAL SITUATIONS GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| AETOS SUSTAINABILITY GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| AETOS CAPITAL DISTRESSED INVESTMENT STRATEGIES CAYMAN FUND | Hedge Fund | $56.7M | $0.1M | 36 |
| AETOS CAPITAL DISTRESSED INVESTMENT STRATEGIES CAYMAN FUND II | Hedge Fund | $0.4M | $0.1M | 10 |
| AETOS CAPITAL LONG/SHORT STRATEGIES CAYMAN FUND | Hedge Fund | $266.5M | $0.1M | 43 |
| AETOS CAPITAL LONG/SHORT STRATEGIES CAYMAN FUND II | Hedge Fund | $2.7M | $0.1M | 10 |
| AETOS CAPITAL MULTI-STRATEGY ARBITRAGE CAYMAN FUND | Hedge Fund | $209.2M | $0.1M | 36 |
| AETOS CAPITAL MULTI-STRATEGY ARBITRAGE CAYMAN FUND II | Hedge Fund | $1.8M | $0.1M | 10 |
| AETOS SPECIAL SITUATIONS OPPORTUNITY FUND LP | Private Equity Fund | $11.1M | $5.0M | 3 |
| AETOS SUSTAINABILITY LONG/SHORT FUND, LP | Hedge Fund | $4.4M | $1.0M | 3 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SCHAAFF, HAROLD, JAMES | Individual | – | CHIEF COMPLIANCE OFFICER AND CHIEF LEGAL OFFICER | 10/2001 | 10-25% |
| ACLP, LP | Domestic Entity | – | LIMITED PARTNER | 07/2018 | 25-50% |
| CASSCELLS, RHEA, ELIZABETH ANNE | Individual | – | CO-PRESIDENT | 02/2004 | 25-50% |
| KLEIN, MICHAEL, FREDERICK | Individual | – | CO-PRESIDENT | 02/2004 | 25-50% |
| THE ALLWIN FAMILY, LLC | Domestic Entity | ACLP, LP | LIMITED PARTNER | 05/1999 | 50-75% |
| ACLP GP, LLC | Domestic Entity | ACLP, LP | GENERAL PARTNER | 12/2005 | |
| JAMES M ALLWIN 2001 CHILDRENS' TRUST | Domestic Entity | THE ALLWIN FAMILY, LLC | MEMBER | 01/2001 | 25-50% |
| SAWYER, SCOTT, DAVID | Individual | – | CHIEF FINANCIAL OFFICER | 08/2004 | < 5% |
| ALLWIN, MARIA | Individual | THE ALLWIN FAMILY, LLC | MEMBER | 07/2017 | 25-50% |
| THE 2017 MARIA ALLWIN GRAT NO. 1 | Domestic Entity | THE ALLWIN FAMILY, LLC | MEMBER | 09/2017 | 25-50% |
| ALLWIN, MARIA | Individual | JAMES M ALLWIN 2001 CHILDRENS' TRUST | TRUSTEE | 07/2017 | |
| ALLWIN, CHRISTOPHER, FRANCIS | Individual | JAMES M ALLWIN 2001 CHILDRENS' TRUST | TRUSTEE | 07/2017 | |
| ALLWIN, KATRINA, PERSEFONE | Individual | JAMES M ALLWIN 2001 CHILDRENS' TRUST | TRUSTEE | 07/2017 | |
| ALLWIN, MARIA | Individual | THE 2017 MARIA ALLWIN GRAT NO. 1 | TRUSTEE | 09/2017 | |
| AETOS ALTERNATIVES MANAGEMENT, LLC | Domestic Entity | – | GENERAL PARTNER | 07/2018 | < 5% |
| CASSCELLS, RHEA, ELIZABETH ANNE | Individual | – | LIMITED PARTNER | 07/2018 | 25-50% |
| SCHAAFF, HAROLD, JAMES | Individual | – | LIMITED PARTNER | 07/2018 | 10-25% |
| KLEIN, MICHAEL, FREDERICK | Individual | – | LIMITED PARTNER | 07/2018 | 25-50% |
| ACLP, LP | Domestic Entity | AETOS ALTERNATIVES MANAGEMENT, LLC | MEMBER | 07/2018 | 25-50% |
| CASSCELLS, RHEA, ELIZABETH ANNE | Individual | AETOS ALTERNATIVES MANAGEMENT, LLC | MEMBER | 07/2018 | 25-50% |
| KLEIN, MICHAEL, FREDERICK | Individual | AETOS ALTERNATIVES MANAGEMENT, LLC | MEMBER | 07/2018 | 25-50% |
| THE ALLWIN FAMILY, LLC | Domestic Entity | ACLP GP, LLC | MEMBER | 07/2018 | > 75% |
| ALLWIN, CHRISTOPHER, FRANCIS | Individual | ACLP GP, LLC | MANAGER | 07/2018 |