ROCATON INVESTMENT ADVISORS
ROCATON INVESTMENT ADVISORS, LLC Legal Name
Adviser information for ROCATON INVESTMENT ADVISORS 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 | Connecticut, United States |
Employees
| Total Number of Employees | 23 |
|---|---|
| Investment Advisory/Research | 20 |
| Registered Broker-Dealer Representatives | 1 |
| 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 | 127 | $13.0B |
| Non-Discretionary | 1 | $10.8M |
| Total | 128 | $13.0B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $0 |
| HNW Individuals | <5 | $0 |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 13 | $12.1B |
| Charitable organizations | 5 | $616.2M |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | 15 | $256.7M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 151 |
| No. of Non-U.S. Clients | 3 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed feesADDITIONAL INFO ON FEES CHARGED BY ADVISOR IN FORM ADV PART 2 |
Principal Office
20 GLOVER AVENUENORWALK
CT
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 203-621-1700, Fax: None
Chief Compliance Officer
ELISA METZGER
20 GLOVER AVENUE
NORWALK
CT
United States
Tel:
(203) 621-1760
E************@**************M
(Full email address available in API data)
Regulatory Contact
JULIEN YOO
MANAGING DIRECTOR/COMPLIANCE
200 WEST STREET, 35TH FLOOR
NEW YORK
NY
United States
Tel:
(212) 855-0001
Fax:
(212) 428-1324
J*********@**************M
(Full email address available in API data)
Industry Affiliates
| AC RES ADVISORS, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| APTITUDE INVESTMENT MANAGEMENT LP | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorPension consultantSponsor, GP, manager of pooled investment vehicles |
| APTITUDE PARTNERS FUND GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| ARROW REINSURANCE COMPANY, LIMITED | Insurance company or agency |
| ASL ACCESS ADVISORS LLC | Sponsor, GP, manager of pooled investment vehicles |
| BATTERY VENTURES OPPORTUNITIES ACCESS OFFSHORE LP | Sponsor, GP, manager of pooled investment vehicles |
| BROAD STREET LOAN PARTNERS IV UNLEVERED ADVISORS, S.A R.L. | Sponsor, GP, manager of pooled investment vehicles |
| BROAD STREET PARTNERS LUX GP, S.A R.L. | Sponsor, GP, manager of pooled investment vehicles |
| BROAD STREET SENIOR CREDIT PARTNERS ADVISOR, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| BROAD STREET SENIOR CREDIT PARTNERS II ADVISOR, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| BROAD STREET SENIOR CREDIT PARTNERS OFFSHORE ADVISOR, LTD. | Sponsor, GP, manager of pooled investment vehicles |
| CLLF ADVISORS LLC | Sponsor, GP, manager of pooled investment vehicles |
| CO-INVEST AGGREGATOR GP LTD | Sponsor, GP, manager of pooled investment vehicles |
| DST OPPORTUNITIES II ACCESS LLC | Sponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS (ASIA) FINANCE | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| GOLDMAN SACHS (ASIA) L.L.C. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS (CHINA) L.L.C. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS (INDIA) CAPITAL MARKETS PRIVATE LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| GOLDMAN SACHS (INDIA) SECURITIES PRIVATE LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| GOLDMAN SACHS (SINGAPORE) PTE. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS & CO. LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersRegistered municipal advisorCommodity pool operator or commodity trading advisorFutures commission merchant |
| GOLDMAN SACHS ACCESS FUNDS GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS ALTERNATIVE ASSETS S.A R.L | Sponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED | Other investment adviser, including financial planners |
| GOLDMAN SACHS ASSET MANAGEMENT (INDIA) PRIVATE LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS ASSET MANAGEMENT AUSTRALIA PTY LTD | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS ASSET MANAGEMENT B.V. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS ASSET MANAGEMENT BELGIUM S.A. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS ASSET MANAGEMENT CO., LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersPension consultantSponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorPension consultantSponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS ASSET MANAGEMENT SCHWEIZ GMBH | Other investment adviser, including financial planners |
| GOLDMAN SACHS ASSET MANAGEMENT, L.P. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorPension consultantSponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS AUSTRALIA PTY LTD | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| GOLDMAN SACHS BANK AG | Broker-dealer, municipal securities dealer, or gov securities broker or dealerBanking or thrift institution |
| GOLDMAN SACHS BANK EUROPE SE | Broker-dealer, municipal securities dealer, or gov securities broker or dealerRegistered security-based swap dealerBanking or thrift institution |
| GOLDMAN SACHS BANK USA | Registered security-based swap dealerBanking or thrift institution |
| GOLDMAN SACHS BELEGGERSGIRO B.V. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| GOLDMAN SACHS CANADA INC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| GOLDMAN SACHS COLLECTIVE TRUST | Trust company |
| GOLDMAN SACHS CONCENTRATED MEZZANINE AND DISTRESSED FUND II GP, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS CUSTODY SOLUTIONS | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| GOLDMAN SACHS DISTRESSED OPPORTUNITIES IV ADVISORS, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS DISTRESSED OPPORTUNITIES IV EMPLOYEE FUNDS GP, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS DISTRESSED OPPORTUNITIES IV OFFSHORE ADVISORS, INC. | Sponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS DISTRESSED OPPORTUNITIES IV OFFSHORE HOLDINGS ADVISORS, INC. | Sponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS DO BRASIL BANCO MULTIPLO S/A | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorBanking or thrift institution |
| GOLDMAN SACHS DO BRASIL CORRETORA DE TITULOS E VALORES MOBILIARIOS S/A | Broker-dealer, municipal securities dealer, or gov securities broker or dealerBanking or thrift institution |
| GOLDMAN SACHS EP ADVISORS LLC | Sponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS EUROPE LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS FINANCIAL MARKETS PTY LTD | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| GOLDMAN SACHS FINANCIAL MARKETS, L.P. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerRegistered security-based swap dealer |
| GOLDMAN SACHS FUTURES PTE LTD | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| GOLDMAN SACHS GLOBAL SERVICES II LIMITED | Other investment adviser, including financial planners |
| GOLDMAN SACHS HEDGE FUND STRATEGIES LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorPension consultantSponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS INTERNATIONAL | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersRegistered security-based swap dealer |
| GOLDMAN SACHS INTERNATIONAL BANK | Broker-dealer, municipal securities dealer, or gov securities broker or dealerBanking or thrift institution |
| GOLDMAN SACHS INVESTMENT PARTNERS GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS INVESTMENTS (MAURITIUS) I LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| GOLDMAN SACHS JAPAN CO., LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| GOLDMAN SACHS LENDING PARTNERS LLC | Sponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS MANAGEMENT PARTNERS, L.P. | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS MEXICO, CASA DE BOLSA, S.A. DE C.V. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| GOLDMAN SACHS NEW ZEALAND LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS PARIS INC. ET CIE | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersBanking or thrift institutionSponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS PCO ADVISORS LLC | Sponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS PEM 2011 ADVISORS LLC | Sponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS PEM 2014 ADVISORS LLC | Sponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS PEP 2004 US-FOCUSED (KP) OFFSHORE ADVISORS, INC. | Sponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS PEP 2004 US-FOCUSED (KP) OFFSHORE HOLDINGS ADVISORS, INC. | Sponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS PEP X ADVISORS, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS PH ADVISORS, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS PH PRIVATE EQUITY ADVISORS LLC | Sponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS PRIVATE EQUITY CONCENTRATED HEALTHCARE OFFSHORE ADVISORS, INC. | Sponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS PRIVATE EQUITY MULTI-STRATEGY FUND OFFSHORE ADVISORS, INC. | Sponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS PRIVATE EQUITY U.S. - FOCUSED II OFFSHORE ADVISORS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS PRIVATE EQUITY U.S. - FOCUSED II OFFSHORE HOLDINGS ADVISORS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS PROMOCION DE PRODUCTOS FINANCIEROS S.A. | Other investment adviser, including financial planners |
| GOLDMAN SACHS SAUDI ARABIA | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS SERVICES (HONG KONG) LIMITED | Other investment adviser, including financial planners |
| GOLDMAN SACHS SERVICES PRIVATE LIMITED | Other investment adviser, including financial planners |
| GOLDMAN SACHS TL PROGRAM ADVISORS, INC. | Sponsor, GP, manager of pooled investment vehicles |
| GOLDMAN SACHS VSS ADVISORS LLC | Sponsor, GP, manager of pooled investment vehicles |
| GROWTH AND EMERGING MARKETS PRIVATE EQUITY MANAGERS: 2011 ADVISORS L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| GS INVESTMENT STRATEGIES CANADA INC. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| GS MERCHANT BANKING ACCESS 2006 ADVISORS, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| GS MEZZANINE ADVISORS V, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| GS MEZZANINE PARTNERS V EMPLOYEE FUNDS GP, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| GS PE HARVEST GP I A INC | Sponsor, GP, manager of pooled investment vehicles |
| GS PE HARVEST GP I C LLC | Sponsor, GP, manager of pooled investment vehicles |
| GS PE HARVEST GP I D INC | Sponsor, GP, manager of pooled investment vehicles |
| GS PE HARVEST GP I E INC | Sponsor, GP, manager of pooled investment vehicles |
| GS PE HARVEST GP II A INC | Sponsor, GP, manager of pooled investment vehicles |
| GS UI ADVISORS LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| GSAM (GLOBAL MANAGER SERIES CAYMAN GP) LTD | Sponsor, GP, manager of pooled investment vehicles |
| GSAM GEN-PAR, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| GSAM HOLDINGS II LLC | Sponsor, GP, manager of pooled investment vehicles |
| GSAM HOLDINGS LLC | Sponsor, GP, manager of pooled investment vehicles |
| GSAM STABLE VALUE, LLC | Other investment adviser, including financial plannersPension consultantSponsor, GP, manager of pooled investment vehicles |
| GSAM STRATEGIST PORTFOLIOS, LLC | Other investment adviser, including financial planners |
| J. ARON & COMPANY LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| MB ADVISORS LTD | Sponsor, GP, manager of pooled investment vehicles |
| MBD ADVISORS, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| MD VII PE ACCESS ADVISORS LLC | Sponsor, GP, manager of pooled investment vehicles |
| MERCER ALLIED COMPANY, L.P. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| MULTI-MANAGER ACCESS ADVISORS LLC | Sponsor, GP, manager of pooled investment vehicles |
| NN INVESTMENT PARTNERS TOWARZYSTWO FUNDUSZY INWESTYCYJNYCH S.A. | Other investment adviser, including financial planners |
| OOO GOLDMAN SACHS BANK | Broker-dealer, municipal securities dealer, or gov securities broker or dealerBanking or thrift institution |
| OT ACCESS LLC | Sponsor, GP, manager of pooled investment vehicles |
| PEA ENHANCED FACILITY AGGREGATOR LP | Sponsor, GP, manager of pooled investment vehicles |
| PECP III ESC ADVISORS LLC | Sponsor, GP, manager of pooled investment vehicles |
| PEP XI ADVISORS, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| PES EMPLOYEE AGGREGATOR LP | Sponsor, GP, manager of pooled investment vehicles |
| PES OPPORTUNITIES ADVISORS, INC. | Sponsor, GP, manager of pooled investment vehicles |
| PH PE AGGREGATOR GP LTD | Sponsor, GP, manager of pooled investment vehicles |
| PRIVATE EQUITY CO-INVESTMENT PARTNERS ADVISORS LLC | Sponsor, GP, manager of pooled investment vehicles |
| PRIVATE EQUITY CO-INVESTMENT PARTNERS OFFSHORE ADVISORS, INC. | Sponsor, GP, manager of pooled investment vehicles |
| PRIVATE EQUITY MANAGERS (2015) OFFSHORE ADVISORS | Sponsor, GP, manager of pooled investment vehicles |
| PRIVATE EQUITY MANAGERS (2016) OFFSHORE ADVISORS | Sponsor, GP, manager of pooled investment vehicles |
| PRIVATE EQUITY MANAGERS 2012 ADVISORS L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| PRIVATE EQUITY MANAGERS 2013 ADVISORS L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| PRIVATE EQUITY MANAGERS 2015 ADVISORS LLC | Sponsor, GP, manager of pooled investment vehicles |
| PRIVATE EQUITY MANAGERS 2016 ADVISORS LLC | Sponsor, GP, manager of pooled investment vehicles |
| PRIVATE REAL ESTATE MANAGERS: 2011 ADVISORS LLC | Sponsor, GP, manager of pooled investment vehicles |
| QIAN KUN FUTURES CO., LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| SENIOR CREDIT (UWF) ADVISORS LLC | Sponsor, GP, manager of pooled investment vehicles |
| SENIOR CREDIT FUND (UCR) ADVISORS LLC | Sponsor, GP, manager of pooled investment vehicles |
| STRATEGIC INVESTORS XI ACCESS LLC | Sponsor, GP, manager of pooled investment vehicles |
| STRATEGIC VALUE CAPITAL SOLUTIONS II ACCESS LLC | Sponsor, GP, manager of pooled investment vehicles |
| TE 4 ACCESS ADVISORS | Sponsor, GP, manager of pooled investment vehicles |
| THE AYCO COMPANY, L.P. | Other investment adviser, including financial planners |
| THE AYCO SERVICES AGENCY, L.P. | Insurance company or agency |
| THE AYCO SERVICES INSURANCE AGENCY, INC. | Insurance company or agency |
| THE GOLDMAN SACHS GROUP, INC. | Banking or thrift institutionSponsor, GP, manager of pooled investment vehicles |
| THE GOLDMAN SACHS TRUST COMPANY OF DELAWARE | Trust company |
| THE GOLDMAN SACHS TRUST COMPANY, NATIONAL ASSOCIATION | Trust companySponsor, GP, manager of pooled investment vehicles |
| VENN HYPOTHEKEN B.V. | Banking or thrift institution |
| VF IX ESC ADVISORS LLC | Sponsor, GP, manager of pooled investment vehicles |
| VF IX SLP AGGREGATOR LP | Sponsor, GP, manager of pooled investment vehicles |
| VF VIII ESC ADVISORS LLC | Sponsor, GP, manager of pooled investment vehicles |
| VINTAGE REAL ESTATE PARTNERS II FOREIGN INCOME BLOCKER LLC | Sponsor, GP, manager of pooled investment vehicles |
| VINTAGE VII AB HOLDINGS LP | Sponsor, GP, manager of pooled investment vehicles |
| VINTAGE VIII B FOREIGN INCOME BLOCKER LLC | Sponsor, GP, manager of pooled investment vehicles |
| VINTAGE VIII B OFFSHORE HOLDINGS LP | Sponsor, GP, manager of pooled investment vehicles |
| VINTAGE VIII B2 OFFSHORE FOREIGN INCOME BLOCKER LTD | Sponsor, GP, manager of pooled investment vehicles |
| VINTAGE VIII EMPLOYEE FOREIGN INCOME BLOCKER LLC | Sponsor, GP, manager of pooled investment vehicles |
| VINTAGE VIII EMPLOYEE OFFSHORE INVESTMENTS LTD | Sponsor, GP, manager of pooled investment vehicles |
| VINTAGE VIII EMPLOYEE OFFSHORE US INVESTMENTS LLC | Sponsor, GP, manager of pooled investment vehicles |
| VINTAGE VIII FOREIGN INCOME BLOCKER LLC | Sponsor, GP, manager of pooled investment vehicles |
| VINTAGE VIII OFFSHORE HOLDINGS LP | Sponsor, GP, manager of pooled investment vehicles |
| VNT / BROAD STREET ENERGY ACCESS ADVISORS LLC | Sponsor, GP, manager of pooled investment vehicles |
| VNT FUND VA ADVISORS LLC | Sponsor, GP, manager of pooled investment vehicles |
| WEST STREET CO-INVESTMENT PARTNERS (C) GP, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| WEST STREET CT PRIVATE CREDIT ADVISORS, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| WEST STREET EP GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| WEST STREET FUNDS MASTER UNIT TRUST | Sponsor, GP, manager of pooled investment vehicles |
| WEST STREET GCPD GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| WEST STREET PRIVATE CREDIT PARTNERS (A) GP ADVISORS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| WEST STREET SENIOR CREDIT PARTNERS III ADVISOR, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| WEST STREET STRATEGIC SOLUTIONS GP (E) S.A R.L. | Sponsor, GP, manager of pooled investment vehicles |
| WEST STREET STRATEGIC SOLUTIONS GP, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| WEST STREET TFL CREDIT PARTNERS GP, S.A R.L. | Sponsor, GP, manager of pooled investment vehicles |
| WEST STREET/NJ BSL CREDIT ADVISORS LLC | Sponsor, GP, manager of pooled investment vehicles |
| WEST STREET/NJ PRIVATE CREDIT PARTNERSHIP GP ADVISORS 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 |
|---|---|---|---|---|---|
| METZGER, ELISA, DOUGHERTY | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2012 | < 5% |
| GSAM HOLDINGS LLC | Domestic Entity | – | GENERAL PARTNER | 04/2019 | > 75% |
| THE GOLDMAN SACHS GROUP, INC. | Domestic Entity | GSAM HOLDINGS LLC | MEMBER | 04/1997 | > 75% |
| PLUTZER, DAVID, SETH | Individual | – | CHIEF LEGAL OFFCER | 01/2021 | < 5% |
| NACHMANN, MARC, OTTO | Individual | – | CHIEF EXECUTIVE OFFCER | 01/2023 | < 5% |
| Bousquette, William, CHARLES | Individual | – | CHIEF OPERATING OFFICER | 01/2024 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed November 14th, 2018 for period ending September 30th, 2018
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| IVV | iShares Core S&P 500 ETF | 28K | 95K | – |
| VTI | Vanguard Total Stock Market ETF | 6K | 38K | – |
| IEFA | iShares Core MSCI EAFE ETF | 3K | 51K | – |