ALCENTRA NY, LLC
Adviser information for ALCENTRA NY, LLC 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 Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 26 |
|---|---|
| Investment Advisory/Research | 15 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 52 | $16.2B |
| Non-Discretionary | 2 | $206.2M |
| Total | 54 | $16.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 4 | $1.6B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 46 | $13.1B |
| Pension and profit sharing plans | <5 | $969.8M |
| 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 | <5 | $657.7M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 76 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-62417 |
|---|---|
| SEC ERA File Number | 801-62417 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 128557 |
| Legal Entity Identifier | 5493006C55WUHGKZX458 |
Principal Office
9 WEST 57TH STREETSUITE 4920
NEW YORK
NY
United States
Monday - Friday, 8:00 A.M. - 5 P.M.
Tel: 212-588-6770, Fax: 212-588-6769
Chief Compliance Officer
ALEXANDER HOWE MCMILLAN
CHIEF COMPLIANCE OFFICER
9 WEST 57TH STREET
SUITE 4920
NEW YORK
NY
United States
Tel:
212-588-6712
A*********@************************M
(Full email address available in API data)
Regulatory Contact
RICK GALLO
DIRECTOR AND ASSOCIATE REGULATORY COUNSEL
360 ROSEMARY SQUARE
WEST PALM BEACH
FL
United States
Tel:
212-588-6739
R******@************************M
(Full email address available in API data)
Industry Affiliates
| ALCENTRA HIGH YIELD | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| ALCENTRA JERSEY GP LIMITED PARTNERSHIP | Sponsor, GP, manager of pooled investment vehicles |
| ALCENTRA LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| ALCENTRA S.A.R.L. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| ALCENTRA STRUCTURED CREDIT OPPORTUNITY FUND GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| ALCENTRA STRUCTURED CREDIT OPPORTUNITY FUND II GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| ASCOF IV GP LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| BENEFIT STREET PARTNERS L.L.C. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| BNY MELLON GLOBAL CREDIT ALTERNATIVES FUND MANAGER, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BROWN BROTHERS HARRIMAN TRUST COMPANY (CAYMAN LIMITED) | Sponsor, GP, manager of pooled investment vehicles |
| BSP CLO MANAGEMENT LLC | Other investment adviser, including financial planners |
| CSCOF III GP LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| CVF GP LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| FRANKLIN BSP CAPITAL ADVISER LLC | Other investment adviser, including financial planners |
| MUFG FUND SERVICES (CAYMAN) LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| THE BANK OF NEW YORK MELLON | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ALCENTRA GLOBAL CREDIT ALTERNATIVES FUND, L.L.C. | PRIVATE FUND- NO PERFORMANCE FEE | $4.5M | $0.3M | 203 |
| ALCENTRA GLOBAL HIGH GRADE CLO DEBT FUND PCC LIMITED | CLO DEBT FUND | $1,481.8M | $1.0M | 7 |
| ALCENTRA VIADUCT FUND (MASTER FUND) LP | Hedge Fund | $206.2M | $5.0M | 3 |
| ALEXANDER SERIES TRUST - ALCENTRA EUROPEAN CREDIT OPPORTUNITIES FUND | PORTFOLIO SERIES OF A DELAWARE STATUTORY TRUST | $5.4M | $1.0M | 43 |
| ASCOF IV HOLDCO LIMITED | Hedge Fund | $484.2M | $5.0M | 34 |
| CSCOF III HOLDCO LIMITED | Hedge Fund | $141.3M | $5.0M | 51 |
| GLOBAL HIGH GRADE CLO DEBT FUND 2018 RUN-OFF PORTFOLIO | CLO DEBT FUND | $0.0M | $1.0M | 0 |
| GLOBAL HIGH GRADE CLO DEBT FUND 2019 RUN-OFF PORTFOLIO | CLO DEBT FUND | $0.0M | $1.0M | 0 |
| GLOBAL HIGH GRADE CLO DEBT FUND 2020 RUN-OFF PORTFOLIO | CLO DEBT FUND | $0.0M | $1.0M | 0 |
| GLOBAL HIGH GRADE CLO DEBT FUND 2022 RUN-OFF PORTFOLIO | CLO DEBT FUND | $239.0M | $1.0M | 0 |
| MF GLOBAL INVESTMENT UMBRELLA UNIT TRUST - ALC EUR IG CLO FUND | CLO DEBT FUND | $1,161.6M | $0.1M | 1 |
| MULTI MANAGER GLOBAL INVESTMEN0T TRUST - JM3 GLOBAL CLO FUND 2018 | CAYMANS ISLANDS OPEN END FUND | $2,240.7M | $0.1M | 1 |
| MULTI MANAGER GLOBAL INVESTMENT TRUST - ALJ GLOBAL BANK LOAN FUND 2015 | CAYMAN ISLANDS OPEN ENDED UNIT TRUST | $13.6M | $0.1M | 1 |
| MULTI MANAGER GLOBAL INVESTMENT TRUST - ALJ GLOBAL LOAN FUND 2016 | CAYMAN ISLANDS OPEN ENDED UNIT TRUST | $20.5M | $0.1M | 1 |
| MULTI MANAGER GLOBAL INVESTMENT TRUST - JM2 GLOBAL LOAN FUND 2017 | CAYMAN ISLANDS OPEN ENDED UNIT TRUST | $10.7M | $0.1M | 1 |
| MULTI MANAGER GLOBAL INVESTMENT TRUST - JM3 GLOBAL CLO FUND 2020 | CAYMAN ISLANDS OPEN END FUND | $2,240.7M | $0.1M | 0 |
| MULTI-STRAT S.A.R.L. | SECURITIZATION VEHICLE OF DELAWARE STATUTORY TRUST | $25.2M | $1.0M | 1 |
| SHACKLETON 2013-III CLO, LTD. | Securitized Asset Fund | $362.0M | $0.3M | 25 |
| SHACKLETON 2013-IV-R CLO, LTD | Securitized Asset Fund | $390.4M | $0.3M | 22 |
| SHACKLETON 2014-V-R CLO, LTD. | Securitized Asset Fund | $552.7M | $0.3M | 23 |
| SHACKLETON 2015-VII-R CLO, LTD. | Securitized Asset Fund | $480.6M | $0.3M | 18 |
| SHACKLETON 2015-VIII CLO, LTD | Securitized Asset Fund | $0.6M | $0.3M | 15 |
| SHACKLETON 2017-X CLO, LTD. | Securitized Asset Fund | $360.3M | $0.3M | 23 |
| SHACKLETON 2017-XI CLO, LTD. | Securitized Asset Fund | $345.3M | $0.3M | 22 |
| SHACKLETON 2018-XII CLO, LTD. | Securitized Asset Fund | $477.9M | $0.3M | 17 |
| SHACKLETON 2019-XIV CLO, LTD. | Securitized Asset Fund | $440.4M | $0.3M | 18 |
| SHACKLETON 2019-XV CLO, LTD. | Securitized Asset Fund | $402.8M | $0.3M | 18 |
| SHACKLETON 2021-XVI CLO, LTD. | Securitized Asset Fund | $410.1M | $0.3M | 15 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ALCENTRA US, INC. | Domestic Entity | – | SHAREHOLDER | 02/2018 | > 75% |
| BNY ALCENTRA GROUP HOLDINGS, INC. | Domestic Entity | ALCENTRA US, INC. | SHAREHOLDER | 11/2015 | > 75% |
| FRANKLIN RESOURCES, INC. | Domestic Entity | – | SOLE MEMBER | 11/2022 | > 75% |
| MARTOKEN, BRYAN, ROGER | Individual | – | CHIEF FINANCIAL OFFICER | 11/2022 | < 5% |
| BYRNE, RICHARD, JAN | Individual | – | PRESIDENT | 11/2022 | < 5% |
| MCMILLAN, ALEXANDER, HOWE | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2022 | < 5% |
| GAHAN, THOMAS, JAMES | Individual | – | CHIEF INVESTMENT OFFICER, CHAIRMAN | 01/2024 | < 5% |
| MANLOWE, DAVID, JOSEPH | Individual | – | CHIEF OPERATIONS OFFICER, CHIEF EXECUTIVE OFFICER | 01/2024 | < 5% |
| FRANKLIN RESOURCES INC. | Domestic Entity | BNY ALCENTRA GROUP HOLDINGS, INC. | SHAREHOLDER | 11/2022 | > 75% |
| SCHOCH, HENRY | Individual | – | CHIEF ACCOUNTING OFFICER | 01/2024 | < 5% |