ROTHSCHILD & CO CREDIT MANAGEMENT (NORTH AMERICA)
FIVE ARROWS MANAGERS NORTH AMERICA LLC Legal Name
Adviser information for ROTHSCHILD & CO CREDIT MANAGEMENT (NORTH AMERICA) 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 | 14 |
|---|---|
| Investment Advisory/Research | 10 |
| 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 | 8 | $2.8B |
| Non-Discretionary | 2 | $396.9M |
| Total | 10 | $3.2B |
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 | 10 | $3.2B |
| 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 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsMANAGEMENT OF POOLED INVESTMENT VEHICLES, INCLUDING CLOS |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-64560 |
|---|---|
| SEC ERA File Number | 801-64560 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 136191 |
| Legal Entity Identifier | 254900LAISFKEWKV6X21 |
Principal Office
633 WEST 5TH STREETSUITE 5000
LOS ANGELES
CA
United States
Monday - Friday, 8:00 AM TO 4:00 PM
Tel: 213-621-3700, Fax: 213-621-3795
Websites
Chief Compliance Officer
KELLY HENRY
CHIEF COMPLIANCE OFFICER
900 THIRD AVE
19TH FLOOR
NEW YORK
NY
United States
Tel:
(212) 300-1999
Fax:
(212) 602-0179
K**********@******************M
(Full email address available in API data)
Regulatory Contact
CYNTHIA LOPEZ
SENIOR COMPLIANCE OFFICER
633 WEST 5TH STREET
SUITE 5000
LOS ANGELES
CA
United States
Tel:
213-621-3735
Fax:
213-621-3795
C************@******************M
(Full email address available in API data)
Industry Affiliates
| FIVE ARROWS | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| FIVE ARROWS MANAGERS (USA) LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| FIVE ARROWS MANAGERS LLP | Other investment adviser, including financial planners |
| OBERON USA GP S.A.R.L. | Sponsor, GP, manager of pooled investment vehicles |
| ROTHSCHILD & CO BANKING AG | Other investment adviser, including financial plannersBanking or thrift institution |
| ROTHSCHILD & CO US INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| OCEAN TRAILS CLO 8 | Securitized Asset Fund | $378.4M | $0.1M | 1 |
| OCEAN TRAILS CLO IX | Securitized Asset Fund | $375.2M | $0.1M | 1 |
| OCEAN TRAILS CLO V | Securitized Asset Fund | $375.4M | $0.1M | 3 |
| OCEAN TRAILS CLO VII | Securitized Asset Fund | $320.3M | $0.1M | 5 |
| OCEAN TRAILS CLO X | Securitized Asset Fund | $358.8M | $0.1M | 1 |
| OCEAN TRAILS CLO XI | Securitized Asset Fund | $396.5M | $0.1M | 1 |
| OCEAN TRAILS CLO XII | Securitized Asset Fund | $360.3M | $0.1M | 1 |
| OCEAN TRAILS CLO XIV | Securitized Asset Fund | $405.0M | $0.1M | 1 |
| OCEAN TRAILS CLO XV | Securitized Asset Fund | $76.6M | $0.1M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HATLEY, MICHAEL, DALE | Individual | – | CHIEF INVESTMENT OFFICER, MANAGING DIRECTOR | 06/2005 | < 5% |
| CLANCY, MICHAEL, DAVITT | Individual | – | DIRECTOR | 09/2015 | < 5% |
| LOPEZ, CYNTHIA | Individual | – | SENIOR COMPLIANCE OFFICER | 09/2018 | < 5% |
| CARROLL, JOHN, MURRAY | Individual | – | DIRECTOR | 02/2019 | < 5% |
| SKOR, HEIDIMARIE, ELEONORE | Individual | – | DIRECTOR | 12/2020 | < 5% |
| K DEVELOPPMENT SAS | Foreign Entity | FIVE ARROWS | SHAREHOLDER | 12/2022 | > 75% |
| ROTHCHILD & CO SCA | Foreign Entity | K DEVELOPPMENT SAS | SHAREHOLDER | 12/2022 | > 75% |
| FIVE ARROWS | Foreign Entity | – | SHAREHOLDER | 12/2022 | > 75% |
| Henry, Kelly, M | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2024 | < 5% |