CASTLE CREEK STRATEGIES, LLC
CASTLE CREEK ARBITRAGE, LLC Legal Name
Adviser information for CASTLE CREEK STRATEGIES, LLC last updated from Form ADV on March 7th, 2023. 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 | 10 |
|---|---|
| Investment Advisory/Research | 3 |
| 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 | 6 | $1.4B |
| Non-Discretionary | 0 | $0 |
| Total | 6 | $1.4B |
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 | 6 | $1.4B |
| 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 | 50 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
75 MOUNTAIN SAGEAVON
CO
United States
Monday - Friday, 8:00 AM -4:30 PM
Tel: 312.692.7550, Fax: None
Websites
Chief Compliance Officer
CHRIS PERZ
376 DEVON ROAD
VALPARAISO
IN
United States
Tel:
312.692.5075
C**@***************M
(Full email address available in API data)
Industry Affiliates
| CC ARB GLOBAL LTD. | Other investment adviser, including financial planners |
| WFA CAPITAL HOLDCO, L.P. | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CASTLE CREEK SPAC FUND, LLC | Hedge Fund | $165.2M | $1.0M | 13 |
| CC ARB WEST, LLC | Hedge Fund | $918.3M | $50.0M | 2 |
| CC ARBITRAGE, LTD. | Hedge Fund | $281.7M | $1.0M | 18 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WEINE, ALLAN, DAVID | Individual | – | CHIEF INVESTMENT OFFICER | 02/2004 | < 5% |
| PERZ, CHRISTINA, MARIE | Individual | – | CHIEF FINANCIAL OFFICER/ CHIEF COMPLIANCE OFFICER | 11/2005 | < 5% |
| WFA CAPITAL HOLDCO, L.P. | Domestic Entity | – | PARENT COMPANY | 01/2021 | > 75% |
| WFA CAPITAL, LLC | Domestic Entity | WFA CAPITAL HOLDCO, L.P. | GENERAL PARTNER | 01/2021 | |
| WEINE, ALLAN, DAVID | Individual | WFA CAPITAL, LLC | SOLE MEMBER | 01/2021 | > 75% |
| WEINE, ALLAN, DAVID | Individual | WFA CAPITAL HOLDCO, L.P. | LIMITED PARTNER | 01/2021 | 50-75% |
| FLETCHER, PETER, COLLIGAN | Individual | WFA CAPITAL HOLDCO, L.P. | LIMITED PARTNER | 01/2021 | 25-50% |
| FLETCHER, PETER, COLLIGAN | Individual | – | PORTFOLIO MANAGER AND INDIRECT OWNER | 01/2005 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed January 18th, 2024 for period ending December 31st, 2023
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| N/A | N/A | 0 | 0 | – |