CASTLELAKE, L.P.

Adviser information for CASTLELAKE, L.P. 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 Partnership
Fiscal Year End	DECEMBER
Legal Location	Delaware, United States

Employees

Total Number of Employees	224
Investment Advisory/Research	80
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	0
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	1

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	37	$26.3B
Non-Discretionary	0	$0
Total	37	$26.3B

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	37	$26.3B
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	37
No. of Non-U.S. Clients	19
No. of Financial Planning Clients	0

Services

Advisory Services	Portfolio management for pooled investment vehicles
Compensation	% of AUMPerformance-based feesSERVICING FEES
Other Business Activities	Commodity pool operator or commodity trading advisor

Identifiers

SEC RIA File Number	801-72310
SEC ERA File Number	801-72310
SEC CIK Numbers	None
SEC CRD Numbers	145165
Legal Entity Identifier	None

Principal Office

250 NICOLLET MALL
SUITE 900
MINNEAPOLIS
MN
United States

Monday - Friday, 8AM - 5PM

Tel: 612-851-3000, Fax: 612-851-3001

Websites

www.facebook.com/castlelake-159633640723857/ www.linkedin.com/company/86161 www.castlelake.com

Chief Compliance Officer

MARIA ROMOLO

CHIEF COMPLIANCE OFFICER

65 E. 55TH STREET

28TH FLOOR

NEW YORK

United States

Tel: 917-229-5329

M***********@*************M

(Full email address available in API data)

Regulatory Contact

MANDY KOPNICK

SENIOR COMPLIANCE COUNSEL

250 NICOLLET MALL

SUITE 900

MINNEAPOLIS

United States

Tel: 612-428-9657

M************@*************M

(Full email address available in API data)

Industry Affiliates

AC AVIATION FINANCE OPPORTUNITIES GP, LTD.	Sponsor, GP, manager of pooled investment vehicles
CASTLELAKE (UK) LLP	Other investment adviser, including financial planners
CASTLELAKE ASSET-BASED PRIVATE CREDIT III EVERGREEN GP, L.P.	Sponsor, GP, manager of pooled investment vehicles
CASTLELAKE AVIATION II GP, L.P.	Sponsor, GP, manager of pooled investment vehicles
CASTLELAKE AVIATION III GP, L.P.	Sponsor, GP, manager of pooled investment vehicles
CASTLELAKE AVIATION III STABLE YIELD GP, L.P.	Sponsor, GP, manager of pooled investment vehicles
CASTLELAKE AVIATION IV OPPORTUNITIES - STABLE YIELD GP, L.P.	Sponsor, GP, manager of pooled investment vehicles
CASTLELAKE AVIATION IV STABLE YIELD GP, L.P.	Sponsor, GP, manager of pooled investment vehicles
CASTLELAKE AVIATION V STABLE YIELD GP, L.P.	Sponsor, GP, manager of pooled investment vehicles
CASTLELAKE CONSUMER RECEIVABLES OPPORTUNITY II GP, L.P.	Sponsor, GP, manager of pooled investment vehicles
CASTLELAKE I GP, L.P.	Sponsor, GP, manager of pooled investment vehicles
CASTLELAKE II GP, L.P.	Sponsor, GP, manager of pooled investment vehicles
CASTLELAKE III GP, L.P.	Sponsor, GP, manager of pooled investment vehicles
CASTLELAKE INCOME OPPORTUNITIES GP, LTD.	Sponsor, GP, manager of pooled investment vehicles
CASTLELAKE INCOME OPPORTUNITIES I GP, L.P.	Sponsor, GP, manager of pooled investment vehicles
CASTLELAKE INCOME OPPORTUNITIES II GP, L.P.	Sponsor, GP, manager of pooled investment vehicles
CASTLELAKE IV GP, L.P.	Sponsor, GP, manager of pooled investment vehicles
CASTLELAKE LENDING OPPORTUNITIES, LLC	Sponsor, GP, manager of pooled investment vehicles
CASTLELAKE V DISLOCATED OPPORTUNITIES GP, L.P.	Sponsor, GP, manager of pooled investment vehicles
CASTLELAKE V GP, L.P.	Sponsor, GP, manager of pooled investment vehicles
CASTLELAKE VI GP, L.P.	Sponsor, GP, manager of pooled investment vehicles
CL HERMES OPPORTUNITIES GP, L.P.	Sponsor, GP, manager of pooled investment vehicles
CL V INVESTMENTS USA, LLC	Sponsor, GP, manager of pooled investment vehicles
CLAKE HOLDINGS LLC 2023-1	Sponsor, GP, manager of pooled investment vehicles
CLG CO-INVESTMENT OPPORTUNITIES GP, L.P.	Sponsor, GP, manager of pooled investment vehicles
CLM AGGREGATION FUND GP, L.P.	Sponsor, GP, manager of pooled investment vehicles
LAND OPPORTUNITIES GP, L.P.	Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name	Type	Assets $USD	Min Investment $USD	No. Owners
AC AVIATION FINANCE OPPORTUNITIES, L.P.	Private Equity Fund	$501.7M	$0.8M	2
AS AIR LEASE 3 (OFFSHORE) LP	Private Equity Fund	$40.7M	$0.0M	7
CASTLELAKE ACLO WAREHOUSE I, L.P.	Private Equity Fund	$197.0M	$0.4M	2
CASTLELAKE AIRCRAFT STRUCTURED TRUST 2017-1	Securitized Asset Fund	$233.7M	$5.0M	3
CASTLELAKE AIRCRAFT STRUCTURED TRUST 2018-1	Securitized Asset Fund	$374.9M	$5.0M	1
CASTLELAKE AIRCRAFT STRUCTURED TRUST 2019-1	Securitized Asset Fund	$575.5M	$5.0M	3
CASTLELAKE AIRCRAFT STRUCTURED TRUST 2021-1	Securitized Asset Fund	$469.8M	$0.0M	10
CASTLELAKE ARCH OPPORTUNITIES, L.L.C.	Private Equity Fund	$1,068.3M	$200.0M	1
CASTLELAKE ASSET-BASED PRIVATE CREDIT III EVERGREEN A, L.P.	Private Equity Fund	$73.8M	$10.0M	2
CASTLELAKE ASSET-BASED PRIVATE CREDIT III EVERGREEN B, L.P.	Private Equity Fund	$349.3M	$10.0M	3
CASTLELAKE AVIATION II OPPORTUNITIES, LLC	Private Equity Fund	$0.4M	$2.5M	4
CASTLELAKE AVIATION II, L.P.	Private Equity Fund	$20.2M	$10.0M	30
CASTLELAKE AVIATION III STABLE YIELD, L.P.	Hedge Fund	$2,992.7M	$10.0M	40
CASTLELAKE AVIATION IV STABLE YIELD OPPORTUNITIES, L.P.	Hedge Fund	$304.5M	$2.0M	6
CASTLELAKE AVIATION IV STABLE YIELD, L.P.	Hedge Fund	$4,186.3M	$10.0M	33
CASTLELAKE AVIATION V STABLE YIELD, L.P.	Private Equity Fund	$1,315.0M	$10.0M	21
CASTLELAKE CONSUMER RECEIVABLES OPPORTUNITY II, L.P.	Private Equity Fund	$221.3M	$0.2M	6
CASTLELAKE I, L.P.	Private Equity Fund	$15.0M	$10.0M	19
CASTLELAKE II OPPORTUNITIES, L.P.	Private Equity Fund	$14.9M	$0.1M	12
CASTLELAKE II, L.P.	Private Equity Fund	$231.7M	$10.0M	54
CASTLELAKE III, L.P.	Private Equity Fund	$641.5M	$10.0M	64
CASTLELAKE INCOME OPPORTUNITIES I A, L.P.	Private Equity Fund	$243.7M	$10.0M	8
CASTLELAKE INCOME OPPORTUNITIES I B, L.P.	Private Equity Fund	$470.6M	$10.0M	18
CASTLELAKE INCOME OPPORTUNITIES II, L.P.	Private Equity Fund	$1,442.2M	$10.0M	36
CASTLELAKE IV, L.P.	Private Equity Fund	$1,603.0M	$10.0M	71
CASTLELAKE OPPORTUNISTIC ASSET SOLUTIONS VI, L.P.	Private Equity Fund	$1,418.3M	$10.0M	22
CASTLELAKE SECURED AVIATION ASSET LLC 2023-1	Securitized Asset Fund	$469.6M	$0.1M	2
CASTLELAKE V DISLOCATED OPPORTUNITIES, L.P.	Private Equity Fund	$536.1M	$10.0M	19
CASTLELAKE V, L.P.	Private Equity Fund	$4,451.3M	$10.0M	93
CL DAL 2.0 OPPORTUNITIES, LLC	Private Equity Fund	$519.7M	$0.0M	10
CL DAL OPPORTUNITIES LP	Private Equity Fund	$3.6M	$5.0M	3
CL HERMES OPPORTUNITIES, L.P.	Private Equity Fund	$94.4M	$0.0M	1
CL QA OPPORTUNITIES, L.P.	Private Equity Fund	$69.4M	$0.0M	1
CLG CO-INVESTMENT OPPORTUNITIES, L.P.	Private Equity Fund	$127.4M	$0.0M	2
CLM AGGREGATION FUND, L.P.	Private Equity Fund	$978.6M	$0.0M	2
HPSCP OPPORTUNITIES, L.P.	Private Equity Fund	$36.7M	$5.8M	4
LAND OPPORTUNITIES, L.P.	Private Equity Fund	$24.2M	$0.1M	11

Control Persons

Name	Type	Entity	Title	Since	Ownership
O'NEILL, RORY, JOSEPH	Individual	–	EXECUTIVE CHAIR	08/2005	< 5%
CARRUTHERS, EVAN, ANDREW	Individual	–	CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER	08/2005	< 5%
RO MANAGEMENT, LLC	Domestic Entity	–	GENERAL PARTNER	12/2005	< 5%
Farrell, Brad, Lee	Individual	–	CHIEF OPERATING OFFICER	12/2019	< 5%
RO MANAGEMENT, LP	Domestic Entity	–	LIMITED PARTNER	12/2005	> 75%
MCNALLY, DANIEL, JOSEPH	Individual	–	GENERAL COUNSEL	04/2020	< 5%
CASTLELAKE GROUP TOPCO, L.P.	Domestic Entity	RO MANAGEMENT, LP	LIMITED PARTNER	12/2020	> 75%
CASTLELAKE GROUP GP, LLC	Domestic Entity	CASTLELAKE GROUP TOPCO, L.P.	GENERAL PARTNER	12/2020
THE EVAN A. CARRUTHERS REVOCABLE TRUST	Domestic Entity	CASTLELAKE GROUP TOPCO, L.P.	LIMITED PARTNER	12/2020	25-50%
THE RORY O'NEILL REVOCABLE TRUST	Domestic Entity	CASTLELAKE GROUP TOPCO, L.P.	LIMITED PARTNER	12/2020	50-75%
CASTLELAKE GROUP HOLDINGS, L.P.	Domestic Entity	CASTLELAKE GROUP TOPCO, L.P.	LIMITED PARTNER	12/2020	> 75%
RO MANAGEMENT, LLC	Domestic Entity	RO MANAGEMENT, LP	GENERAL PARTNER	12/2005
CASTLELAKE GROUP GP, LLC	Domestic Entity	RO MANAGEMENT, LLC	MEMBER	12/2020
THE RORY O'NEILL REVOCABLE TRUST	Domestic Entity	CASTLELAKE GROUP GP, LLC	MANAGING MEMBER	12/2020	> 75%
O'NEILL, RORY, JOSEPH	Individual	THE RORY O'NEILL REVOCABLE TRUST	TRUSTEE	03/2006
THE EVAN A. CARRUTHERS REVOCABLE TRUST	Domestic Entity	CASTLELAKE GROUP HOLDINGS, L.P.	LIMITED PARTNER	12/2020	25-50%
CASTLELAKE GROUP GP, LLC	Domestic Entity	CASTLELAKE GROUP HOLDINGS, L.P.	GENERAL PARTNER	12/2020
THE RORY O'NEILL REVOCABLE TRUST	Domestic Entity	CASTLELAKE GROUP HOLDINGS, L.P.	LIMITED PARTNER	12/2020	50-75%
CARRUTHERS, EVAN, ANDREW	Individual	THE EVAN A. CARRUTHERS REVOCABLE TRUST	TRUSTEE	09/2013
ROMOLO, MARIA, ROSE	Individual	–	CHIEF COMPLIANCE OFFICER & MANAGING COUNSEL	12/2021	< 5%
Lam, Yen-Wah	Individual	–	PRESIDENT; CHIEF PEOPLE OFFICER	05/2023	< 5%

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