CASTLE CREEK ADVISORS IV LLC
Adviser information for CASTLE CREEK ADVISORS IV LLC last updated from Form ADV on March 25th, 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 | 10 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 3 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 7 | $978.7M |
| Non-Discretionary | 0 | $0 |
| Total | 7 | $978.7M |
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 | 7 | $978.7M |
| 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 | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-72923 |
|---|---|
| SEC ERA File Number | 801-72923 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 158079 |
| Legal Entity Identifier | None |
Principal Office
11682 EL CAMINO REALSUITE 320
SAN DIEGO
CA
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 858-756-8300, Fax: 858-756-8301
Chief Compliance Officer
DEBORAH SYKES
CHIEF COMPLIANCE OFFICER /CHIEF FINANCIAL OFFICER
11682 EL CAMINO REAL, SUITE 320
SAN DIEGO
CA
United States
Tel:
858-756-8300
Fax:
858-756-8301
D*****@**************M
(Full email address available in API data)
Regulatory Contact
SUNDEEP RANA
MANAGING PRINCIPAL
11682 EL CAMINO REAL, SUITE 320
SAN DIEGO
CA
United States
Tel:
858-756-8300
Fax:
858-756-8301
S****@**************M
(Full email address available in API data)
Industry Affiliates
| CASTLE CREEK ADVISORS VIII LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| CASTLE CREEK CAPITAL VI LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| CASTLE CREEK CAPITAL VII LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| CASTLE CREEK CAPITAL VIII LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| CASTLE CREEK SPECIAL SITUATIONS II GP, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| CC FINTECH ADVISORS LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CASTLE CREEK CAPITAL PARTNERS VI, LP | Private Equity Fund | $256.2M | $10.0M | 27 |
| CASTLE CREEK CAPITAL PARTNERS VII CO-INVESTMENT FUND L.P. | Private Equity Fund | $9.8M | $0.0M | 4 |
| CASTLE CREEK CAPITAL PARTNERS VII, LP | Private Equity Fund | $276.4M | $10.0M | 38 |
| CASTLE CREEK CAPITAL PARTNERS VIII CO-INVESTMENT FUND A, LP | Private Equity Fund | $7.4M | $0.0M | 3 |
| CASTLE CREEK CAPITAL PARTNERS VIII, LP | Private Equity Fund | $207.9M | $10.0M | 86 |
| CASTLE CREEK SPECIAL SITUATIONS II, LP | Private Equity Fund | $16.9M | $0.0M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| JME ADVISORY CORP | Domestic Entity | – | MEMBER OF CASTLE CREEK ADVISORS IV LLC | 03/2009 | 25-50% |
| PIETRZAK ADVISORY CORP | Domestic Entity | – | MEMBER OF CASTLE CREEK ADVISORS IV LLC | 03/2009 | 25-50% |
| EGGEMEYER, JOHN, MATTHEW | Individual | – | MANAGING PRINCIPAL OF CASTLE CREEK ADVISORS IV LLC | 03/2009 | < 5% |
| EGGEMEYER, JOHN, MATTHEW | Individual | JME ADVISORY CORP | PRESIDENT | 01/2005 | > 75% |
| PIETRZAK, JOHN, TOMASZ | Individual | PIETRZAK ADVISORY CORP | PRESIDENT | 02/2009 | > 75% |
| SCAVUZZO, ANTHONY, R | Individual | SCAVUZZO ADVISORY CORP | PRESIDENT | 08/2013 | > 75% |
| RANA, SUNDEEP, VIJAY | Individual | RANA ADVISORY CORP | PRESIDENT | 08/2013 | > 75% |
| VOLK, DAVID, JAMES | Individual | VOLK ADVISORY CORP | PRESIDENT | 08/2013 | > 75% |
| SCAVUZZO ADVISORY CORP | Domestic Entity | – | MEMBER OF CASTLE CREEK ADVISORS IV LLC | 07/2018 | 5-10% |
| RANA ADVISORY CORP | Domestic Entity | – | MEMBER OF CASTLE CREEK ADVISORS IV LLC | 07/2018 | 5-10% |
| VOLK ADVISORY CORP | Domestic Entity | – | MEMBER OF CASTLE CREEK ADVISORS IV LLC | 07/2018 | 5-10% |
| SZUMSKI ADVISORY CORP | Domestic Entity | – | MEMBER OF CASTLE CREEK ADVISORS IV LLC | 07/2018 | < 5% |
| LEGIONS IV CORP | Domestic Entity | – | MEMBER OF CASTLE CREEK ADVISORS IV LLC | 03/2009 | < 5% |
| MIKESELL ADVISORY CORP | Domestic Entity | – | MEMBER OF CASTLE CREEK ADVISORS IV LLC | 03/2009 | 5-10% |
| MERLO, MARK, GERARD | Individual | LEGIONS IV CORP | PRESIDENT | 12/2006 | > 75% |
| THOMAS, JOSEPH, MIKESELL | Individual | MIKESELL ADVISORY CORP | PRESIDENT | 02/2009 | > 75% |
| Sykes, Deborah | Individual | – | CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER | 06/2021 | < 5% |