WINDROSE HEALTH INVESTORS, LLC
Adviser information for WINDROSE HEALTH INVESTORS, LLC last updated from Form ADV on March 29th, 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 | 19 |
|---|---|
| Investment Advisory/Research | 14 |
| 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 | $3.2B |
| Non-Discretionary | 0 | $0 |
| Total | 8 | $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 | 8 | $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 | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-73671 |
|---|---|
| SEC ERA File Number | 801-73671 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 160311 |
| Legal Entity Identifier | None |
Principal Office
375 PARK AVE28TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9AM - 6PM
Tel: 212-887-2105, Fax: None
Websites
Chief Compliance Officer
MICHAEL SPICIARICH
CCO / CFO
375 PARK AVE
28TH FLOOR
NEW YORK
NY
United States
Tel:
212-887-2195
S*********@***********M
(Full email address available in API data)
Regulatory Contact
TERI MYERS
FINANCE
375 PARK AVE
28TH FLOOR
NEW YORK
NY
United States
Tel:
248-310-8876
M****@***********M
(Full email address available in API data)
Industry Affiliates
| MAROON INVESTORS, GP, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| MTS HEALTH INVESTORS III GP, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| MTS HEALTH INVESTORS IV GP, LP | Sponsor, GP, manager of pooled investment vehicles |
| MTS SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| WINDROSE HEALTH INVESTORS V GP LP | Sponsor, GP, manager of pooled investment vehicles |
| WINDROSE HEALTH INVESTORS VI GP LP | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| MAROON INVESTORS, LP | Private Equity Fund | $264.1M | $0.0M | 40 |
| WINDROSE HEALTH INVESTORS EXECUTIVE IV, L.P. | Private Equity Fund | $1.4M | $0.0M | 16 |
| WINDROSE HEALTH INVESTORS III, L.P. | Private Equity Fund | $38.6M | $0.1M | 38 |
| WINDROSE HEALTH INVESTORS IV, L.P. | Private Equity Fund | $288.6M | $0.1M | 51 |
| WINDROSE HEALTH INVESTORS V L.P. | Private Equity Fund | $752.5M | $0.2M | 60 |
| WINDROSE HEALTH INVESTORS V-A L.P. | Private Equity Fund | $287.1M | $0.2M | 23 |
| WINDROSE HEALTH INVESTORS VI-A, L.P. | Private Equity Fund | $690.1M | $0.2M | 50 |
| WINDROSE HEALTH INVESTORS VI, L.P. | Private Equity Fund | $894.2M | $0.2M | 74 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LANE, CURTIS, SCOTT | Individual | LANE MTS HOLDINGS, LLC | MEMBER | 03/2000 | > 75% |
| MOSES, OLIVER, TAFT | Individual | – | MANAGING PARTNER | 02/2017 | 50-75% |
| BUZIK, ALEXANDER | Individual | – | PARTNER | 02/2017 | < 5% |
| SPICIARICH, MICHAEL, JASON | Individual | – | CCO | 03/2018 | < 5% |
| LANE MTS HOLDINGS, LLC | Domestic Entity | – | MEMBER | 01/2018 | 25-50% |
| BURNES, CHRISTOPHER, JOSEPH | Individual | – | PARTNER | 01/2018 | < 5% |
| PONTIUS, DAVID, MOORE | Individual | – | PARTNER | 01/2022 | < 5% |