CASTLE HARLAN, INC.
Adviser information for CASTLE HARLAN, INC. last updated from Form ADV on March 26th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 21 |
|---|---|
| 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 | 22 | $600.0M |
| Non-Discretionary | 0 | $0 |
| Total | 22 | $600.0M |
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 | 22 | $600.0M |
| 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 | 27 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-74023 |
|---|---|
| SEC ERA File Number | 801-74023 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 158106 |
| Legal Entity Identifier | None |
Principal Office
150 EAST 58TH STREET38TH FL
NEW YORK
NY
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 212-644-8600, Fax: 212-317-8416
Chief Compliance Officer
DAVID B. PITTAWAY
SR. MANAGING DIRECTOR, VICE CHAIRMAN OF THE BOARD OF DIRECTORS, SR. VICE PRESIDENT, SECRETARY
150 EAST 58TH STREET
38TH FLOOR
NEW YORK
NY
United States
Tel:
212-644-8600
Fax:
212-317-8416
D********@***************M
(Full email address available in API data)
Industry Affiliates
| BC GP, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BRANFORD CASTLE ASSOCIATES II, L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| CASTLE HARLAN ASSOCIATES IV , L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| CASTLE HARLAN ASSOCIATES IV , LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| CASTLE HARLAN AUSTRALIAN MEZZANINE ASSOCIATES II, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| CASTLE HARLAN PARTNERS V AFFILIATES, L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| CASTLE HARLAN SHC GP, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| CHAMP PRIVATE EQUITY | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| CHAMP PRIVATE EQUITY | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| CHP V AIV GP LTD. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| CHP V AIV SLP L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| CPE CAPITAL | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| BRANFORD TOP HOLD FILTRATION BLOCKER LP | Private Equity Fund | $31.1M | $0.0M | 12 |
| BRANFORD TOP HOLD FLOATS BLOCKER LP | Private Equity Fund | $3.4M | $0.0M | 13 |
| BRANFORD TOP HOLD GPT BLOCKER LP | Private Equity Fund | $9.6M | $0.0M | 12 |
| BRANFORD TOP HOLD LAFAYETTE INSTRUMENT BLOCKER L.P. | Private Equity Fund | $7.6M | $0.0M | 12 |
| CASTLE HARLAN AFFILIATES IV - AI, L.P. | Private Equity Fund | $0.0M | $0.0M | 2 |
| CASTLE HARLAN AFFILIATES IV - QP, L.P. | Private Equity Fund | $0.0M | $0.0M | 2 |
| CASTLE HARLAN BAF PARTNERS, L.P. | Private Equity Fund | $20.1M | $0.0M | 14 |
| CASTLE HARLAN OFFSHORE PARTNERS IV, L.P. | Private Equity Fund | $0.6M | $0.0M | 2 |
| CASTLE HARLAN PARTNERS IV, L.P. | Private Equity Fund | $2.0M | $0.2M | 2 |
| CASTLE HARLAN PARTNERS V AFFILIATES, L.P. | Private Equity Fund | $1.8M | $0.1M | 40 |
| CASTLE HARLAN PARTNERS V QP, L.P. | Private Equity Fund | $0.9M | $0.1M | 22 |
| CASTLE HARLAN PARTNERS V, L.P. | Private Equity Fund | $102.6M | $0.3M | 47 |
| CASTLE HARLAN SHC PARTNERS, L.P. | Private Equity Fund | $29.6M | $0.1M | 9 |
| CHP V AFFILIATES AIV LP | Private Equity Fund | $0.5M | $0.1M | 40 |
| CHP V AIV HOLDINGS LP | Private Equity Fund | $23.1M | $0.3M | 47 |
| CHP V AIV POOL 2, LTD. | Private Equity Fund | $1.3M | $0.0M | 29 |
| CHP V QP AIV LP | Private Equity Fund | $0.7M | $0.1M | 22 |
| CHP V SD CO-INVEST, LP | Private Equity Fund | $9.7M | $0.1M | 17 |
| FROGMORE AFFILIATES IV, L.P. | Private Equity Fund | $0.0M | $0.0M | 2 |
| THE BRANFORD CASTLE FUND II, L.P. | Private Equity Fund | $246.4M | $0.1M | 104 |
| THE BRANFORD CASTLE FUND, L.P. | Private Equity Fund | $97.9M | $0.2M | 45 |
| TITAN DELAWARE BLOCKER L.P. | Private Equity Fund | $6.3M | $0.1M | 12 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CASTLE, JOHN, KROB | Individual | – | CEO, CHAIRMAN OF THE BOARD OF DIRECTORS, SHAREHOLDER | 04/1987 | > 75% |
| CASTLE, DAVID, ALEXANDER | Individual | – | SR. VICE PRESIDENT, TREASURER, CHIEF ADMINISTRATIVE OFFICER, MEMBER OF THE BOARD OF DIRECTORS | 07/2018 | < 5% |
| PITTAWAY, DAVID, B | Individual | – | SR. MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, SR. VICE PRESIDENT, SECRETARY, VICE CHAIRMAN OF THE BOARD OF DIRECTORS | 05/2017 | < 5% |
| REDDINGTON, JAMES, ALOYSIOUS | Individual | – | CHIEF FINANCIAL OFFICER, SR. VICE PRESIDENT | 07/2018 | < 5% |