STONECASTLE ASSET MANAGEMENT, LLC
Adviser information for STONECASTLE ASSET MANAGEMENT, LLC last updated from Form ADV on March 30th, 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 | 9 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 4 |
| 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 | 0 | $0 |
| Non-Discretionary | 1 | $7.5M |
| Total | 1 | $7.5M |
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 | 0 | $0 |
| 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 | <5 | $7.5M |
| 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 businesses or institutional clients |
|---|---|
| Compensation | % of AUMORIGINATION FEES |
Identifiers
| SEC RIA File Number | 801-77433 |
|---|---|
| SEC ERA File Number | 801-77433 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 166252 |
| Legal Entity Identifier | 254900S2PO2TAWBIB667 |
Principal Office
152 WEST 57TH STREET35TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9-5
Tel: 212-354-6500, Fax: 212-354-6565
Chief Compliance Officer
RACHEL N. SCHATTEN
CCO
152 WEST 57TH STREET, 35TH FLOOR
NEW YORK
NY
United States
Tel:
212-354-6500
R********@**************M
(Full email address available in API data)
Regulatory Contact
PATRICK FARRELL
CFO
152 WEST 57TH STREET
NEW YORK
NY
United States
Tel:
212-354-6500
P*******@**************M
(Full email address available in API data)
Industry Affiliates
| STONECASTLE ADVISORS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| STONECASTLE ADVISORY SERVICES, LLC | Other investment adviser, including financial planners |
| STONECASTLE INVESTMENT MANAGEMENT, LLC | Other investment adviser, including financial planners |
| STONECASTLE LOAN MANAGEMENT, LLC | Other investment adviser, including financial planners |
| STONECASTLE PARTNERS, LLC | Other investment adviser, including financial planners |
| STONECASTLE SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| STONECASTLE TRUST CO. | Trust company |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SIEGEL, JOSHUA, STUART | Individual | – | OFFICER | 11/2012 | < 5% |
| SHILOWITZ, GEORGE | Individual | – | OFFICER | 11/2012 | < 5% |
| CHARLESBANK EQUITY PARTNERS VI, LP | Domestic Entity | STONECASTLE PARTNERS, LLC | MEMBER | 09/2009 | 25-50% |
| SCHATTEN, RACHEL, NACHAS | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2014 | < 5% |
| SIEGEL, JOSHUA, STUART | Individual | STONECASTLE PARTNERS, LLC | MANAGING MEMBER | 06/2003 | 25-50% |
| FARRELL, PATRICK, JOSEPH | Individual | – | CHIEF FINANCIAL OFFICER | 04/2014 | < 5% |
| STONECASTLE ADVISORY SERVICES, LLC | Domestic Entity | – | SOLE MEMBER | 06/2018 | > 75% |
| STONECASTLE PARTNERS, LLC | Domestic Entity | STONECASTLE ADVISORY SERVICES, LLC | SOLE MEMBER | 06/2018 | > 75% |