SPRING LAKE EQUITY GP LLC
Adviser information for SPRING LAKE EQUITY GP LLC last updated from Form ADV on March 21st, 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 | 6 |
|---|---|
| Investment Advisory/Research | 5 |
| 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 | 6 | $329.0M |
| Non-Discretionary | 0 | $0 |
| Total | 6 | $329.0M |
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 | 6 | $329.0M |
| 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 | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | Performance-based fees |
Identifiers
| SEC RIA File Number | 801-78062 |
|---|---|
| SEC ERA File Number | 801-78062 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 167613 |
| Legal Entity Identifier | None |
Principal Office
200 STATE STREETSUITE 1215
BOSTON
MA
United States
Monday - Friday, 9:00AM TO 5:00PM
Tel: 617 391 6341, Fax: 617 391-6390
Chief Compliance Officer
STACEY J GILLESPIE
3 CANAL PLAZA
SUITE 100
PORTLAND
ME
United States
Tel:
6103315408
S***************@************M
(Full email address available in API data)
Regulatory Contact
CARMEN SCARPA
MANAGING PARTNER
200 STATE STREET
SUITE 1215
BOSTON
MA
United States
Tel:
617-391-6341
C*****@************M
(Full email address available in API data)
Industry Affiliates
| SPRING LAKE EQUITY MANAGEMENT LLC | Other investment adviser, including financial planners |
| SPRING LAKE EQUITY PARTNERS | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| SPRING LAKE EQUITY PARTNERS | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| SPRING LAKE EQUITY PARTNERS | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| SPRING LAKE EQUITY PARTNERS | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| SPRING LAKE EQUITY PARTNERS | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| SPRING LAKE EQUITY PARTNERS II LLC | Private Equity Fund | $91.1M | $0.1M | 54 |
| SPRING LAKE EQUITY PARTNERS III LLC | Private Equity Fund | $30.4M | $0.3M | 10 |
| SPRING LAKE EQUITY PARTNERS LLC | Private Equity Fund | $152.0M | $0.1M | 33 |
| SPRING LAKE/MM CO-INVESTMENT III LLC | Private Equity Fund | $0.0M | $2.5M | 2 |
| SPRING LAKE/MM CO-INVESTMENT LLC | Private Equity Fund | $0.0M | $2.0M | 4 |
| SPRING LAKE/WK CO-INVESTMENT LLC | Private Equity Fund | $4.8M | $3.0M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SCARPA, CARMEN, JOSEPH | Individual | – | MEMBER | 07/2013 | 25-50% |
| FORLENZA, ROBERT, PHILIP | Individual | – | MEMBER | 07/2013 | 25-50% |
| MACKEIGAN, DANIEL, JOHN | Individual | – | MEMBER | 07/2013 | 10-25% |
| WILLIAMS, JEFFREY, STEWART | Individual | – | MEMBER | 07/2013 | 10-25% |
| WESTRIVER MANAGEMENT, LLC | Domestic Entity | – | MEMBER | 07/2013 | 10-25% |
| TUDOR GLOBAL TRADING LLC | Domestic Entity | – | MEMBER | 07/2013 | < 5% |
| TUDOR GROUP HOLDINGS LLC | Domestic Entity | TUDOR GLOBAL TRADING LLC | MEMBER | 12/1995 | > 75% |
| JONES, PAUL, TUDOR | Individual | TUDOR GROUP HOLDINGS LLC | CO-CHAIRMAN AND CHIEF INVESTMENT OFFICER | 01/2015 | > 75% |
| ANDERSON, ERIK, J | Individual | WESTRIVER MANAGEMENT, LLC | MANAGING MEMBER | 01/2002 | > 75% |
| GILLESPIE, STACEY JEAN | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2020 | < 5% |