INTERMEDIATE CAPITAL GROUP, INC
Adviser information for INTERMEDIATE CAPITAL GROUP, INC last updated from Form ADV on March 28th, 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 | 140 |
|---|---|
| Investment Advisory/Research | 90 |
| 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 | 104 | $30.4B |
| Non-Discretionary | 0 | $0 |
| Total | 104 | $30.4B |
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 | 102 | $30.4B |
| 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 | $9.7M |
| 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 | 66 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-79072 |
|---|---|
| SEC ERA File Number | 801-79072 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 162589 |
| Legal Entity Identifier | 213800AF5RMGQAAWM927 |
Principal Office
277 PARK AVENUE40TH & 41ST FLOOR
NEW YORK
NY
United States
Monday - Friday, 8:30AM - 5:30PM
Tel: 212-710-9650, Fax: 212-710-9651
Chief Compliance Officer
NATHANIEL KIERNAN
HEAD OF LEGAL AND COMPLIANCE, NORTH AMERICA
277 PARK AVENUE
41ST FLOOR
NEW YORK
NY
United States
Tel:
646-970-1270
N****************@********M
(Full email address available in API data)
Regulatory Contact
ALYSSA BENSON
COMPLIANCE & LEGAL ASSOCIATE DIRECTOR
277 PARK AVENUE
41ST FLOOR
NEW YORK
NY
United States
Tel:
2122955855
A************@********M
(Full email address available in API data)
Industry Affiliates
| ICG ALTERNATIVE CREDIT (CAYMAN) GP LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| ICG ALTERNATIVE CREDIT WAREHOUSE FUND I GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| ICG AUGUSTA ASSOCIATES LLC | Sponsor, GP, manager of pooled investment vehicles |
| ICG AUGUSTA PARTNERS GP LP | Sponsor, GP, manager of pooled investment vehicles |
| ICG EUROPE S.A.R.L. | Other investment adviser, including financial planners |
| ICG EXCELSIOR GP LP SCSP | Sponsor, GP, manager of pooled investment vehicles |
| ICG LP SECONDARIES FUND ASSOCIATES I SARL | Sponsor, GP, manager of pooled investment vehicles |
| ICG LP SECONDARIES I ASSOCIATES LLC | Sponsor, GP, manager of pooled investment vehicles |
| ICG NORTH AMERICA ASSOCIATES II LLC | Sponsor, GP, manager of pooled investment vehicles |
| ICG NORTH AMERICA ASSOCIATES III LLC | Sponsor, GP, manager of pooled investment vehicles |
| ICG NORTH AMERICA ASSOCIATES LLC | Sponsor, GP, manager of pooled investment vehicles |
| ICG NORTH AMERICAN PRIVATE DEBT (OFFSHORE) GP LP | Sponsor, GP, manager of pooled investment vehicles |
| ICG NORTH AMERICAN PRIVATE DEBT GP LP | Sponsor, GP, manager of pooled investment vehicles |
| ICG NORTH AMERICAN PRIVATE DEBT II (OFFSHORE) GP LP | Sponsor, GP, manager of pooled investment vehicles |
| ICG NORTH AMERICAN PRIVATE DEBT II GP LP | Sponsor, GP, manager of pooled investment vehicles |
| ICG STRATEGIC EQUITY ASSOCIATES II LLC | Sponsor, GP, manager of pooled investment vehicles |
| ICG STRATEGIC EQUITY ASSOCIATES III LLC | Sponsor, GP, manager of pooled investment vehicles |
| ICG STRATEGIC EQUITY ASSOCIATES IV LLC | Sponsor, GP, manager of pooled investment vehicles |
| ICG STRATEGIC EQUITY GP V LLC | Sponsor, GP, manager of pooled investment vehicles |
| ICG STRATEGIC EQUITY GP V S.� R.L. | Sponsor, GP, manager of pooled investment vehicles |
| ICG STRATEGIC EQUITY III (OFFSHORE) GP LP | Sponsor, GP, manager of pooled investment vehicles |
| ICG STRATEGIC EQUITY III GP LP | Sponsor, GP, manager of pooled investment vehicles |
| ICG STRATEGIC EQUITY IV GP LP | Sponsor, GP, manager of pooled investment vehicles |
| ICG STRATEGIC EQUITY IV GP LP SCSP | Sponsor, GP, manager of pooled investment vehicles |
| ICG STRATEGIC EQUITY SIDE CAR GP LP | Sponsor, GP, manager of pooled investment vehicles |
| ICG STRATEGIC EQUITY SIDE CAR II GP LP | Sponsor, GP, manager of pooled investment vehicles |
| ICG STRATEGIC SECONDARIES II (OFFSHORE) GP LP | Sponsor, GP, manager of pooled investment vehicles |
| ICG STRATEGIC SECONDARIES II GP LP | Sponsor, GP, manager of pooled investment vehicles |
| ICG STRUCTURED SPECIAL OPPORTUNITIES GP LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| ICG US SENIOR LOAN FUND G.P. LTD. | Sponsor, GP, manager of pooled investment vehicles |
| ICG VELOCITY CO-INVESTOR ASSOCIATES LLC | Sponsor, GP, manager of pooled investment vehicles |
| ICG VELOCITY CO-INVESTOR GP LP | Sponsor, GP, manager of pooled investment vehicles |
| INTERMEDIATE CAPITAL ASIA PACIFIC LIMITED | Other investment adviser, including financial planners |
| INTERMEDIATE CAPITAL GROUP (SINGAPORE) PTE. LIMITED | Other investment adviser, including financial planners |
| INTERMEDIATE CAPITAL GROUP BENELUX B.V. | Other investment adviser, including financial planners |
| INTERMEDIATE CAPITAL GROUP PLC | Other investment adviser, including financial planners |
| INTERMEDIATE CAPITAL MANAGERS LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| NOMURA ICG KK | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ICG ALTERNATIVE CREDIT (CAYMAN) MASTER LP | Hedge Fund | $1,012.6M | $0.3M | 41 |
| ICG ALTERNATIVE CREDIT WAREHOUSE FUND I, LP | CLO WAREHOUSE FUND | $106.4M | $0.3M | 1 |
| ICG AUGUSTA PARTNERS CO-INVESTOR II LP | Private Equity Fund | $170.5M | $10.0M | 6 |
| ICG AUGUSTA PARTNERS CO-INVESTOR LP | Private Equity Fund | $361.5M | $10.0M | 18 |
| ICG CB PARTNERS CO-INVESTOR (INTERMEDIATE) LP | Private Equity Fund | $51.5M | $10.0M | 13 |
| ICG CB PARTNERS CO-INVESTOR (OFFSHORE) LP | Private Equity Fund | $1.5M | $10.0M | 7 |
| ICG CENTRE STREET PARTNERSHIP LP | SENIRO DEBT | $677.9M | $8.8M | 7 |
| ICG CHEETAH CO-INVESTOR I LP | Private Equity Fund | $210.5M | $10.0M | 23 |
| ICG CHEETAH CO-INVESTOR II LP | Private Equity Fund | $312.2M | $10.0M | 6 |
| ICG CLO 2022-1(I), LTD. | Securitized Asset Fund | $332.3M | $0.3M | 1 |
| ICG CLO 2023-1(I), LTD. | Securitized Asset Fund | $356.9M | $0.3M | 2 |
| ICG CROWN CO-INVESTOR LP | Private Equity Fund | $166.9M | $10.0M | 7 |
| ICG DALLAS CO-INVESTOR LP | Private Equity Fund | $185.0M | $10.0M | 18 |
| ICG EXCELSIOR CO-INVEST SIDE CAR LP | Private Equity Fund | $222.4M | $10.0M | 1 |
| ICG EXCELSIOR STRATEGIC EQUITY SIDE CAR LP | Private Equity Fund | $546.0M | $10.0M | 2 |
| ICG HOLIDAY CO-INVESTOR III LP | Private Equity Fund | $27.3M | $0.0M | 4 |
| ICG LOAN FUNDING LIMITED | Securitized Asset Fund | $85.4M | $10.0M | 0 |
| ICG LP SECONDARIES FUND I LP | Private Equity Fund | $533.5M | $10.0M | 18 |
| ICG LUDGATE HILL IIA BOSTON LP | Private Equity Fund | $54.1M | $0.0M | 7 |
| ICG LUDGATE HILL IIIA PORSCHE LP | Private Equity Fund | $130.4M | $0.0M | 8 |
| ICG LUDGATE HILL IV-A LEOPARD LP | Private Equity Fund | $118.3M | $0.0M | 8 |
| ICG METRO PARTNERS CO-INVESTOR LP | Private Equity Fund | $26.3M | $10.0M | 18 |
| ICG NORTH AMERICA HOLDINGS LTD | PRIVATE DEBT | $255.0M | $10.0M | 45 |
| ICG NORTH AMERICAN CREDIT PARTNERS FUND III LP | PRIVATE DEBT | $1,131.5M | $10.0M | 25 |
| ICG NORTH AMERICAN HOLDINGS II LP | PRIVATE DEBT | $1,323.3M | $10.0M | 78 |
| ICG QC CAYMAN LP | Private Equity Fund | $13.7M | $0.0M | 1 |
| ICG RHINEBACK CLO 2021-4 LTD. | Securitized Asset Fund | $382.7M | $0.3M | 0 |
| ICG SANTO SCSP | Private Equity Fund | $717.9M | $0.0M | 1 |
| ICG SHINE CO-INVESTOR LP | Private Equity Fund | $189.6M | $10.0M | 7 |
| ICG STRATEGIC EQUITY CO-INVESTMENT FUND IV-A LP | Private Equity Fund | $102.7M | $10.0M | 4 |
| ICG STRATEGIC EQUITY CO-INVESTMENT FUND IV-B LP | Private Equity Fund | $400.8M | $10.0M | 2 |
| ICG STRATEGIC EQUITY CO-INVESTMENT FUND V (ALACRITY) LP | Private Equity Fund | $40.4M | $0.0M | 1 |
| ICG STRATEGIC EQUITY CO-INVESTMENT FUND V-B LP | Private Equity Fund | $303.0M | $0.0M | 1 |
| ICG STRATEGIC EQUITY FUND III LP | Private Equity Fund | $3,061.3M | $10.0M | 92 |
| ICG STRATEGIC EQUITY FUND IV LP | Private Equity Fund | $6,391.4M | $10.0M | 226 |
| ICG STRATEGIC EQUITY FUND V (USD) LP | Private Equity Fund | $1,597.0M | $0.0M | 43 |
| ICG STRATEGIC EQUITY SIDE CAR I LP | Private Equity Fund | $848.9M | $10.0M | 1 |
| ICG STRATEGIC EQUITY SIDE CAR II LP | Private Equity Fund | $782.0M | $10.0M | 1 |
| ICG STRATEGIC EQUITY SIDE CAR III SCSP | Private Equity Fund | $100.0M | $0.0M | 1 |
| ICG STRATEGIC SECONDARIES FUND II LP | Private Equity Fund | $896.1M | $10.0M | 114 |
| ICG STRUCTURED SPECIAL OPPORTUNITIES (CAYMAN) MASTER LP | Securitized Asset Fund | $209.3M | $0.3M | 5 |
| ICG US CLO 2014-1 LTD | Securitized Asset Fund | $332.8M | $0.3M | 2 |
| ICG US CLO 2014-2 LTD | Securitized Asset Fund | $305.7M | $0.3M | 3 |
| ICG US CLO 2014-3 LTD | Securitized Asset Fund | $317.6M | $0.3M | 6 |
| ICG US CLO 2015-1 LTD | Securitized Asset Fund | $7.2M | $0.3M | 3 |
| ICG US CLO 2015-2 LTD | Securitized Asset Fund | $381.8M | $0.3M | 4 |
| ICG US CLO 2016-1 LTD | Securitized Asset Fund | $380.6M | $0.3M | 4 |
| ICG US CLO 2017-1 LTD | Securitized Asset Fund | $382.0M | $0.3M | 5 |
| ICG US CLO 2018-1 LTD | Securitized Asset Fund | $334.3M | $0.3M | 6 |
| ICG US CLO 2018-2 LTD | Securitized Asset Fund | $364.5M | $0.3M | 2 |
| ICG US CLO 2018-3 LTD | Securitized Asset Fund | $386.2M | $0.3M | 1 |
| ICG US CLO 2020-1 LTD | Securitized Asset Fund | $387.6M | $0.3M | 1 |
| ICG US CLO 2021-1 LTD | Securitized Asset Fund | $385.4M | $0.3M | 0 |
| ICG US CLO 2021-2 LTD | Securitized Asset Fund | $534.4M | $0.3M | 0 |
| ICG US CLO 2021-3 LTD | Securitized Asset Fund | $394.9M | $0.3M | 0 |
| ICG US SENIOR LOAN FUND (CAYMAN) MASTER LP | Securitized Asset Fund | $11.4M | $1.0M | 1 |
| ICG VELOCITY PARTNERS CO-INVESTOR LP | Private Equity Fund | $3.7M | $10.0M | 16 |
| RAATTAMA FUND CAYMAN LP | CO-INVESTMENT VEHICLE | $174.6M | $0.2M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ICG FMC LIMITED | Foreign Entity | – | SHAREHOLDER | 07/2013 | > 75% |
| INTERMEDIATE CAPITAL GROUP, PLC | Foreign Entity | ICG FMC LIMITED | SHAREHOLDER OF ICG FMC LIMITED | 07/2013 | |
| JONES, ALAN, KENT | Individual | – | DIRECTOR | 04/2020 | < 5% |
| KIERNAN, NATHANIEL | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2023 | < 5% |
| SPENNER, BRIAN, MICHAEL | Individual | – | DIRECTOR | 03/2023 | < 5% |
| BICARREGUI, DAVID, CHRISTOPHER MICHAEL | Individual | – | DIRECTOR & AUTHORIZED OFFICER | 07/2023 | < 5% |