STEELE CREEK INVESTMENT MANAGEMENT LLC
Adviser information for STEELE CREEK INVESTMENT MANAGEMENT LLC last updated from Form ADV on March 12th, 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 | 14 |
|---|---|
| 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 | 11 | $3.2B |
| Non-Discretionary | 0 | $0 |
| Total | 11 | $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 | 1 | $150.8M |
| Pooled investment vehicles | 10 | $3.0B |
| 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 | 82 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-79139 |
|---|---|
| SEC ERA File Number | 801-79139 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 170209 |
| Legal Entity Identifier | None |
Principal Office
201 SOUTH COLLEGE STREETSUITE 1690
CHARLOTTE
NC
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 704-343-6011, Fax: None
Chief Compliance Officer
MATTHEW STOUFFER
201 SOUTH COLLEGE STREET
SUITE 1690
CHARLOTTE
NC
United States
Tel:
704-343-6011
M************@**************M
(Full email address available in API data)
Regulatory Contact
GLENN DUFFY
CHIEF INVESTMENT OFFICER
201 SOUTH COLLEGE STREET
SUITE 1690
CHARLOTTE
NC
United States
Tel:
704-343-6012
Fax:
646-417-6767
G**********@**************M
(Full email address available in API data)
Industry Affiliates
| ARCHEAN CAPITAL PARTNERS II, L.L.C. | Other investment adviser, including financial planners |
| CROSSBEAM VENTURE PARTNERS LLC | Other investment adviser, including financial planners |
| FREEPORT FINANCIAL PARTNERS LLC | Other investment adviser, including financial planners |
| MOELIS & COMPANY LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| MOELIS ASSET CATALYST PARTNERS | Other investment adviser, including financial planners |
| MOELIS CAPITAL PARTNERS LLC | Other investment adviser, including financial planners |
| MOELIS STEELE CREEK HOLDINGS LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| STEELE CREEK CLO 2014-1R, LTD. | Securitized Asset Fund | $318.5M | $1.0M | 4 |
| STEELE CREEK CLO 2016-1, LTD. | Securitized Asset Fund | $278.9M | $1.0M | 4 |
| STEELE CREEK CLO 2017-1, LTD. | Securitized Asset Fund | $393.7M | $1.0M | 4 |
| STEELE CREEK CLO 2018-1 LTD | Securitized Asset Fund | $373.7M | $1.0M | 2 |
| STEELE CREEK CLO 2018-2, LTD | Securitized Asset Fund | $383.5M | $1.0M | 2 |
| STEELE CREEK CLO 2019-1, LTD. | Securitized Asset Fund | $396.2M | $1.0M | 2 |
| STEELE CREEK CLO 2019-2, LTD. | Securitized Asset Fund | $396.6M | $1.0M | 2 |
| STEELE CREEK CLO 2022-1, LTD | Securitized Asset Fund | $350.3M | $0.3M | 3 |
| STEELE CREEK CLO 2022-2, LTD. | Securitized Asset Fund | $0.1M | $0.0M | 1 |
| STEELE CREEK LOAN FUND I, LP | Private Equity Fund | $125.7M | $1.0M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DUFFY, GLENN, PATRICK | Individual | – | CHIEF INVESTMENT OFFICER | 11/2013 | < 5% |
| RYAN, CHRISTOPHER, REGIS | Individual | – | MANAGING DIRECTOR | 11/2013 | < 5% |
| STOUFFER, MATTHEW, SCOTT | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2013 | < 5% |
| MOELIS STEELE CREEK HOLDINGS LLC | Domestic Entity | – | SOLE MEMBER | 11/2013 | > 75% |
| MOELIS ASSET MANAGEMENT LP | Domestic Entity | MOELIS STEELE CREEK HOLDINGS, LLC | SOLE MEMBER | 09/2012 | > 75% |
| MOELIS, KENNETH, DAVID | Individual | MOELIS ASSET MANAGEMENT LP | MEMBER | 06/2007 | 25-50% |
| MAM MANAGER LLC | Domestic Entity | MOELIS ASSET MANAGEMENT LP | GENERAL PARTNER | 01/2019 | |
| MOELIS, KENNETH, DAVID | Individual | MAM MANAGER LLC | MEMBER | 01/2019 | > 75% |
| WAGENBERG, MAX, C | Individual | – | SENIOR PORTFOLIO MANAGER/CHIEF OPERATING OFFICER | 01/2020 | < 5% |