NGC CAPITAL MANAGEMENT LLC
Adviser information for NGC CAPITAL MANAGEMENT LLC last updated from Form ADV on January 4th, 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 | 22 |
|---|---|
| Investment Advisory/Research | 7 |
| 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 | 9 | $2.8B |
| Non-Discretionary | 0 | $0 |
| Total | 9 | $2.8B |
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 | 9 | $2.8B |
| 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 | 62 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-79545 |
|---|---|
| SEC ERA File Number | 801-79545 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 167163 |
| Legal Entity Identifier | 549300VOX3Y8K7YDIP17 |
Principal Office
300 PARK AVENUE2ND FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00 AM - 5:00 PM ET
Tel: (646) 630-8376, Fax: None
Websites
Chief Compliance Officer
JOHN HERBERT ROTH
DEPUTY GENERAL COUNSEL AND SECRETARY
300 PARK AVENUE
2ND FLOOR
NEW YORK
NY
United States
Tel:
860-403-5663
J****@******M
(Full email address available in API data)
Regulatory Contact
ROSIE ACOSTA
LEGAL AND COMPLIANCE MANAGER
300 PARK AVENUE
2ND FLOOR
NEW YORK
NY
United States
Tel:
415-417-9572
R******@******M
(Full email address available in API data)
Industry Affiliates
| 1851 SECURITIES, INC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| AIC CREDIT OPPORTUNITIES PARTNERS FUND II GP, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| CONCORD RE, INC. | Insurance company or agency |
| GGC OPPORTUNITY FUND MANAGEMENT, L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| GOLDEN GATE CAPITAL | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| LYNBROOK RE, INC. | Insurance company or agency |
| MAGNI RE LTD. | Insurance company or agency |
| NASSAU ALTERNATIVE INVESTMENTS LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NASSAU GLOBAL CREDIT (UK) LLP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NASSAU GLOBAL CREDIT GP LP | Sponsor, GP, manager of pooled investment vehicles |
| NASSAU GLOBAL CREDIT LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NASSAU LIFE AND ANNUITY COMPANY | Insurance company or agency |
| NASSAU LIFE INSURANCE COMPANY | Insurance company or agency |
| NASSAU LIFE INSURANCE COMPANY OF KANSAS | Insurance company or agency |
| NASSAU PRIVATE CREDIT GP LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NASSAU PRIVATE CREDIT LLC | Other investment adviser, including financial planners |
| NASSAU RE (CAYMAN) LTD. | Insurance company or agency |
| NGC CLO MANAGER LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PHL VARIABLE INSURANCE COMPANY | Insurance company or agency |
| SUNRISE RE, INC. | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| AIC CREDIT OPPORTUNITIES PARTNERS MASTER FUND II, L.P. | Hedge Fund | $320.8M | $5.0M | 2 |
| AIC CREDIT OPPORTUNITIES, LLC | Hedge Fund | $1,967.6M | $0.0M | 1 |
| ANGEL ISLAND CAPITAL 2023-I LTD. | Securitized Asset Fund | $264.0M | $0.0M | 5 |
| NGC ENHANCED LOAN MASTER FUND LP | Hedge Fund | $408.5M | $0.0M | 2 |
| NGC LOAN FUND LP | Hedge Fund | $142.9M | $1.0M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GOLDEN GATE CAPITAL OPPORTUNITY FUND, L.P. | Foreign Entity | NASSAU NAMCO SPLITTER, L.P. | LIMITED PARTNER | 04/2018 | 50-75% |
| GGC OPPORTUNITY FUND MANAGEMENT, L.P. | Foreign Entity | GOLDEN GATE CAPITAL OPPORTUNITY FUND, L.P. | GENERAL PARTNER | 07/2007 | |
| GOLDEN GATE CAPITAL OPPORTUNITY FUND-A, L.P. | Foreign Entity | NASSAU NAMCO BLOCKER, LLC | MEMBER | 04/2018 | 25-50% |
| DIAS, ALEXANDER, EMMANUEL | Individual | – | MEMBER OF BOARD OF MANAGERS, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 01/2021 | < 5% |
| GGC OPPORTUNITY FUND MANAGEMENT, L.P. | Foreign Entity | NASSAU NAMCO SPLITTER, L.P. | GENERAL PARTNER | 04/2018 | |
| GGC OPPORTUNITY FUND MANAGEMENT, L.P. | Foreign Entity | GOLDEN GATE CAPITAL OPPORTUNITY FUND-A, L.P. | GENERAL PARTNER | 07/2007 | |
| GASS, PHILLIP, JOHN | Individual | – | MEMBER OF THE BOARD OF MANAGERS | 01/2023 | < 5% |
| CHELIOTIS, KOSTAS, NMN | Individual | – | MEMBER OF THE BOARD OF MANAGERS | 01/2023 | < 5% |
| NASSAU NGC HOLDINGS LLC | Domestic Entity | – | MEMBER OF NGC CAPITAL MANAGEMENT LLC | 01/2023 | > 75% |
| NASSAU ASSET MANAGEMENT LLC | Domestic Entity | NASSAU NGC HOLDINGS LLC | MEMBER | 01/2023 | > 75% |
| NASSAU FINANCIAL GROUP, L.P. | Foreign Entity | NASSAU ASSET MANAGEMENT LLC | MEMBER | 04/2018 | > 75% |
| GGCOF NASSAU INVESTMENTS, L.P. | Foreign Entity | NASSAU FINANCIAL GROUP, L.P. | LIMITED PARTNER | 04/2020 | > 75% |
| NASSAU FINANCIAL GROUP GP LTD. | Foreign Entity | NASSAU FINANCIAL GROUP, L.P. | GENERAL PARTNER | 04/2018 | |
| NASSAU NAMCO SPLITTER, L.P. | Foreign Entity | GGCOF NASSAU INVESTMENTS, L.P. | LIMITED PARTNER | 04/2020 | > 75% |
| NASSAU NAMCO BLOCKER, LLC | Foreign Entity | NASSAU NAMCO SPLITTER, L.P. | LIMITED PARTNER | 04/2018 | 25-50% |
| ROTH, JOHN, HERBERT | Individual | – | DEPUTY GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER AND SECRETARY | 05/2023 | < 5% |
| BANULSKI, JUSTIN, WILLIAM | Individual | – | CHIEF FINANCIAL OFFICER | 07/2023 | < 5% |