Hedge Fund Database

STAR MOUNTAIN FUND MANAGEMENT, LLC

Adviser information for STAR MOUNTAIN FUND MANAGEMENT, LLC last updated from Form ADV on March 29th, 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 69
Investment Advisory/Research 69
Registered Broker-Dealer Representatives 17
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 19 $3.3B
Non-Discretionary 10 $545.3M
Total 29 $3.9B

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 $410.7M
Pooled investment vehicles 23 $3.2B
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 <5 $253.7M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 18

Services

Advisory Services Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients
Compensation % of AUMPerformance-based feesINITIAL DUE DILIGENCE FEES, ADMINISTRATIVE FEES, SERVICING FEES

Identifiers

SEC RIA File Number 801-80161
SEC ERA File Number 801-80161
SEC CIK Numbers None
SEC CRD Numbers 164728
Legal Entity Identifier None

Principal Office

140 EAST 45TH STREET
37TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00 AM- 5:00 PM
Tel: 212-810-9044, Fax: 800-804-4278

Websites

www.linkedin.com/company/star-mountain-capital-llc/ twitter.com/starmountaincap www.instagram.com/star.mountain.capital/ www.youtube.com/c/starmountaincapital itunes.apple.com/us/podcast/star-mountain-capital/id1333649757?mt=2 soundcloud.com/starmountaincapital starmountaincapital.com/ www.facebook.com/starmountaincapital/

Chief Compliance Officer

AUSTIN SHAWN ERICSON
LEGAL COUNSEL
101 EAST KENNEDY BLVD
SUITE 3325
TAMPA
FL
United States
Tel: 813-768-9547
Fax: 800-804-4278
(Full email address available in API data)

Regulatory Contact

BRETT A. HICKEY
MANAGING MEMBER
140 EAST 45TH STREET
37TH FLOOR
NEW YORK
NY
United States
Tel: 646-787-0222
Fax: 800-804-4278
(Full email address available in API data)

Industry Affiliates

STAR MOUNTAIN - PA SMALL BUSINESS CO-INVESTMENT PLATFORM GP, LLC Sponsor, GP, manager of pooled investment vehicles
STAR MOUNTAIN - SF CO-INVESTMENT PLATFORM GP, LLC Sponsor, GP, manager of pooled investment vehicles
STAR MOUNTAIN ADVISORS, LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealer
STAR MOUNTAIN DIVERSIFIED CREDIT INCOME FUND III GP, LLC Sponsor, GP, manager of pooled investment vehicles
STAR MOUNTAIN DIVERSIFIED SMALL BUSINESS ACCESS FUND II GP, LLC Sponsor, GP, manager of pooled investment vehicles
STAR MOUNTAIN DIVERSIFIED SMALL BUSINESS ACCESS FUND II-A GP, LLC Sponsor, GP, manager of pooled investment vehicles
STAR MOUNTAIN SBIC FUND GP, LLC Sponsor, GP, manager of pooled investment vehicles
STAR MOUNTAIN SMB MULTI-MANAGER CREDIT PLATFORM GP, LLC Sponsor, GP, manager of pooled investment vehicles
STAR MOUNTAIN STRATEGIC CREDIT INCOME FUND IV GP, LLC Sponsor, GP, manager of pooled investment vehicles
STAR MOUNTAIN STRATEGIC CREDIT INCOME FUND V GP, LLC Sponsor, GP, manager of pooled investment vehicles
STAR MOUNTAIN U.S. LOWER MIDDLE-MARKET SECONDARY FUND II GP, LLC Sponsor, GP, manager of pooled investment vehicles
STAR MOUNTAIN WHISTLER CO-INVESTMENT PLATFORM GP, LLC Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
STAR MOUNTAIN - PA SMALL BUSINESS CO-INVESTMENT PLATFORM II, LP Private Equity Fund $15.3M $0.0M 2
STAR MOUNTAIN - PA SMALL BUSINESS CO-INVESTMENT PLATFORM, LP Private Equity Fund $74.5M $0.0M 2
STAR MOUNTAIN - SF CO-INVESTMENT PLATFORM, LP Private Equity Fund $36.8M $0.0M 2
STAR MOUNTAIN DIVERSIFIED CREDIT INCOME FUND III, LP Private Equity Fund $712.9M $0.1M 524
STAR MOUNTAIN DIVERSIFIED SMALL BUSINESS ACCESS FUND II-A, LP Private Equity Fund $57.5M $0.1M 100
STAR MOUNTAIN DIVERSIFIED SMALL BUSINESS ACCESS FUND II, LP Private Equity Fund $120.0M $0.3M 153
STAR MOUNTAIN PARTNERS FUND II, LLC Private Equity Fund $15.5M $0.0M 42
STAR MOUNTAIN PARTNERS FUND III, LLC Private Equity Fund $60.8M $0.1M 94
STAR MOUNTAIN PARTNERS FUND IV, LLC Private Equity Fund $24.5M $0.0M 37
STAR MOUNTAIN SBIC FUND PARTNERS, LLC Private Equity Fund $12.8M $0.0M 28
STAR MOUNTAIN SBIC FUND, LP Private Equity Fund $305.5M $0.1M 111
STAR MOUNTAIN SMB MULTI-MANAGER CREDIT PLATFORM, LP Private Equity Fund $94.7M $0.0M 6
STAR MOUNTAIN STRATEGIC CREDIT INCOME FUND IV, LP Private Equity Fund $1,129.5M $0.0M 561
STAR MOUNTAIN STRATEGIC CREDIT INCOME FUND V, LP Private Equity Fund $201.9M $0.1M 51
STAR MOUNTAIN U.S. LOWER MIDDLE-MARKET SECONDARY FUND II, LP Private Equity Fund $281.0M $0.0M 169
STAR MOUNTAIN WHISTLER CO-INVESTMENT PLATFORM, LP Private Equity Fund $70.3M $0.0M 1
WWC SM PRIVATE CREDIT OPPORTUNITIES, LLC Private Equity Fund $49.9M $0.0M 3

Control Persons

Name Type Entity Title Since Ownership
GIMBERT, CHRISTOPHER, JOHN Individual – CHIEF FINANCIAL OFFICER 09/2010 < 5%
HICKEY, BRETT, ALLAN Individual – MANAGING MEMBER 06/2010 < 5%
HICKEY, BRETT, ALLAN Individual STAR MOUNTAIN CAPITAL, LLC MANAGER / SOLE MEMBER 04/2009 > 75%
STAR MOUNTAIN HOLDINGS, LP Domestic Entity – MANAGER / SOLE MEMBER 06/2010 > 75%
PARAS, STEPHEN, BASIL Individual – MANAGING DIRECTOR & CHIEF CREDIT OFFICER 03/2021 < 5%
POLIS, JOHN, WILLIAM Individual – CHIEF OPERATING OFFICER & CHIEF TECHNOLOGY OFFICER 01/2017 < 5%
ERICSON, AUSTIN, SHAWN Individual – CHIEF COMPLIANCE OFFICER & LEGAL COUNSEL 11/2022 < 5%
STAR MOUNTAIN CAPITAL, LLC Domestic Entity STAR MOUNTAIN HOLDINGS, LP LIMITED PARTNER 12/2023 > 75%
STAR MOUNTAIN HOLDINGS, LLC Domestic Entity STAR MOUNTAIN HOLDINGS, LP GENERAL PARTNER 12/2023
HICKEY, BRETT, ALLAN Individual STAR MOUNTAIN HOLDINGS, LLC OWNER 12/2023 > 75%

No. Employees, Historic

70350201920202021202220232024202538 on 4/30/201937 on 3/30/202037 on 5/26/202037 on 6/8/202050 on 3/31/202163 on 3/31/202263 on 5/13/202263 on 9/13/202263 on 11/7/202265 on 3/31/202365 on 6/20/202365 on 10/10/202365 on 1/3/202469 on 3/29/2024

RAUM, Historic

4B2B02019202020212022202320242025695011587 on 4/30/20191106245360 on 3/30/20201106245360 on 5/26/20201106245360 on 6/8/20201421411238 on 3/31/20212261783201 on 3/31/20222261783201 on 5/13/20222261783201 on 9/13/20222261783201 on 11/7/20223185848858 on 3/31/20233185848858 on 6/20/20233185848858 on 10/10/20233185848858 on 1/3/20243878021174 on 3/29/2024

No. Clients, Historic

30150201920202021202220232024202514 on 4/30/201916 on 3/30/202016 on 5/26/202016 on 6/8/202015 on 3/31/202123 on 3/31/202223 on 5/13/202223 on 9/13/202223 on 11/7/202222 on 3/31/202322 on 6/20/202322 on 10/10/202322 on 1/3/202428 on 3/29/2024