STEEPROCK CAPITAL
STEEPROCK CAPITAL II LLC Legal Name
Adviser information for STEEPROCK CAPITAL last updated from Form ADV on March 27th, 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 | 9 |
|---|---|
| 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 | 1 | $147.5M |
| Non-Discretionary | 8 | $1.3B |
| Total | 9 | $1.5B |
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 | 1 | $147.5M |
| 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 | $1.2B |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 3 | $79.0M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesSECTION 3(C)(5)(C) EXEMPT ACCOUNTS AND JOINT VENTURE |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-80347 |
|---|---|
| SEC ERA File Number | 801-80347 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 172775 |
| Legal Entity Identifier | None |
Principal Office
2 SOUNDVIEW DRIVE3RD FLOOR
GREENWICH
CT
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 212-218-5055, Fax: 212-334-3063
Websites
Chief Compliance Officer
MATTHEW MITCHELL
MANAGING PARTNER
2 SOUNDVIEW DR
3RD FLOOR
GREENWICH
CT
United States
Tel:
212-218-5077
M*******@*******************M
(Full email address available in API data)
Regulatory Contact
JOHN BUCCI
MANAGING PARTNER
2 SOUNDVIEW DRIVE
3RD FLOOR
GREENWICH
CT
United States
Tel:
212-218-5081
B****@*******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MITCHELL, MATTHEW, ALAN | Individual | – | CO-MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | 08/2014 | 25-50% |
| BUCCI, JOHN, THOMAS | Individual | – | CO-MANAGING MEMBER | 08/2014 | 25-50% |