REGATTA LOAN MANAGEMENT LLC
Adviser information for REGATTA LOAN MANAGEMENT LLC 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 | 0 |
|---|---|
| Investment Advisory/Research | 0 |
| 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 | 8 | $3.3B |
| Non-Discretionary | 0 | $0 |
| Total | 8 | $3.3B |
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 | 8 | $3.3B |
| 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 | 100 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Registered representative of a broker-dealerCommodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-96246 |
|---|---|
| SEC ERA File Number | 801-96246 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 226518 |
| Legal Entity Identifier | None |
Principal Office
280 PARK AVENUE, 3RD FLOORNEW YORK
NY
United States
Monday - Friday, 9AM-6PM
Tel: 212-235-0700, Fax: 212-235-0706
Chief Compliance Officer
SONIA PLATA
280 PARK AVENUE
3RD FLOOR
NEW YORK
NY
United States
Tel:
212-235-0717
S**********@*******************M
(Full email address available in API data)
Industry Affiliates
| BLACKSTONE LIQUID CREDIT ADVISORS I LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| BLACKSTONE MANAGEMENT PARTNERS L.L.C. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| CORSAIR ADVISORS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CORSAIR INVESTMENTS L.P. | Other investment adviser, including financial planners |
| CORSAIR PARTNERS MENTOR MANAGEMENT, LTD. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| FEF DISTRIBUTORS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| FIRST EAGLE ALTERNATIVE CREDIT EU MOA, LTD. | Sponsor, GP, manager of pooled investment vehicles |
| FIRST EAGLE ALTERNATIVE CREDIT EU, LLC | Other investment adviser, including financial planners |
| FIRST EAGLE CLO EQUITY FUND GP, LLC | Other investment adviser, including financial planners |
| FIRST EAGLE DIRECT LENDING FUND I GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| FIRST EAGLE DIRECT LENDING FUND III (CAYMAN) GP, LTD | Other investment adviser, including financial planners |
| FIRST EAGLE DIRECT LENDING MANAGER III, LLC | Other investment adviser, including financial planners |
| FIRST EAGLE FUND GP, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| FIRST EAGLE INVESTMENT MANAGEMENT, LLC | Other investment adviser, including financial planners |
| FIRST EAGLE SEPARATE ACCOUNT MANAGEMENT, LLC | Other investment adviser, including financial planners |
| LEBREVENT RAILCAR GP LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NAPIER PARK ABS INCOME FUND GP HOLDINGS LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NAPIER PARK ABS INCOME FUNDGP LP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NAPIER PARK DEEP VALUE FUND II GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| NAPIER PARK GLOBAL CAPITAL GMBH | Other investment adviser, including financial planners |
| NAPIER PARK GLOBAL CAPITAL LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| NAPIER PARK GLOBAL CAPITAL LTD | Other investment adviser, including financial planners |
| NAPIER PARK MUNI GP LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NAPIER PARK MUTLI ASSET FUND I GP LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NAPIER PARK SELECT FUND GP HOLDINGS LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NAPIER PARK SELECT FUND GP LP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NAPIER PARK STRATEGIC CLO FUND GP HOLDINGS LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NAPIER PARK STRATEGIC CLO FUND GP LP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NAPIER PARK STRATEGIC LOAN FUND GP HOLDINGS LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NAPIER PARK STRATEGIC LOAN FUND GP LP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NAPIER PARK STRATEGIC LOAN FUND GP LP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NP RAILCAR INVESTMETNS III GP LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| OLD LANE INDIA GP LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| REGATTA IX FUNDING LTD. | Securitized Asset Fund | $289.3M | $0.3M | 1 |
| REGATTA VI FUNDING LTD. | Securitized Asset Fund | $393.8M | $0.3M | 1 |
| REGATTA VII FUNDING LTD. | Securitized Asset Fund | $388.5M | $0.3M | 1 |
| REGATTA VIII FUNDING LTD. | Securitized Asset Fund | $371.1M | $0.3M | 1 |
| REGATTA X FUNDING LTD. | Securitized Asset Fund | $447.0M | $0.3M | 1 |
| REGATTA XI FUNDING LTD. | Securitized Asset Fund | $450.8M | $0.3M | 1 |
| REGATTA XII FUNDING LTD. | Securitized Asset Fund | $395.9M | $0.3M | 1 |
| REGATTA XVI FUNDING LTD. | Securitized Asset Fund | $593.5M | $0.3M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CRYSTAL, JOHN, ADLER | Individual | – | DIRECTOR | 04/2015 | < 5% |
| NORIS, PETER, DANA | Individual | – | DIRECTOR | 04/2015 | < 5% |
| WILLIAMS, MICHAEL, ROBERT | Individual | – | DIRECTOR/PRESIDENT | 04/2015 | < 5% |
| DORFMAN, JONATHAN, LOUIS | Individual | – | CHIEF EXECUTIVE OFFICER | 04/2015 | < 5% |
| PLATA, SONIA | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2015 | < 5% |
| LORINSKY, SCOTT, JASON | Individual | – | CHIEF LEGAL OFFICER | 01/2016 | < 5% |
| WANAKA FUND LTD. | Foreign Entity | REGATTA PARTNERS LLC | MEMBER | 01/2016 | 25-50% |
| THE REGENTS OF THE UNIVERSITY OF CALIFORNIA | Domestic Entity | WANAKA FUND LTD. | SHAREHOLDER | 01/2016 | > 75% |
| REGATTA PARTNERS LLC | Domestic Entity | – | MEMBER | 01/2016 | > 75% |