WARWICK CAPITAL CLO MANAGEMENT LLC

WARWICK CAPITAL CLO MANAGEMENT LLC - SERIES 1- MANAGEMENT SERIES Legal Name

Adviser information for WARWICK CAPITAL CLO MANAGEMENT LLC last updated from Form ADV on March 28th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Other (specify)
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 No

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 0 $0
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 0

Services

Advisory Services
Compensation

Identifiers

SEC RIA File Number 802-126995
SEC ERA File Number 802-126995
SEC CIK Numbers None
SEC CRD Numbers 323630
Legal Entity Identifier None

Principal Office

677 WASHINGTON BOULEVARD
STAMFORD
CT
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 917-828-2630, Fax: None

Chief Compliance Officer

None

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
WARWICK CAPITAL CLO 1 LTD Securitized Asset Fund $72.8M $0.3M 39

Control Persons

Name Type Entity Title Since Ownership
WARWICK CAPITAL PARTNERS (US) LP Domestic Entity SOLE MEMBER OF SERIES 1 - MANAGEMENT SERIES 06/2022 > 75%
WOODFORD, RALPH Individual MANAGER 06/2022 < 5%
BURGESS, IAN, JEFFREY Individual WARWICK CAPITAL PARTNERS (US) LP PARTNER 03/2022 50-75%
MATTERA, ALFREDO, SALVATORE Individual WARWICK CAPITAL PARTNERS (US) LP PARTNER 03/2022 50-75%
SWEETING, TIMOTHY, GUY Individual MANAGER 06/2022 < 5%
HEAPS, PETER, ANTHONY Individual MANAGER 06/2022 < 5%

No. Employees, Historic

0002022202320240 on 11/4/20220 on 3/28/2023