9AT: SEIX CLO MANAGEMENT LLC

other names

Adviser Profile

As of Date	03/27/2024
Adviser Type - Large advisory firm
Number of Employees	12 -20.00%
of those in investment advisory functions	10
Registration	SEC, Approved, 10/27/2016

AUM^*	704,606,938 -14.78%
of that, discretionary	704,606,938 -14.78%
Private Fund GAV^*	704,606,938
Avg Account Size	352,303,469 -14.78%
SMA’s	No
Private Funds	2
Contact Info	201 xxxxxxx

Client Types

- Pooled investment vehicles

Advisory Activities

- Portfolio management for pooled investment vehicles

Compensation Arrangments

Fund Type	Count	GAV
Fund TypeSecuritized Asset Fund	Count2	GAV$704,606,938

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser FS STRUCTURED PRODUCTS ADVISOR, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund1.4b	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.4b	AUM1.5b	#Funds4
Adviser SVOF/MM, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund591.5m	Venture Capital Fund-	Other Fund-	Total Private Fund GAV591.5m	AUM203.5m	#Funds2
Adviser SILVERMINE CAPITAL MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund469.6m	Venture Capital Fund-	Other Fund-	Total Private Fund GAV469.6m	AUM469.6m	#Funds2
Adviser STONECASTLE ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund1.1b	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.1b	AUM1.1b	#Funds6
Adviser SIERRA CREST INVESTMENT MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund381.1m	Venture Capital Fund-	Other Fund-	Total Private Fund GAV381.1m	AUM994.2m	#Funds2
Adviser COMMONWEALTH CREDIT ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund508.0m	Venture Capital Fund-	Other Fund-	Total Private Fund GAV508.0m	AUM1.2b	#Funds1
Adviser FLATIRON RR LLC, MANAGER SERIES	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund399.2m	Venture Capital Fund-	Other Fund-	Total Private Fund GAV399.2m	AUM399.2m	#Funds1
Adviser CIFC INVESTMENT MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM592.2m	#Funds2
Adviser 1988 ASSET MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund1.4b	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.4b	AUM1.2b	#Funds4
Adviser AB BROADLY SYNDICATED LOAN MANAGER LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund1.7b	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.7b	AUM1.7b	#Funds4

Brochure Summary

Overview

A. General Description of Advisory Firm Seix CLO Management LLC (“Seix CLO”) was formed in July 2016 to meet the requirement of the “risk retention” rules promulgated by U.S. federal regulators under the Dodd-Frank Wall Street Reform and Consumer Protection Act signed into federal law on July 21, 2010 (“Dodd-Frank Act”). Effective December 24, 2016, the Dodd-Frank Act risk retention rules required a “securitizer” of “sponsor” of a Collateralized Loan Obligation vehicle (a “CLO”) to retain, directly or indirectly through a majority-owned affiliate, at least 5% of the credit risk of the securitized assets. Further, the European Union has regulations regarding risk retention in securitized assets (“EU Risk Retention Rules”). The Dodd-Frank risk retention rules do not apply to open market CLOs as of May 2018. Seix CLO will act as collateral manager for CLOs and intends to structure CLOs in such a manner as to comply with the EU Risk Retention Rules. Seix CLO is wholly owned by Seix CLO Management LP, a Cayman Islands limited partnership. Seix Investment Advisors, a division of Virtus Fixed Income Advisers, LLC (“Seix Advisors” and together with Seix CLO, “Seix”) wholly owns the general partner of Seix CLO Management LP. On June 1, 2017, RidgeWorth Capital Management was acquired by Virtus Investment Partners, Inc. (“Virtus”) and RidgeWorth changed its name to Virtus Fund Advisers, LLC

(“VFA”). Seix was a 100% owned subsidiary of VFA until January 1, 2018, when Seix became wholly owned by Virtus Partners, Inc., whose parent company is Virtus Investment Partners, Inc. Virtus, a publicly traded firm, is singularly committed to the long-term success of individual and institutional investors, offering asset management through its affiliated managers and select subadvisers (see www.virtus.com ). Seix Investment Advisors became a division of Virtus Fixed Income Advisers, LLC (“VFIA”) effective July 1, 2022. VFIA is a wholly owned subsidiary of Virtus Partners, Inc. Seix CLO acts as collateral manager for CLOs and will not have any other client types. Seix CLO will accept any investment restrictions requested by or required by a CLO. Seix CLO provides discretionary investment management services to CLOs. B. Description of Advisory Services Seix provides discretionary “investment supervisory services” to two CLOs, which are privately placed offshore funds investing in loan and debt instruments and their Delaware co-issuers. Each CLO will have its own investment requirements, guidelines and restrictions. C. Assets Under Management Seix CLO had a total of $704,606,938 of discretionary assets under management as of December 31, 2023.

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SEIX CLO MANAGEMENT LLC

Adviser Profile

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Private Funds Structure

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Brochure Summary

Overview