CASTELLAN

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Adviser Profile
As of Date 03/29/2024
Adviser Type - Large advisory firm
Number of Employees 9
of those in investment advisory functions 6 20.00%
Registration SEC, Approved, 10/2/2020
AUM* 353,473,345 6.82%
of that, discretionary 353,473,345 6.82%
Private Fund GAV* 37,816,748 -25.34%
Avg Account Size 5,991,074 -4.04%
% High Net Worth 37.50% -25.00%
SMA’s Yes
Private Funds 10
Contact Info 502 xxxxxxx
Websites

Client Types

- High net worth individuals
- Pooled investment vehicles
- Charitable organizations

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees

Recent News

Reported AUM

Discretionary
Non-discretionary
331M 284M 236M 189M 142M 95M 47M
2020 2021 2022 2023

Private Funds



Employees

Private Funds Structure

Fund Type Count GAV
Fund TypePrivate Equity Fund Count3 GAV$11,737,668
Fund TypeReal Estate Fund Count2 GAV$7,591,852
Fund TypeVenture Capital Fund Count5 GAV$18,487,228

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Brochure Summary

Overview

CASTELLAN (“the Registrant”) is a limited liability company formed in September 2018 under the laws of the state of Delaware and domiciled in Kentucky and is registered as an investment adviser with the Securities and Exchange Commission. CASTELLAN is principally owned by two Grantor Trusts, CASTELLAN WHY Trust and CASTELLAN Endeavor Trust, with 100% of income in trusts distributing to charitable organizations. CASTELLAN offers additional services for ultra-high net worth families with multi- generational wealth. We partner with these families, providing them with accountable stewardship of all their resources with the goal of simplifying their lives and improving their returns. CASTELLAN uses a rigorous, disciplined, and transparent process to construct an investment strategy that is tailored to each individual and family’s investment objectives, risk, and financial situation. The portfolios are managed using alternative investments, in addition to our investment
strategies, which are discussed in further detail in Item Eight. CASTELLAN will collaborate with client’s advisory teams, often coordinating the information flow among attorneys, accountants, insurance advisers and others. CASTELLAN believes this alliance facilitates the development of solutions that are customized to the challenges and opportunities faced by its clients. Our clients will have the opportunity to place reasonable restrictions on the types of investments to be held in their portfolio. Portfolios will be managed on a discretionary basis, which means we will buy and sell securities in client accounts without their prior approval. While CASTELLAN does not impose a minimum account size, all separately managed clients must meet the definition of “qualified investor” (please refer to Item 5). CASTELLAN does not participate in or sponsor a wrap fee program. As of December 31, 2023, CASTELLAN had assets under discretionary management of $353,473,345.