9AT: STONECASTLE ADVISORS, LLC

other names

STONECASTLE ADVISORS, LLC

Adviser Profile

As of Date	03/31/2026
Registration	SEC, Approved, 08/20/2004
ADV Location	NEW YORK, NY, United States
Contact Info	212 xxxxxxx
Websites

AUM^*	763,430,789 -32%
of that, discretionary	763,430,789 -32%
Private Fund GAV^*	763,430,789 -27%
Avg Account Size	152,686,158 -18%
SMA’s	No
Private Funds	5 1

Adviser Type

- Large advisory firm

Number of Employees 6 -33%

of those in investment advisory functions 1 -50%

Client Types

- Pooled investment vehicles

Advisory Activities

- Portfolio management for pooled investment vehicles

Compensation Arrangments

SEC Fund Type	Count	GAV
Fund TypeSecuritized Asset Fund	Count5	GAV$763,430,789

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 SEIX CLO MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund335.6m	Venture Capital Fund-	Other Fund-	Total Private Fund GAV335.6m	AUM335.6m	#Funds2
Adviser 325 FILLMORE LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund714.5m	Venture Capital Fund-	Other Fund-	Total Private Fund GAV714.5m	AUM103.8m	#Funds4
Adviser OFS CLO MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund743.9m	Venture Capital Fund-	Other Fund-	Total Private Fund GAV743.9m	AUM743.9m	#Funds4
Adviser PRIDEROCK FUND MANAGEMENT PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund283.6m	Venture Capital Fund-	Other Fund-	Total Private Fund GAV283.6m	AUM283.6m	#Funds15
Adviser SIERRA CREST INVESTMENT MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund87.8m	Venture Capital Fund-	Other Fund-	Total Private Fund GAV87.8m	AUM781.1m	#Funds1
Adviser FS STRUCTURED PRODUCTS ADVISOR, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund2.2b	Venture Capital Fund-	Other Fund-	Total Private Fund GAV2.2b	AUM2.2b	#Funds6
Adviser NEW MOUNTAIN CREDIT CLO ADVISERS, L.L.C.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund3.4b	Venture Capital Fund-	Other Fund-	Total Private Fund GAV3.4b	AUM3.4b	#Funds8
Adviser AB BROADLY SYNDICATED LOAN MANAGER LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund2.4b	Venture Capital Fund395.6m	Other Fund-	Total Private Fund GAV3.1b	AUM2.6b	#Funds6
Adviser REEF INVESTMENT MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund150.0m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund234.3m	Total Private Fund GAV384.3m	AUM234.3m	#Funds4
Adviser COMMONWEALTH CREDIT ADVISORS, LLC	Hedge Fund911.3m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV911.3m	AUM1.7b	#Funds1

Brochure Summary

Overview

StoneCastle Advisors, LLC was formed in 2003 and is a wholly‐owned subsidiary of StoneCastle Advisory Services, LLC. StoneCastle Advisory Services, LLC is a wholly‐owned subsidiary of StoneCastle Partners, LLC. StoneCastle provides investment services to institutional clients, including securitized asset funds or asset backed investment vehicles (collectively, “ABIV”). StoneCastle offers investment services only with respect to limited types of investments including fixed income securities (including, without limitation, trust preferred securities, subordinated debt securities and structured finance securities) issued by financial institutions (including, without limitation, banks, thrifts, credit unions or similar financial institutions or holding companies thereof) or special purpose vehicles

or corporations. StoneCastle acts as collateral manager on the equity and mezzanine tranches of ABIVs collateralized by various asset classes, including capital securities issued by financial institutions, real estate and real estate backed securities, asset‐backed securities, term B loans, pro‐rata loans, middle market loans or other assets that StoneCastle deems attractive relative value perspective from time to time. In its role as collateral manager, StoneCastle does not provide investment advice directly to investors in the securitized asset funds or ABIVs. As of December 31, 2023, StoneCastle had discretionary assets under management of approximately $1,121,966,334. As of December 31, 2023, StoneCastle had non‐discretionary assets under management of $0.

STONECASTLE ADVISORS, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Private Funds Structure

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Brochure Summary

Overview