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Castle Creek Advisors Iv LLC (Rancho Santa Fe)


Castle Creek Advisors Iv LLC is a large advisory firm based in Rancho Santa Fe. It manages $716.31 million of regulatory assets for 8 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdiction of California.

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Castle Creek Advisors Iv provides portfolio management for pooled investment vehicles and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Castle Creek Advisors Iv: assets under management

The assets under management (AUM) of Castle Creek Advisors Iv LLC is $716.31 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 117% since the beginning of its operation, and $1.33 million of the total AUM is attributable to clients outside of the United States.


The firm manages $716.31 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $89.54 million each.
Castle Creek Advisors Iv has custody of $716.31 million in cash and securities for 8 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in non-exchange traded securities the most. They account for 92% of the total AUM. The second-largest asset type is pooled investment vehicles, which make up 8% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Castle Creek Advisors Iv LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Castle Creek Advisors Iv serves?

The firm provides services to insurance companies, charitable organizations, pooled investment vehicles, and pension and profit sharing plans. The largest group of clients of Castle Creek Advisors Iv is pooled investment vehicles with 5 clients and $701.33 million of assets under management. Among the 9 most similar advisory firms, Castle Creek Advisors Iv has the 3rd highest percentage of pooled investment vehicles out of all clients.


The amount of regulatory assets under management is $716.31 million for 8 clients. 13% of the firm’s clients are foreign persons or businesses.

Castle Creek Advisors Iv also advises several private funds. Namely, five private equity funds. The minimum investment commitment required of non-related persons is $10,000,000 for each fund.

Careers at Castle Creek Advisors Iv LLC

The company employs 11 people that are either part- or full-time employees. 82 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There are 3 people with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers



Name Entity Date acquired Ownership Employer ID
Jme Advisory Corp Member of castle creek advisors iv llc 1 Mar 2009 25% - 50% 01-0826441
Legions Iv Corp Member of castle creek advisors iv llc 1 Mar 2009 Other 20-8055873
Mikesell Advisory Corp Member of castle creek advisors iv llc 1 Mar 2009 Other 27-0397439
Pietrzak Advisory Corp Member of castle creek advisors iv llc 1 Mar 2009 Other 27-1474473
John Matthew Eggemeyer Managing partner of castle creek advisors iv llc 1 Mar 2009 Other 1735610
Mark Gerard Merlo Partner of castle creek advisors iv llc 1 Mar 2009 Other 2408890
Joseph Mikesell Thomas Partner of castle creek advisors iv llc 1 Mar 2009 Other 2581856
John Tomasz Pietrzak Partner of castle creek advisors iv llc 1 Mar 2009 Other 5010263
Ruh Advisory Corp Member 1 Mar 2009 25% - 50% 01-0826449
William John Ruh Managing partner 1 Mar 2009 Other 2652681
William John Ruh Cco 1 Jun 2011 Other 2652681
Jme Advisory Corp Member of castle creek tarp advisors llc (relying advisor) 1 May 2012 25% - 50% 01-0826441
John Matthew Eggemeyer Managing partner of castle creek tarp advisors llc (relying advisor) 1 May 2012 Other 1735610
Legions Iv Corp Member of castle creek tarp advisors llc (relying advisor) 1 May 2012 Other 20-8055873
Mikesell Advisory Corp Member of castle creek tarp advisors llc (relying advisor) 1 May 2012 Other 27-0397439
Pietrzak Advisory Corp Member of castle creek tarp advisors llc (relying advisor) 1 May 2012 Other 27-1474473
Joseph Mikesell Thomas Managing partner of castle creek tarp advisors llc (relying advisor) 1 May 2012 Other 2581856
Mark Gerard Merlo Partner of castle creek tarp advisors llc (relying advisor) 1 May 2012 Other 2408890
John Tomasz Pietrzak Partner of castle creek tarp advisors llc (relying advisor) 1 May 2012 Other 5010263
Ruh Advisory Corp Member of castle creek tarp advisors llc (relying advisor) 1 May 2012 Other 01-0826449
William John Ruh Partner of castle creek tarp advisors llc (relying advisor) 1 May 2012 Other 2652681
Martin Joseph Szumski Cfo & cco of castle creek adv iv, cas crk tarp adv (rl adv), cas crk class b tarp adv (rl adv), cas crk spec sit adv (rl adv) 1 Apr 2013 Other 6317251
Sharon Krickl Moody Cco of castle creek advisors iv llc & castle creek tarp advisors llc (relying advisor) 1 Nov 2013 Other 6009905
Jme Advisory Corp Member of castle creek class b tarp advisors llc (relying advisor) 1 Jan 2014 25% - 50% 01-0826441
Pietrzak Advisory Corp Member of castle creek class b tarp advisors llc (relying advisor) 1 Jan 2014 Other 27-1474473
Mikesell Advisory Corp Member of castle creek class b tarp advisors llc (relying advisor) 1 Jan 2014 Other 27-0397439
Legions Iv Corp Member of castle creek class b tarp advisors llc (relying advisor) 1 Jan 2014 Other 20-8055873
Scavuzzo Advisory Corp Member of castle creek class b tarp advisors llc (relying advisor) 1 Jan 2014 Other 46-4215292
Rana Advisory Corp Member of castle creek class b tarp advisors llc (relying advisor) 1 Jan 2014 Other 46-4345029
Volk Advisory Corp Member of castle creek class b tarp advisors llc (relying advisor) 1 Jan 2014 Other 46-4344579
John Matthew Eggemeyer Managing principal of castle creek class b tarp advisors llc (relying advisor) 1 Jan 2014 Other 1735610
John Tomasz Pietrzak Managing principal of castle creek class b tarp advisors llc (relying advisor) 1 Jan 2014 Other 5010263
Joseph Mikesell Thomas Managing principal of castle creek class b tarp advisors llc (relying advisor) 1 Jan 2014 Other 2581856
Mark Gerard Merlo Managing principal of castle creek class b tarp advisors llc (relying advisor) 1 Jan 2014 Other 2408890
Jme Advisory Corp Member of castle creek special situations advisors llc (relying advisor) 1 May 2014 25% - 50% 01-0826441
Pietrzak Advisory Corp Member of castle creek special situations advisors llc (relying advisor) 1 May 2014 Other 27-1474473
Mikesell Advisory Corp Member of castle creek special situations advisors llc (relying advisor) 1 May 2014 Other 27-0397439
Legions Iv Corp Member of castle creek special situations advisors llc (relying advisor) 1 May 2014 Other 20-8055873
Scavuzzo Advisory Corp Member of castle creek special situations advisors llc (relying advisor) 1 May 2014 Other 46-4215292
Rana Advisory Corp Member of castle creek special situations advisors llc (relying advisor) 1 May 2014 Other 46-4345029
Volk Advisory Corp Member of castle creek special situations advisors llc (relying advisor) 1 May 2014 Other 46-4344579
John Matthew Eggemeyer Managing principal of castle creek special situations advisors llc (relying advisor) 1 May 2014 Other 1735610
John Tomasz Pietrzak Managing principal of castle creek special situations advisors llc (relying advisor) 1 May 2014 Other 5010263
Joseph Mikesell Thomas Managing principal of castle creek special situations advisors llc (relying advisor) 1 May 2014 Other 2581856
Mark Gerard Merlo Managing principal of castle creek special situations advisors llc (relying advisor) 1 May 2014 Other 2408890
Martin Joseph Szumski Cfo of castle creek special situations advisors llc (relying advisor) 1 May 2014 Other 6317251
Scavuzzo Advisory Corp Member of castle creek advisors iv llc 1 Jun 2017 Other 46-4215292
Rana Advisory Corp Member of castle creek advisors iv llc 1 Jun 2017 Other 46-4345029
Volk Advisory Corp Member of castle creek advisors iv llc 1 Jun 2017 Other 46-4344579

Indirect Owners

The SEC currently registers 8 indirect owners.

Name Entity Date acquired Ownership Employer ID
John Matthew Eggemeyer President 1 Jan 2005 75% - 100% 1735610
William John Ruh President 1 Jan 2005 75% - 100% 2652681
Mark Gerard Merlo President 1 Dec 2006 75% - 100% 2408890
Joseph Mikesell Thomas President 1 Feb 2009 75% - 100% 2581856
John Tomasz Pietrzak President 1 Feb 2009 75% - 100% 5010263
Anthony R Scavuzzo President 1 Aug 2013 75% - 100% 6276394
Sundeep Vijay Rana President 1 Aug 2013 75% - 100% 4675444
David James Volk President 1 Aug 2013 75% - 100% 4393759

Based in Rancho Santa Fe

The principal office where Castle Creek Advisors Iv LLC performs its advisory services is located at 6051 El Tordo, Rancho Santa Fe, CA 92067 The mailing address of the firm is Po Box 1329, Rancho Santa Fe, CA 92067. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 858-756-8300 or by fax 858-756-8301. The normal business hours are 8:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at castlecreek.com.


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