Stonecastle Asset Management, LLC (New York)


Stonecastle Asset Management, LLC is an investment adviser to an investment company based in New York. It manages $196.21 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2012.

Stonecastle Asset Management provides portfolio management for investment companies. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Stonecastle Asset Management: assets under management

The assets under management (AUM) of Stonecastle Asset Management, LLC is $196.21 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 78% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $196.21 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $196.21 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Stonecastle Asset Management, LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Stonecastle Asset Management serves?

The only and largest group of clients of Stonecastle Asset Management is investment companies with 1 clients and $196.21 million of assets under management. Among the 10 most similar advisory firms, Stonecastle Asset Management has the 2nd highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $196.21 million for 1 clients. None of the firm’s clients are foreign persons or businesses.

Stonecastle Asset Management doesn't advise any private funds.

Careers at Stonecastle Asset Management, LLC

The company employs 9 people that are either part- or full-time employees. 78 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone 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
Llc Stonecastle Partners Managing member 1 Nov 2012 75% - 100% 54-2115945
Joshua Stuart Siegel Officer 1 Nov 2012 Other 3131719
George Shilowitz Officer 1 Nov 2012 Other 2455292
Matthew Reuben Mayers Cco 1 Nov 2012 Other 2953692
Erik Andre Minor Cco 1 Feb 2013 Other 2280512
Rachel Nachas Schatten Chief compliance officer 1 Mar 2014 Other 4876363
Patrick Joseph Farrell Chief financial officer 1 Apr 2014 Other 1311012
Erik Andre Minor Coo 1 Apr 2014 Other 2280512
Llc Stonecastle Advisory Services Sole member 1 Jun 2018 75% - 100% 26-4700302

Indirect Owners

The SEC currently registers 5 indirect owners.

Name Entity Date acquired Ownership Employer ID
Joshua Stuart Siegel Managing member 1 Jun 2003 25% - 50% 3131719
Lp Charlesbank Equity Partners Vi Member 1 Oct 2007 25% - 50% 26-0108217
Lp Charlesbank Equity Partners Vi Member 1 Sep 2009 25% - 50% 26-0108217
Llc Stonecastle Holdings Sole member 1 Jun 2018 75% - 100% 83-0754755
Llc Stonecastle Partners Sole member 1 Jun 2018 75% - 100% 54-2115945

Based in New York

The principal office where Stonecastle Asset Management, LLC performs its advisory services is located at 152 West 57 Th Street, New York, NY 10019, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-354-6500 or by fax 212-354-6565. The normal business hours are 9-5 on Monday - Friday. You can find more information about the New York firm at stonecastlepartners.com.