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Adviser Profile

As of Date 03/19/2024
Adviser Type - Large advisory firm
Number of Employees 8
of those in investment advisory functions 6
Registration SEC, Approved, 07/29/2016
Other registrations (1)
AUM* 1,085,978,179 29.80%
of that, discretionary 1,085,978,179 29.80%
Private Fund GAV* 1,085,978,179 29.80%
Avg Account Size 361,992,726 29.80%
SMA’s No
Private Funds 2
Contact Info 813 xxxxxxx
Websites

Client Types

- Pooled investment vehicles

Advisory Activities

- Portfolio management for pooled investment vehicles

Compensation Arrangments

- A percentage of assets under your management
- Performance-based fees

Recent News

Reported AUM

Discretionary
Non-discretionary
1B 970M 808M 646M 485M 323M 162M
2016 2017 2018 2019 2020 2021 2022 2023

Private Funds



Employees

Private Funds Structure

Fund Type Count GAV
Fund TypeHedge Fund Count2 GAV$1,085,978,179

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Brochure Summary

Overview

The Adviser is a Delaware corporation co-founded by Tom Caldwell and Chris Crosby in 2014. Adviser is wholly-owned by Mr. Caldwell, Mr. Crosby, Ms. Kaitlin Briscoe, and Mr.Brodsky. The Adviser serves as manager and provides investment advisory services to pooled investment vehicles called Spring Lake Unconstrained Municipal Opportunities Fund, LLC, a Delaware limited liability company, and investment vehicle called Spring Lake Unconstrained Municipal Opportunities Fund II, LLC, a Delaware limited liability company, and sponsors a feeder fund, SLAM Investments, a company incorporated in the Cayman Islands with limited liability, which invests substantially all of its assets in Spring Lake Unconstrained Municipal Opportunities Fund, LLC and Spring Lake Unconstrained Municipal Opportunities Fund II, LLC (each individually a “Fund”, and collectively, the “Funds”). The Funds are exempt from registration under the Investment Company Act of 1940, as amended, and their securities are not registered
under the Securities Act of 1933, as amended (the “1933 Act”). The Funds seek to maximize total return by actively pursuing relative value opportunities in the taxable and tax-exempt municipal bond markets. Adviser’s services are provided to the Funds pursuant to the terms of the Funds’ respective offering documents and operating agreements (collectively, “Governing Documents”). The Adviser provides investment advisory services to the Funds in accordance with their Governing Documents. Investment advice is provided directly to the Funds and not individually to the investors in the Funds. Any restrictions on investments in certain types of securities are set forth in the Funds’ offering documents received by each Fund investor prior to investment. Once invested in the Funds, investors cannot impose restrictions on the types of securities in which the Funds may invest. As of December 31, 2023, the Adviser managed approximately $1,085,978,179 in assets, all on a discretionary basis.