9AT: CASTLE CREEK STRATEGIES, LLC

Adviser Profile

As of Date	01/19/2024
Registration status	Terminated
ADV Location	CHICAGO, IL, United States
Contact Info	312 xxxxxxx
Websites

AUM^*	1,365,259,000 -39%
of that, discretionary	1,365,259,000 -39%
Number of Employees	10 -9%
of those in investment advisory functions	3 -25%
Private Fund GAV^*	0
Avg Account Size	227,543,167 -39%
SMA’s	No
Private Funds	0 3

Adviser Type

- Large advisory firm

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

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 SCP INVESTMENT, LP	Hedge Fund1.2b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.2b	AUM1.2b	#Funds13
Adviser AGAMERICA LENDING LLC	Hedge Fund985.0m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV985.0m	AUM1.2b	#Funds1
Adviser CEDERBERG CAPITAL LIMITED	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM684.6m	#Funds-
Adviser YAUPON CAPITAL MANAGEMENT LP	Hedge Fund4.7b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV4.7b	AUM4.7b	#Funds7
Adviser EASTERLY INVESTMENT PARTNERS LLC	Hedge Fund67.5m	Liquidity Fund-	Private Equity Fund225.0k	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund250.0m	Other Fund-	Total Private Fund GAV567.8m	AUM2.8b	#Funds3
Adviser NZS CAPITAL LLC	Hedge Fund867.6m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund121.7m	Total Private Fund GAV989.3m	AUM4.1b	#Funds6
Adviser SARAZA MANAGEMENT LP	Hedge Fund340.1m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV340.1m	AUM366.5m	#Funds3
Adviser ALTFEST PERSONAL WEALTH MANAGEMENT	Hedge Fund12.6m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV12.6m	AUM1.8b	#Funds3
Adviser E. S. BARR & COMPANY	Hedge Fund48.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV48.2m	AUM2.2b	#Funds1
Adviser GLOBAL CREDIT ADVISERS, LLC	Hedge Fund531.7m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV531.7m	AUM505.7m	#Funds6

Brochure Summary

Overview

Castle Creek Arbitrage, LLC (d/b/a Castle Creek Strategies, LLC; “Castle Creek” or the “Firm”) is a limited liability company organized under the laws of the State of Delaware and maintains its principal place of business in Avon, Colorado. The Firm has been registered with the U.S. Securities and Exchange Commission (“SEC”) as an investment adviser since February of 2006. Mr. Allan Weine, founder of Castle Creek, majority owns and controls the Firm. Additionally, Mr. Peter Fletcher, portfolio manager of Castle Creek, is a non-controlling principal of the Firm. Castle Creek provides investment advisory services to several private investment funds that were organized by the Firm (the “Funds”). In managing the Funds, the Firm implements several strategies, including convertible arbitrage, relative value, capital structure arbitrage, special purpose acquisition vehicles (“SPACs”), other credit related strategies, and equity-option related strategies. Each strategy is more fully described in the relevant Fund’s offering documents. In addition, Castle Creek may provide investment advisory services to other clients that generally replicate the investment strategies used by the Funds, including pooled investment vehicles organized by unaffiliated third parties or separately

managed accounts (collectively, “Managed Accounts”, and together with the Funds, “Clients”). The Funds, and the shares and interests offered by the Funds, are not registered under applicable securities regulations, including the U.S. Securities Act of 1933, as amended or the Investment Company Act of 1940, as amended. Accordingly, interests or shares of the Funds are offered and sold exclusively to investors that satisfy eligibility and suitability requirements under rules applicable to private placement transactions or offshore transactions. The Firm’s advisory services are provided on a discretionary basis, which may be limited by conditions set forth in the governing documents for a Fund or may be imposed by a Managed Account in written investment guidelines or restrictions. As Castle Creek provides advisory services to the Funds, and not directly to any underlying investor as a result of investing in the Funds, the Firm does not take into consideration any specific investment condition requested by an investor in the Funds. Castle Creek does not manage any assets on a non-discretionary basis. As of December 31, 2022, Castle Creek managed (on a fully discretionary basis) approximately $1,365,259,000 of regulatory assets under management.

CASTLE CREEK STRATEGIES, LLC

CASTLE CREEK STRATEGIES, LLC

CASTLE CREEK ARBITRAGE, LLC

CC ARB GLOBAL, LTD. (RELYING ADVISER)

CASTLE CREEK CONVERTIBLE ARBITRAGE, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

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CASTLE CREEK STRATEGIES, LLC CASTLE CREEK STRATEGIES, LLC CASTLE CREEK ARBITRAGE, LLC CC ARB GLOBAL, LTD. (RELYING ADVISER) CASTLE CREEK CONVERTIBLE ARBITRAGE, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

CASTLE CREEK STRATEGIES, LLC

CASTLE CREEK STRATEGIES, LLC

CASTLE CREEK ARBITRAGE, LLC

CC ARB GLOBAL, LTD. (RELYING ADVISER)

CASTLE CREEK CONVERTIBLE ARBITRAGE, LLC