9AT: STONECASTLE CASH MANAGEMENT, LLC

STONECASTLE CASH MANAGEMENT, LLC

STONECASTLE CASH MANAGEMENT, LLC

Adviser Profile

As of Date	05/03/2024
Registration status	Terminated
ADV Location	NEW YORK, NY, United States
Contact Info	212 xxxxxxx
Websites

AUM^*	7,079,915,882 -1%
of that, discretionary	4,159,834,091 -42%
Number of Employees	48 20%
of those in investment advisory functions	11
Private Fund GAV^*	0
Avg Account Size	7,291,365 9%
% High Net Worth	1.44% -97%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- High net worth individuals
- Banking or thrift institutions
- Pooled investment vehicles
- Charitable organizations
- State or municipal government entities
- Insurance companies
- Corporations or other businesses not listed above
- Other

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses
- Publication of periodicals or newsletters
- Educational seminars/workshops

Compensation Arrangments

- A percentage of assets under your management

Reported AUM

7B 6B 5B 4B 3B 2B 1B

2015 2016 2017 2018 2019 2020 2021 2022 2023

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

StoneCastle Cash Management, LLC was formed in 2009 and is a wholly owned subsidiary of StoneCastle Partners, LLC. StoneCastle provides deposit, liquidity, funding, and cash management solutions. StoneCastle’s services are limited to these types of cash products. FICA The Federally Insured Cash Account, FICA (“FICA”) is StoneCastle’s proprietary cash management vehicle offering a high level of FDIC and NCUSIF insurance per client tax ID via access to hundreds of participating banks and credit unions1 (“Network Institutions”). StoneCastle offers FICA solutions for various depositor types including institutions (FICA), clients of wealth management firms (FICA for Advisors), and clients of banks (FICA for Banks) (together, “FICA” or the “FICA Programs”). Through the FICA Programs, client deposits are allocated across the Network Institutions striving to ensure full insurance. StoneCastle may add and remove Network Institutions in the FICA Programs at its sole discretion. The FICA Programs offer daily deposit availability, next-day liquidity, and a competitive yield. StoneCastle is not a member of the FDIC or National Credit Union Administration (NCUA), but the Network Institutions where FICA client funds are placed are FDIC and/or NCUA members. FDIC and NCUA are independent agencies of the U.S. government that protect the funds depositors place in FDIC and NCUA insured institutions up to the prescribed limits.

FDIC and NCUA deposit insurance is backed by the full faith and credit of the U.S. government. StoneCastle clients may impose exclusions of deposits (opt-out) to specific Network Institutions. All such features and exclusions are outlined in a client’s written agreement with StoneCastle. 1 Credit unions are not utilized for public entity clients. StoneCastle Cash Management, LLC – Form ADV Part 2A – Firm Brochure – Page 2 ICA The Institutional Cash Account is StoneCastle’s non-insured cash management product offering daily deposit availability at a competitive interest rate. ICA provides institutional depositors with access to highly rated banks (“ICA Banks”) via a single account utilizing a single application. While StoneCastle initially engages banks to be participating banks for ICA, ICA clients assume credit risk of ICA Banks and have discretion into which ICA Banks to deposit funds. ICA clients may withdraw, deposit, or move funds from one bank to another on any business day for any reason. StoneCastle considers the assets under management of the ICA product to be non-discretionary because ICA clients have full discretion to choose which participating banks in which to deposit funds. StoneCastle does not participate in wrap fee programs. As of December 31, 2022, StoneCastle had discretionary assets under supervision of approximately $4,159,834,091. As of December 31, 2022, StoneCastle had non-discretionary assets under management of approximately $2,920,081,791.