9AT: STONECASTLE ASSET MANAGEMENT, LLC

Advisers
STONECASTLE ASSET MANAGEMENT, LLC
Summary

STONECASTLE ASSET MANAGEMENT, LLC

STONECASTLE ASSET MANAGEMENT, LLC

Summary Contacts Filings Brochure Private Funds Service Providers

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Adviser Profile

As of Date	03/31/2026
Registration	SEC, Approved, 01/03/2013
ADV Location	NEW YORK, NY, United States
Contact Info	212 xxxxxxx
Websites

Details

https://www.scpdevco.com/

AUM^*	7,500,000
of that, discretionary	0
Number of Employees	6 -33%
of those in investment advisory functions	1 -50%
Private Fund GAV^*	0
Avg Account Size	7,500,000
SMA’s	No
Private Funds	0

Adviser Type

- Related adviser

Client Types

- Insurance companies

Advisory Activities

- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management

Reported AUM

206M 177M 147M 118M 88M 59M 29M

2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

StoneCastle Asset Management LLC was formed in November 2012 and is a wholly‐ owned subsidiary of StoneCastle Advisory Services, LLC. StoneCastle Advisory Services, LLC is a wholly‐owned subsidiary of StoneCastle Partners, LLC. StoneCastle may offer advice on fixed income securities (including, without limitation, trust preferred securities, subordinated debt securities and structured finance securities) issued by financial institutions (including, without limitation, banks, thrifts, credit unions or similar financial institutions or holding companies thereof) or special purpose vehicles or corporations,

and to a lesser extent, equity securities. StoneCastle will tailor its advisory services according to the individual needs and requests of clients. Additionally, clients may impose restrictions on investing in certain securities or types of securities. All such features and restrictions would be set forth in a client’s written advisory agreement with StoneCastle. StoneCastle does not participate in wrap fee programs. As of December 31, 2023, StoneCastle had discretionary assets under management of approximately $0. As of December 31, 2023, StoneCastle had $7,500,000 non‐discretionary assets under management.

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STONECASTLE ASSET MANAGEMENT, LLC

STONECASTLE ASSET MANAGEMENT, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

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