# CITIGROUP ALTERNATIVE INVESTMENTS LLC

CITIGROUP ALTERNATIVE INVESTMENTS LLC of NEW YORK, NY is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 119537
- Type: SEC-registered investment adviser
- SEC file number: 801-60990
- Location: 388 GREENWICH STREET, NEW YORK, NY, 10013
- Phone: 212-816-4350
- Latest filing: 2026-06-17
- Regulatory AUM: $127.4M
- Discretionary AUM: $127.4M
- Clients: 15
- Accounts: 13

## Business model

- Compensation: % of AUM, Performance
- Clients served: Investment cos

## Officers, owners & control persons (39)

_Showing 25 of 39 people._

| Name | Role | Location |
| --- | --- | --- |
| [Scott Perry Spilkevitz](https://search.stillhousedata.com/person/689864) | CHIEF COMPLIANCE OFFICER | — |
| [Craig Barrack](https://search.stillhousedata.com/person/704396) | GENERAL COUNSEL | New York, NY |
| [KIM MILLIE](https://search.stillhousedata.com/person/729821) | CHIEF LEGAL OFFICER | — |
| [HANSEN WILLIAM J](https://search.stillhousedata.com/person/729824) | TREASURER | — |
| [COVELL CHARLES ARTHUR ALAN](https://search.stillhousedata.com/person/729828) | EXECUTIVE VICE PRESIDENT; EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER | — |
| [FELDMAN ANDREW ELIOT](https://search.stillhousedata.com/person/737216) | CHIEF LEGAL OFFICER & SECRETARY | — |
| [ZELTER JAMES CHARLES](https://search.stillhousedata.com/person/740144) | CHIEF INVESTMENT OFFICER | — |
| [KELLY DANIEL JOSEPH](https://search.stillhousedata.com/person/740812) | CHIEF EXECUTIVE OFFICER AND PRESIDENT; MANAGING MEMBER | — |
| [WILLIAMS BRYAN ROBERT](https://search.stillhousedata.com/person/741372) | CHIEF OPERATING OFFICER | — |
| [ISLAM REAZ NMN](https://search.stillhousedata.com/person/745463) | MANAGING DIRECTOR | — |
| [KIM MILLIE NMN](https://search.stillhousedata.com/person/745464) | CHIEF LEGAL OFFICER; MANAGING MEMBER | — |
| [ROELOFS RICHARD PAUL](https://search.stillhousedata.com/person/745465) | CHIEF COMPLIANCE OFFICER | — |
| [CASE ROBERT ANTHONY](https://search.stillhousedata.com/person/745466) | CHIEF ADMINISTRATIVE OFFICER; CHIEF ADMINISTRATIVE OFFICER; MANAGING MEMBER | — |
| [BARR DEAN SHERMAN](https://search.stillhousedata.com/person/745467) | HEAD OF LIQUID MARKETS; HEAD OF LIQUID MARKETS; MANAGING MEMBER | — |
| [ARNOLD WILLIAM ALFRED](https://search.stillhousedata.com/person/745468) | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER AND TREASURER; MANAGING MEMBER; CHIEF FINANCIAL OFFICER; MANAGING MEMBER | — |
| [FROMAN MICHAEL BRAVERMAN](https://search.stillhousedata.com/person/745469) | CHIEF OPERATING OFFICER | — |
| [DUNNE JAMES JOSEPH](https://search.stillhousedata.com/person/748575) | PRESIDENT | — |
| [OBRIEN BRIEN MICHAEL](https://search.stillhousedata.com/person/759554) | CO- CEO; MANAGING MEMBER | — |
| [ISLAM REAZ](https://search.stillhousedata.com/person/762287) | MANAGING DIRECTOR | — |
| [SMITH NEIL RODNEY](https://search.stillhousedata.com/person/762288) | MANAGING DIRECTOR | — |
| [NEBORAK MICHAEL KENT](https://search.stillhousedata.com/person/762289) | CHIEF FINANCIAL OFFICER | — |
| [CARPENTER MICHAEL ALAN](https://search.stillhousedata.com/person/762290) | CHIEF EXECUTIVE OFFICER | — |
| [PANDIT VIKRAM SHANKAR](https://search.stillhousedata.com/person/768122) | CHAIRMAN AND CHIEF EXECUTIVE OFFICER; MANAGING MEMBER | — |
| [HAVENS JOHN PAUL](https://search.stillhousedata.com/person/768123) | CHAIRMAN; PRESIDENT; MANAGING MEMBER | — |
| [TYSON DAVID ALAN](https://search.stillhousedata.com/person/772312) | CHIEF INVESTMENT OFFICER | — |


## Disclosures (12)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2020-10-07 | regulatory | THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM ("FED") IDENTIFIED SIGNIFICANT ONGOING DEFICIENCIES IN IMPLEMENTATION AND EXECUTION BY CITIGROUP WITH RESPECT TO VARIOUS AREAS OF RISK MANAGEMENT AND INTERNAL CONTROLS, INCLUDING FOR DATA QUALITY MANAGEMENT AND REGULATORY REPORTING, COMPLIANCE RIS… | Final | — |
| 2015-08-17 | regulatory | ALLEGED VIOLATIONS OF SECTIONS 17(A)(2) AND 17(A)(3) OF THE SECURITIES ACT AGAINST CITIGROUP GLOBAL MARKETS INC. (CGMI) AND CITIGROUP ALTERNATIVE INVESTMENTS LLC (CAI), SECTION 206(2) AGAINST CGMI, AND SECTIONS 206(4) OF THE ADVISERS ACT, RULE 206(4)-7 PROMULGATED THEREUNDER, AND RULE 206(4)-8 PROMU… | Final | — |
| 2015-05-20 | regulatory | ON MAY 20, 2015, CITIGROUP INC. ("CITIGROUP") CONSENTED TO THE ISSUANCE OF AN ORDER TO CEASE AND DESIST AND ORDER OF ASSESSMENT OF A CIVIL MONEY PENALTY (THE "ORDER") BY THE U.S. BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM ("FRB"). CITIGROUP AGREED TO PAY A PENALTY OF $342 MILLION AND TO FURTHE… | Final | $342.0M |
| 2014-07-11 | regulatory | THE DOJ AND STATE AGS ALLEGED THAT CITI MISREPRESENTED THE QUALITY AND CHARACTERISTICS OF THE MORTGAGE LOANS IT SECURITIZED AND SOLD TO INVESTORS, INCLUDING THAT THE LOANS WERE ORIGINATED IN ACCORDANCE WITH UNDERWRITING GUIDELINES AND IN COMPLIANCE WITH FEDERAL, STATE AND LOCAL LAWS AND REGULATIONS.… | Final | $4.5B |


## Private funds (7)

Mix: Private Equity Fund 3 · Real Estate Fund 4

| Fund | Type | Formed | Owners | GAV | Min investment |
| --- | --- | --- | --- | --- | --- |
| ASIA ENTERPRISE III OFFSHORE L.P. | Private Equity Fund | Cayman Islands | 89 | $63.9M | $250K |
| ASIA ENTERPRISE III ONSHORE L.P. | Private Equity Fund | Delaware | 221 | $33.8M | $250K |
| REAL ESTATE PARTNERS FOF II (INSTITUTIONAL) L.P. | Real Estate Fund | Delaware | 22 | $7.3M | $5.0M |
| REAL ESTATE PARTNERS FOF II, L.P. | Real Estate Fund | Delaware | 141 | $6.4M | $250K |
| INDIA INFRASTRUCTURE OPPORTUNITIES L.P. | Private Equity Fund | Cayman Islands | 11 | $6.0M | $250K |
| REAL ESTATE PARTNERS FOF LLC | Real Estate Fund | Delaware | 193 | $4.5M | $250K |
| REAL ESTATE PARTNERS FOF INSTITUTIONAL LLC | Real Estate Fund | Delaware | 7 | $1.4M | $500K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/119537/brochure
- Similar advisers: https://search.stillhousedata.com/firm/119537/similar
- Related entities: https://search.stillhousedata.com/firm/119537/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/119537

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.