J.H. WHITNEY INVESTMENT MANAGEMENT, LLC

J.H. WHITNEY INVESTMENT MANAGEMENT, LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 137542). Regulatory assets under management: $312.9M.

Registration

CRD: 137542
SEC file number: 801-65465
Type: Registered investment adviser
Location: 75 ROCKEFELLER PLAZA, 14TH FLOOR, NEW YORK, NY, 10019
Phone: 212-835-1950
Latest filing: 2013-03-19
Regulatory AUM: $312.9M
Discretionary AUM: $130.6M
Non-discretionary AUM: $182.3M
Clients: 15
Accounts: 9

Officers, owners & control persons (9)

Name	Role	Location
STONE DEREK ROBERT	CHAIRMAN; MANAGING MEMBER	—
CASTLEMAN PETER MUIR	MEMBER; NON-MANAGING MEMBER	—
CURLEY KEVIN JOHN	CHIEF COMPLIANCE OFFICER	—
O'CONNOR JOHN MICHAEL BASIL	CHIEF COMPLIANCE OFFICER; DIRECTOR (RELYING ADVISER 1); MANAGER (RELYING ADVISERS 2 AND 3); PRESIDENT/CEO (+3 more)	—
IAMICELI DANIEL CHRISTOPHER	CHIEF FINANCIAL OFFICER	—
NG WILLIAM	CEO/SENIOR PORTFOLIO MANAGER; CEO/SENIOR PORTFOLIO MANAGER/CHIEF COMPLIANCE OFFICER; CEO/SENIOR PORTFOLIO MANAGER; DIRECTOR (RELYING ADVISOR 1); MANAGING MEMBER OF THE MANAGING MEMBER (RELYING ADVISERS 2&3) (+2 more)	—
WAJS LAURA KIMBERLY	CHIEF COMPLIANCE OFFICER	—
MOSER ROLAND CHRISTIAN	CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER; DIRECTOR (RELYING ADVISER 1)	—
ZEMLANICKY PATRICIA	CHIEF FINANCIAL OFFICER	—

Private funds (3)

Fund	Type	Formed	Owners	Gross asset value	Min investment
BBH ASIAN OPPORTUNITIES FUND LTD.	Hedge Fund	—	212	$182.3M	$5.0M
J.H. WHITNEY PAN ASIA MASTER FUND	Hedge Fund	—	78	$53.0M	$1.0M
J.H. WHITNEY PAN ASIA CHINA	Hedge Fund	—	79	$8.5M	$1.0M

Fund service providers (3)

administrator: J.P. MORGAN HEDGE FUND SERVICES, A DIVISION OF JPMORGAN CHASE BANK, N.A. — 2 funds
administrator: JD CLARK
administrator: J.P. MORGAN INVESTOR SERVICES CO.

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