SIERRA CREST INVESTMENT MANAGEMENT LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 300069). Regulatory assets under management: $781.1M.
Compensation: % of AUM, Performance.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Edward Joseph Goldthorpe | EXECUTIVE OFFICER | — |
| Henry Han-Wei Wang | EXECUTIVE OFFICER | — |
| David Isaac Held | CHIEF COMPLIANCE OFFICER | — |
| Matthias L Ederer | EXECUTIVE OFFICER | — |
| DEVINE JOHN | CHIEF COMPLIANCE OFFICER | — |
| HELD DAVID ISAAC | CHIEF COMPLIANCE OFFICER | — |
| EDERER MATTHIAS L | EXECUTIVE OFFICER | — |
| WANG HENRY HAN-WEI | EXECUTIVE OFFICER | — |
| GOLDTHORPE EDWARD JOSEPH | EXECUTIVE OFFICER | — |
| MALPANI VEENA | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-12-04 | regulatory | THE SEC ALLEGED THAT PORTMAN RIDGE FINANCE CORPORATION (FORMERLY KNOWN AS KCAP FINANCIAL INC. ("KCAP")) FAILED TO DISTRIBUTE A CONTEMPORANEOUS WRITTEN STATEMENT DISCLOSING THE SOURCES OF THE FUNDS FOR ITS QUARTERLY DISTRIBUTION PAYMENTS AND VIOLATED THE REPORTING, BOOKS AND RECORDS, INTERNAL ACCOUNT… | Final | — |
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| GREAT LAKES KCAP F3C SENIOR, LLC | Securitized Asset Fund | Delaware | 0 | $87.8M | $250K |