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| Stonecastle Asset Management LLC
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|---|---|
| CRD # | 166252 |
| SEC # | 801-77433 |
| CIK # | 0001587566 |
| AUM | 7.5 M (2026-03-31) |
| Employees | 6 (17% Investors, 17% Brokers) |
| Fees | |
| Minimum | |
| Phone | 212-354-6500 |
| Address | 152 West 57th Street New York, NY 10019 |
| Source | [IAPD] [EDGAR] [Website] [Twitter] [LinkedIn] |
| Total AUM ($M) |
|---|
| Fees and Compensation — Form ADV Part 2A (3/31/2026) [Brochure] |
|---|
Item 5 – Fees and Compensation
The specific manner in which fees are charged by StoneCastle is established in a client’s
written agreement with StoneCastle. The fee is paid pursuant to an investment
management agreement and is not negotiable.
Investment management services may be terminated in accordance with the terms
outlined in each respective investment management agreement.
Whether fees are paid in advance or arrears is negotiated and determined on a case by case
basis and is set forth in the related advisory contract.
StoneCastle Asset Management LLC – Form ADV Part 2A – Page 1 |
| Account Minimums and Types of Clients — Form ADV Part 2A (3/31/2026) [Brochure] |
|---|
Item 7 – Types of Clients StoneCastle provides non-discretionary investment management services to an insurance company. |
| AUM Breakdown | Accounts | AUM ($M) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 0 | 0.0 |
| (b) Individuals (high net worth individuals) | 0 | 0.0 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 0 | 0.0 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 0 | 0.0 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 1 | 7.5 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 0 | 0.0 |
| Total | 1 | 7.5 |
| By Discretionary | ||
| Discretionary | 0 | 0.0 |
| Non-Discretionary | 1 | 7.5 |
| Total | 1 | 7.5 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 7.5 | |
| Total | 1 | 7.5 |
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 3 | [0001587566] |
| Firm Profile (Form ADV) | |
|---|---|
| Discretionary AUM | $0.1B |
| Serves | Institutional |
| LEI | 254900S2PO2TAWBIB667 |
| Form 3/4/5 Subject | 2011 - 2026 |
|---|---|
| StoneCastle Asset Management LLC | |
| ArrowMark Financial Corp |
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|---|---|---|
|
Stonecastle Advisors LLC
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|
NY | 763.4 M |
|
Stonecastle Asset Management LLC
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|
NY | 7.5 M |
|
Stonecastle Cash Management LLC
✚
|
NY |
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