Investment adviser · CRD 135351

CASTLE CREEK STRATEGIES, LLC

Investment adviser filing (IA)

CASTLE CREEK ARBITRAGE, LLC

· Form ADV filed Mar 7, 2023

Regulatory AUM: $1.37B
Client accounts: 6
Employees: 10
Advisory professionals: 3

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Pooled investment vehicles	6	$1,365,259,000	100.0%

Filing source

Form ADV 1721231 · Mar 7, 2023 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

4 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

CC ARB WEST, LLCHedge Fund · Last reported Mar 7, 2023$918MGross asset value

Form D fundraising filings

CC ARB West, LLC

Fund administrator HSBC SECURITIES SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor DELOITTE & TOUCHE CHICAGO, Illinois, United States

Custodian BNP PARIBAS PRIME BROKERAGE, INC. CHICAGO, Illinois, United States Related to adviser: No

Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

Custodian NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States Related to adviser: No

Custodian PERSHING LLC JERSEY CITY, New Jersey, United States Related to adviser: No

Custodian TD PRIME SERVICES LLC NEW YORK, New York, United States Related to adviser: No

Prime broker BNP PARIBAS PRIME BROKERAGE, INC. CHICAGO, Illinois, United States

Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States

Prime broker NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States

Prime broker PERSHING LLC JERSEY CITY, Illinois, United States

Prime broker TD PRIME SERVICES LLC NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

DELOITTE & TOUCHE
PCAOB 1096

BNP PARIBAS PRIME BROKERAGE, INC.
SEC 8-40490

J.P. MORGAN SECURITIES LLC
SEC 8-35008

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

PERSHING LLC
SEC 8-17574

TD PRIME SERVICES LLC
SEC 8-3337

BNP PARIBAS PRIME BROKERAGE, INC.
CRD 24962 · SEC 8-40490

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

NATIONAL FINANCIAL SERVICES LLC
CRD 13041 · SEC 8-26740

PERSHING LLC
CRD 7560 · SEC 8-17574

TD PRIME SERVICES LLC
CRD 1914 · SEC 8-3337

Fund details & source

Fund ID: 805-6673125467
Reported beneficial owners: 2
Minimum commitment: $50M
Form D file number: 021-195258
Form D file number: 021-366721

Form ADV 1721231 · Mar 7, 2023 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

CC ARBITRAGE, LTD.Hedge Fund · Last reported Mar 7, 2023$282MGross asset value

Feeder funds