Investment adviser · CRD 104532
NEWFLEET ASSET MANAGEMENT, LLC
Investment adviser filing (IA)
HARTFORD, CT, United States · Form ADV filed Mar 31, 2022
- Regulatory AUM
- $10.1B Form ADV · Item 5.F
- Client accounts
- 26 Accounts, not individual clients
- Employees
- 28 Reported in this filing
- Advisory professionals
- 25 Investment advisory functions
Who they report serving
Form ADV · Item 5.DClient types and their share of reported regulatory assets.
| Client type | Clients | Regulatory assets | Share of AUM |
|---|---|---|---|
| Investment companies | 18 | $9,426,712,692 | 93.0% |
| Pooled investment vehicles | 4 | $454,598,403 | 4.5% |
| Other investment advisers | 1 | $212,552,162 | 2.1% |
| Corporations & businesses | 2 | $39,526,003 | 0.4% |
| High-net-worth individuals | 1 | $7,700,240 | 0.1% |
Filing source
Form ADV 1635208 · Mar 31, 2022 · 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
3 Private fundsThe count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.
NEWFLEET CLO 2016-1 LTD.Securitized Asset Fund · Last reported Mar 31, 2022$300MGross asset value
Provider details
- Annual audit
- No
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
BNY MELLON CAPITAL MARKETS, LLC
SEC 8-35255
Fund details & source
- Fund ID
- 805-8198420563
- Reported beneficial owners
- 11
- Minimum commitment
- $250K
Form ADV 1635208 · Mar 31, 2022 · 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.
BRODERICK CDO 1 LTD.Securitized Asset Fund · Last reported Mar 31, 2022$175MGross asset value
Provider details
- Annual audit
- No
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
BNY MELLON CAPITAL MARKETS, LLC
SEC 8-35255
Fund details & source
- Fund ID
- 805-2890188394
- Reported beneficial owners
- 0
- Minimum commitment
- $250K
Form ADV 1635208 · Mar 31, 2022 · 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.
CALDECOTT CDO 1 LTD.Securitized Asset Fund · Last reported Jan 16, 2020$250KGross asset value
Provider details
- Annual audit
- No
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
BNY MELLON CAPITAL MARKETS, LLC
SEC 8-35255
Fund details & source
- Fund ID
- 805-5431121426
- Reported beneficial owners
- 0
- Minimum commitment
- $250K
Form ADV 1369950 · Jan 16, 2020 · 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.
Services & filing details
Most recent filing: Mar 31, 2022. View historical filings
Reported services
Individual portfolio management · Investment company portfolio management · Pooled investment vehicle management · Business portfolio management
Compensation
Percentage of assets · Performance-based
Principal office
ONE FINANACIAL PLAZAHARTFORD, CT, 06103, United States
CRD 104532
Filing source
Form ADV 1635208 · Mar 31, 2022 · Items 1 & 5
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.