Investment adviser · CRD 283750
SPRING LAKE ASSET MANAGEMENT, INC.
· Form ADV filed Feb 11, 2022
- Regulatory AUM
- $1.12B Form ADV · Item 5.F
- Client accounts
- 3 Accounts, not individual clients
- Employees
- 7 Reported in this filing
- Advisory professionals
- 5 Investment advisory functions
How this adviser has changed
Annual filingsRegulatory assets under management
Up to five fiscal years, using the latest annual update available at the selected filing date. Asset changes can reflect acquisitions, client flows, and valuations; they are not investment returns.
| Fiscal year | Regulatory AUM | Employees | Filed |
|---|---|---|---|
| 2021 | $1,124,530,219 | 7 | Feb 11, 2022 |
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 |
|---|---|---|---|
| Pooled investment vehicles | 3 | $1,124,530,219 | 100.0% |
Filing source
Form ADV 1599563 · Feb 11, 2022 · Item 5.D
Reported by SPRING LAKE ASSET MANAGEMENT, INC. (CRD 283750).
Annual Updating Amendment for Registered Adviser · fiscal year 2021.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
Private funds & service providers
2 detailed fund recordsLargest reported gross asset value first; unreported values last. Gross asset value is fund-level disclosure, distinct from adviser AUM and Form D fundraising. Master and feeder funds may overlap.
SPRING LAKE UNCONSTRAINED MUNICIPAL OPPORTUNITIES FUND, LLCHedge Fund · Master$981MGross asset value
Form D fundraising filings
View filings for the issuer linked by this fund’s reported Form D file numbers.
Provider details
- Annual audit
- Yes
- Prime brokers
- Yes
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
RSM US LLP
PCAOB 49
PERSHING LLC
SEC 8-17574
WINTRUST FINANCIAL CORPORATION
LEI Q774KI4AW80FHFW33O61
PERSHING LLC
CRD 7560 · SEC 8-17574
Fund details & source
- Fund ID
- 805-7653328705
- Reported beneficial owners
- 138
- Minimum commitment
- $0
- Form D file number
- 021-236835
Form ADV 1599563 · Feb 11, 2022 · Schedule D 7.B.(1)
Reported by SPRING LAKE ASSET MANAGEMENT, INC. (CRD 283750).
Annual Updating Amendment for Registered Adviser · fiscal year 2021.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
SPRING LAKE UNCONSTRAINED MUNICIPAL OPPORTUNITIES FUND II, LLCHedge Fund$144MGross asset value
Form D fundraising filings
View filings for the issuer linked by this fund’s reported Form D file numbers.
Provider details
- Annual audit
- Yes
- Prime brokers
- Yes
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
RSM US LLP
PCAOB 49
PERSHING LLC
SEC 8-17574
WINTRUST FINANCIAL CORPORATION
LEI Q774KI4AW80FHFW33O61
PERSHING LLC
CRD 7560 · SEC 8-17574
Fund details & source
- Fund ID
- 805-7223126241
- Reported beneficial owners
- 94
- Minimum commitment
- $0
- Form D file number
- 021-286312
Form ADV 1599563 · Feb 11, 2022 · Schedule D 7.B.(1)
Reported by SPRING LAKE ASSET MANAGEMENT, INC. (CRD 283750).
Annual Updating Amendment for Registered Adviser · fiscal year 2021.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
Services & filing details
Showing values from the selected filing. Latest observed filing does not establish current registration status.
What changed?
No comparable changes in the displayed metrics.
Filing source
Form ADV 1599563 · Feb 11, 2022 · Items 1 & 5
Reported by SPRING LAKE ASSET MANAGEMENT, INC. (CRD 283750).
Annual Updating Amendment for Registered Adviser · fiscal year 2021.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
Management of assets
- Discretionary
- $1.12B
- Non-discretionary
- $0
Reported services
Pooled investment vehicle management
Compensation
Percentage of assets · Performance-based
Principal office
CRD 283750
Filing source
Form ADV 1599563 · Feb 11, 2022 · Items 1 & 5
Reported by SPRING LAKE ASSET MANAGEMENT, INC. (CRD 283750).
Annual Updating Amendment for Registered Adviser · fiscal year 2021.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.