Regatta Loan Management LLC (New York)

Regatta Loan Management LLC is a large advisory firm based in New York. It manages $2.73 billion of regulatory assets for 6 client accounts. It has been registered with the SEC as an adviser since 2015 and has operated in the jurisdiction of New York.

Regatta Loan Management provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Regatta Loan Management: assets under management

The assets under management (AUM) of Regatta Loan Management LLC is $2.73 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 1702% since the beginning of its operation, and $2.73 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $2.73 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $454.84 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Regatta Loan Management LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients John Adler Crystal serves?

The only and largest group of clients of John Adler Crystal is pooled investment vehicles with 7 clients and $2.73 billion of assets under management. Among the 7 most similar advisory firms, Regatta Loan Management has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $2.73 billion for 7 clients. 100% of the firm’s clients are foreign persons or businesses.

Regatta Loan Management also advises several private funds. Namely, six securitized asset funds. The minimum investment commitment required of non-related persons is $250,000 for each fund.

Careers at Regatta Loan Management LLC

The company employs 2 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

John Adler Crystal has been acting as President since 1 Apr 2015. Scott Jason Lorinsky joined the executive team most recently as the Chief Legal Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Napier Park Global Capital Llc	Sole member	1 Feb 2015	75% - 100%	166333
John Adler Crystal	Director	1 Apr 2015	Other	4199471
Peter Dana Noris	Director	1 Apr 2015	Other	1327281
Michael Robert Williams	Director/president	1 Apr 2015	Other	5699831
Jonathan Louis Dorfman	Chief executive officer	1 Apr 2015	Other	4025919
Jeffrey Lloyd Traum	General counsel	1 Apr 2015	Other	1533364
Sonia Plata	Chief compliance officer	1 Apr 2015	Other	6170165
Scott Jason Lorinsky	Chief legal officer	1 Jan 2016	Other	5862325
Regatta Partners Llc	Member	1 Jan 2016	75% - 100%	37-1789535

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Napierp Park Global Capital Lp	Partner	1 Sep 2012	75% - 100%	80-0857707
Napier Park Global Capital (Us) Gp Llc	General partner	1 Apr 2014	Other	80-0857707
Wanaka Fund Ltd.	Member	1 Jan 2016	25% - 50%	66-0808589
The Regents Of The University Of California	Shareholder	1 Jan 2016	75% - 100%	94-3067788

Based in New York

The principal office where Regatta Loan Management LLC performs its advisory services is located at 280 Park Avenue, 3 Rd Floor, New York, NY 10017, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-235-0700 or by fax 212-235-0706. The normal business hours are 9am-6pm on Monday - Friday.