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Castle Creek Convertible Arbitrage, LLC (Chicago)


Castle Creek Convertible Arbitrage, LLC is a large advisory firm based in Chicago. It manages $128.99 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2005.

Castle Creek Convertible Arbitrage 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.

Castle Creek Convertible Arbitrage: assets under management

The assets under management (AUM) of Castle Creek Convertible Arbitrage, LLC is $128.99 million, all of which is managed in discretionary accounts. The company doesn't manage any assets belonging to foreign clients.


The firm manages $128.99 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $64.49 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Castle Creek Convertible Arbitrage, LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
Daniel Bruce Asher President 1 Oct 1995 75% - 100% 1645627

Based in Chicago

The principal office where Castle Creek Convertible Arbitrage, LLC performs its advisory services is located at 111 West Jackson Blvd., Chicago, IL 60604 3589, 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 312.692.7550 or by fax 312.692.7551. The normal business hours are 8:00 am -4:30 pm on Monday - Friday.


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