Stonecastle Advisors, LLC

StoneCastle Advisors, LLC is a registered investment adviser specializing in providing investment services to institutional clients, particularly securitized asset funds or asset-backed investment vehicles. Established in 2003, StoneCastle focuses on limited types of investments, including fixed income securities issued by financial institutions or special purpose vehicles. As of December 31, 2024, the firm had discretionary assets under management of approximately $1,049,566,334. StoneCastle's fee structure involves collateral management fees disclosed in offering documents and negotiated client fees determined on a case-by-case basis. The firm does not charge performance-based fees and follows an investment allocation policy to ensure fair distribution of opportunities. StoneCastle's investment strategies include long-term purchases based on fundamental analysis and rigorous issuer screening. Clients of StoneCastle include securitized asset funds, with terms varying based on services provided. The firm emphasizes credit quality in its investment approach and conducts detailed analysis before making investment decisions. StoneCastle discloses potential conflicts of interest and has adopted a Code of Ethics to ensure fair business conduct. The firm does not engage in principal trading or soft dollar relationships and does not maintain physical custody of client assets. StoneCastle provides regular reports to clients and does not currently offer compensation for client referrals. Proxy voting is not applicable due to the nature of the securities transacted. StoneCastle has no financial conditions impairing its ability to meet client commitments.