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CRD 119126
NEW YORK, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| SMC GROWTH CAPITAL PARTNERS II, LP | Private Equity Fund | $157M | Sep 30, 2024 | 137 | Aug 8, 2014 | reported | 021-221282 |
| SMC GROWTH CAPITAL PARTNERS III, LP | Private Equity Fund | $137M | Sep 30, 2024 | 230 | Mar 31, 2021 | reported | 021-391559 |
| SMC TOTAL RETURN FUND, LP | Hedge Fund | $72.1M | Sep 30, 2024 | 30 | Mar 26, 2018 | reported | 021-284819 |
| SMC HOLDINGS II, LP | Private Equity Fund | $62.7M | Sep 30, 2024 | 205 | Mar 30, 2012 | reported | 021-175884 |
| SMC PRIVATE CAPITAL FUND, LP | Private Equity Fund | $49.3M | Sep 30, 2024 | 52 | Jun 4, 2018 | reported | 021-303629 |
| SMC PRIVATE EQUITY HOLDINGS, LP | Private Equity Fund | $25.6M | Sep 30, 2024 | 89 | Mar 26, 2014 | reported | 021-199703 |
| SMC ALPHA PLUS FUND, LP | Hedge Fund | $13.9M | May 30, 2017 | 5 | Aug 8, 2014 | dropped | 021-212063 |
| SMC PRIVATE CAPITAL FUND II, LP | Private Equity Fund | $12.0M | Sep 30, 2024 | 16 | Mar 30, 2023 | reported | 021-452976 |
| WHIN OPPORTUNITY FUND, LP | Private Equity Fund | $11.5M | Sep 30, 2024 | 7 | Mar 31, 2022 | reported | 021-427748 |
| SMC ALTERNATIVE STRATEGIES FUND, LTD. | Hedge Fund | $8.7M | Dec 1, 2016 | 23 | Mar 30, 2012 | dropped | 021-58397 |
| SMC ASSET ALLOCATION FUND, LP | Hedge Fund | $8.3M | Aug 22, 2013 | 7 | Mar 30, 2012 | dropped | 021-175882 |
| SMC ALTERNATIVE STRATEGIES FUND, LLC | Hedge Fund | $7.8M | May 30, 2017 | 43 | Mar 30, 2012 | dropped | 021-58169 |
| SMC SELECT CO-INVESTMENT FUND I, LP | Private Equity Fund | $7.4M | Oct 25, 2022 | 20 | Mar 30, 2012 | dropped | 021-109625 |
| AOZORA - SMC ALTERNATIVE STRATEGIES FUND, LTD. | Hedge Fund | $7.4M | Dec 1, 2016 | 1 | Mar 30, 2012 | dropped | n/a |
| SMC HOLDINGS I, LP | Private Equity Fund | $6.3M | Oct 25, 2022 | 8 | Mar 30, 2012 | dropped | 021-175883 |
| SMC RESERVE FUND II, LP | Hedge Fund | $5.4M | Mar 22, 2019 | 0 | Mar 30, 2012 | dropped | 021-106875 |
| SPRING MOUNTAIN PARTNERS QP I, LP | Hedge Fund | $4.5M | May 30, 2017 | 57 | Mar 30, 2012 | dropped | 021-47745 |
| SPRING MOUNTAIN PARTNERS OVERSEAS I, LTD. | Hedge Fund | $4.3M | Dec 1, 2016 | 10 | Mar 30, 2012 | dropped | 021-46696 |
| SMC RESERVE FUND II OFFSHORE, LP | Hedge Fund | $3.6M | Nov 9, 2020 | 1 | Mar 30, 2012 | dropped | 021-90476 |
| SMC HOLDINGS III, LP | Private Equity Fund | $1.4M | Oct 25, 2022 | 16 | Mar 30, 2012 | dropped | 021-175885 |
| CENTIGRADE FUND LIMITED | Hedge Fund | $1.1M | Dec 1, 2016 | 18 | Mar 30, 2012 | dropped | 021-90485 |
| SPRING MOUNTAIN BLUE FUND, LP | Hedge Fund | $927,426 | May 11, 2023 | 5 | Mar 31, 2015 | dropped | n/a |
| SMC NEW WORLD FUND, LP | Hedge Fund | $913,220 | Aug 15, 2012 | 6 | Mar 30, 2012 | dropped | 021-125194 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| HO, GREGORY, PAUL | Trustee | F | yes | 12/2007 | Mar 30, 2012 | Sep 30, 2024 |
| HO, GREGORY, PAUL | Member | C | yes | 10/2001 | Mar 30, 2012 | Sep 30, 2024 |
| HO, GREGORY, PAUL | TRUSTEE OF JOHN L. STEFFENS 2001 DESCENDANTS' TRUST | C | yes | 10/2001 | Mar 30, 2012 | Sep 30, 2024 |
| JOHN L. STEFFENS 2001 DESCENDANTS' TRUST | LIMITED PARTNER | C | yes | 10/2001 | Mar 30, 2012 | Sep 30, 2024 |
| JOHN L. STEFFENS 2001 DESCENDANTS' TRUST | Member | C | yes | 12/2008 | Mar 30, 2012 | Sep 30, 2024 |
| SPRING MOUNTAIN CAPITAL, LLC | GENERAL PARTNER | Na | yes | 06/2001 | Mar 30, 2012 | Sep 30, 2024 |
| STEFFENS, JOHN, LAUNDON | Member | C | yes | 10/2001 | Mar 30, 2012 | Sep 30, 2024 |
| STEFFENS, JOHN, LAUNDON | INVESTMENT TRUSTEE OF JOHN L. STEFFENS 2001 DESCENDANTS' TRUST | C | yes | 10/2001 | Mar 30, 2012 | Sep 30, 2024 |
| Kronket, Michael, William | CHIEF COMPLIANCE OFFICER | Na | no | 09/2024 | Sep 30, 2024 | Sep 30, 2024 |
| SHARP, TARA, C. | GENERAL COUNSEL | Na | no | 11/2021 | Mar 30, 2012 | Sep 30, 2024 |
| WOO, KRIS, KYUNG HO | CHIEF FINANCIAL OFFICER | Na | no | 02/2017 | Mar 22, 2017 | Sep 30, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| SMC GROWTH CAPITAL II GP, LLC | n/a | n/a | n/a | N | yes | n/a |
| SMC GROWTH CAPITAL III GP, LLC | n/a | n/a | n/a | N | yes | n/a |
| SMC HOLDINGS II G.P., LLC | n/a | n/a | n/a | N | yes | n/a |
| SMC PRIVATE CAPITAL GP, LLC | n/a | n/a | n/a | N | yes | n/a |
| SMC PRIVATE EQUITY HOLDINGS G.P., LLC | n/a | n/a | n/a | N | yes | n/a |
| SMC TOTAL RETURN GP, LLC | n/a | n/a | n/a | N | yes | n/a |
| SPRING MOUNTAIN BLUE G.P., LLC | n/a | n/a | n/a | N | yes | n/a |
| SPRING MOUNTAIN CAPITAL G.P., LLC | n/a | n/a | n/a | N | yes | n/a |
| WHIN OPPORTUNITIES GP, LLC | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| WEST WINDSOR | Nj | United States | 4 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 21, 2026 | $311M | $311M | 17 | 9 | 0 | 5 | n/a |
| 2024 | Mar 28, 2025 | $1.6B | $1.6B | 31 | 19 | 1 | 8 | n/a |
| 2023 | Mar 29, 2024 | $1.7B | $1.6B | 35 | 23 | 1 | 8 | $527M |
| 2022 | Mar 30, 2023 | $1.4B | $1.3B | 29 | 18 | 3 | 9 | $557M |
| 2021 | Mar 31, 2022 | $1.2B | $1.1B | 28 | 17 | 3 | 11 | $564M |
| 2020 | Mar 31, 2021 | $756M | $689M | 23 | 17 | 1 | 10 | $388M |
| 2019 | Mar 25, 2020 | $689M | $687M | 27 | 18 | 1 | 10 | $293M |
| 2018 | Mar 22, 2019 | $705M | $703M | 26 | 17 | 1 | 11 | $283M |
| 2017 | Mar 26, 2018 | $756M | $753M | 27 | 19 | 1 | 10 | $278M |
| 2016 | Mar 22, 2017 | $908M | $903M | 18 | 14 | n/a | 12 | $250M |
| 2015 | Mar 30, 2016 | $1.0B | $992M | 27 | 14 | n/a | 16 | $276M |
| 2014 | Mar 31, 2015 | $1.2B | $1.2B | 32 | 17 | n/a | 16 | $315M |
| 2013 | Mar 26, 2014 | $1.5B | $629M | 32 | 17 | n/a | 13 | $340M |
| 2012 | Mar 28, 2013 | $1.6B | $585M | 40 | 24 | n/a | 13 | $327M |
| 2011 | Mar 30, 2012 | $1.6B | $687M | n/a | n/a | n/a | 14 | $363M |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 2 | -2 | n/a | 0 | 0 | 0 | 0 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $311M | $1.6B | -80.6% | $1.4B | -39.1% | 17 | 31 | 0 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| STIFEL CAPITAL MANAGEMENT, LLC | 2 | Feb 13, 2026 | Feb 11, 2026 | WEST WINDSOR, NJ | Team lift out | Other | 100.0% |