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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

CASTLE CREEK STRATEGIES, LLC

CASTLE CREEK ARBITRAGE, LLC, CRD 135351

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5fe565a6-207c-7f38-a43c-98c184503b42

Data as of Mar 7, 2023 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 3
On other graphs: 0
Observed: Mar 30, 2012 to Mar 7, 2023
30 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.4BItem 5.F on the latest filing (2023-03-07); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.4B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10
Advisory employees: 3
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 6
Individual clients: 0
High net worth clients: 0
Private funds: 3Schedule D 7.B(1)
Private fund GAV: $1.4Bgross asset value as reported per fund; never fund size
Custody, client assets: $1.4B
SEC number: 801-65773
CRD: 135351
Filings on the tape: 30
First filed: Mar 30, 2012
Latest filed: Mar 7, 2023
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
CC ARB WEST, LLC	Hedge Fund	$918M	Mar 7, 2023	2	May 16, 2013	reported	021-195258
CC ARBITRAGE, LTD.	Hedge Fund	$282M	Mar 7, 2023	18	Mar 30, 2012	reported	021-144966
CASTLE CREEK SPAC FUND, LLC	Hedge Fund	$165M	Mar 7, 2023	13	Mar 24, 2021	reported	021-389223
CC ARB SIF I, LTD.	Hedge Fund	$74.6M	Jun 7, 2019	7	Mar 30, 2012	dropped	021-158745

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
WEINE, ALLAN, DAVID	LIMITED PARTNER	D	yes	01/2021	Mar 30, 2012	Mar 7, 2023
WEINE, ALLAN, DAVID	SOLE MEMBER	E	yes	01/2021	Mar 30, 2012	Mar 7, 2023
WEINE, ALLAN, DAVID	CHIEF INVESTMENT OFFICER	Na	yes	02/2004	Mar 30, 2012	Mar 7, 2023
WFA CAPITAL HOLDCO, L.P.	PARENT COMPANY	E	yes	01/2021	Mar 24, 2021	Mar 7, 2023
WFA CAPITAL, LLC	GENERAL PARTNER	F	yes	01/2021	Mar 24, 2021	Mar 7, 2023
FLETCHER, PETER, COLLIGAN	LIMITED PARTNER	C	no	01/2021	Mar 30, 2012	Mar 7, 2023
FLETCHER, PETER, COLLIGAN	PORTFOLIO MANAGER AND INDIRECT OWNER	Na	no	01/2005	Mar 30, 2012	Mar 7, 2023
PERZ, CHRISTINA, MARIE	CHIEF FINANCIAL OFFICER/ CHIEF COMPLIANCE OFFICER	Na	no	11/2005	Mar 30, 2012	Mar 7, 2023

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CC ARB GLOBAL LTD.	n/a	n/a	n/a	Y	yes	n/a
WFA CAPITAL HOLDCO, L.P.	n/a	n/a	n/a	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022	Mar 7, 2023	$1.4B	$1.4B	10	3	2	3	$1.4B
2021	Mar 15, 2022	$2.2B	$2.2B	11	4	4	3	$2.2B
2020	Mar 24, 2021	$2.2B	$2.2B	11	4	3	3	$2.2B
2019	Mar 24, 2020	$844M	$844M	10	4	2	2	$844M
2018	Mar 25, 2019	$773M	$773M	10	4	1	3	$773M
2017	Mar 29, 2018	$2.4B	$2.4B	16	10	1	3	$2.4B
2016	Mar 30, 2017	$2.0B	$2.0B	16	10	n/a	3	$2.0B
2015	Mar 30, 2016	$2.3B	$2.3B	17	9	n/a	3	$2.3B
2014	Mar 30, 2015	$3.3B	$3.3B	18	10	n/a	3	$3.3B
2013	Mar 28, 2014	$3.2B	$3.2B	18	10	n/a	3	$2.5B
2012	Apr 1, 2013	$2.9B	$2.9B	18	10	n/a	2	$2.3B
2011	Mar 30, 2012	$2.3B	$2.3B	n/a	n/a	n/a	2	$2.0B

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$1.4B	$2.2B	-39.0%	$844M	17.4%	10	11	2	4

Relationships

Advises (4)

→ CC ARBITRAGE, LTD.Private fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ CASTLE CREEK SPAC FUND, LLCPrivate fundHedge Fund, IA
Mar 24, 2021 to presentfactForm ADV
→ CC ARB WEST, LLCPrivate fundHedge Fund, IA
May 16, 2013 to presentfactForm ADV
→ CC ARB SIF I, LTD.Private fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Jun 7, 2019factForm ADV

Owns (2)

← PERZ, CHRISTINA, MARIEOwnerCHIEF FINANCIAL OFFICER/ CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← FLETCHER, PETER, COLLIGANOwnerLIMITED PARTNER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV

Controls (3)

← WEINE, ALLAN, DAVIDOwnerLIMITED PARTNER, ownership code D, individual
Mar 30, 2012 to presentfactForm ADV
← WFA CAPITAL HOLDCO, L.P.OwnerPARENT COMPANY, ownership code E, domestic entity
Mar 24, 2021 to presentfactForm ADV
← WFA CAPITAL, LLCOwnerGENERAL PARTNER, ownership code F, domestic entity
Mar 24, 2021 to presentfactForm ADV

Dated events

Occurred
Mar 7, 2023
Regulatory AUM changed
Castle Creek Strategies, Llc reported RAUM $1.4B, down 39% from $2.2B (2022-03-15 to 2023-03-07)
Form ADVobserved 6 days ago
$-872M
Occurred
Mar 24, 2021
Regulatory AUM changed
Castle Creek Strategies, Llc reported RAUM $2.2B, up 158% from $843.9M (2021-02-08 to 2021-03-24)
Form ADVobserved 6 days ago
$1.3B
Occurred
Mar 25, 2019
Regulatory AUM changed
Castle Creek Strategies, Llc reported RAUM $773.4M, down 67% from $2.4B (2018-05-02 to 2019-03-25)
Form ADVobserved 6 days ago
$-1.6B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5fe565a6-207c-7f38-a43c-98c184503b42
First observed: Mar 30, 2012
Last observed: Mar 7, 2023 43 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CASTLE CREEK STRATEGIES, LLC

CASTLE CREEK ARBITRAGE, LLC, CRD 135351

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5fe565a6-207c-7f38-a43c-98c184503b42

Data as of Mar 7, 2023 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:06 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

CC ARB WEST, LLC

Hedge Fund

$918M

Mar 7, 2023

May 16, 2013

reported

021-195258

CC ARBITRAGE, LTD.

Hedge Fund

$282M

Mar 7, 2023

Mar 30, 2012

reported

021-144966

CASTLE CREEK SPAC FUND, LLC

Hedge Fund

$165M

Mar 7, 2023

Mar 24, 2021

reported

021-389223

CC ARB SIF I, LTD.

Hedge Fund

$74.6M

Jun 7, 2019

Mar 30, 2012

dropped

021-158745

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

WEINE, ALLAN, DAVID

LIMITED PARTNER

yes

01/2021

Mar 30, 2012

Mar 7, 2023

WEINE, ALLAN, DAVID

SOLE MEMBER

yes

01/2021

Mar 30, 2012

Mar 7, 2023

WEINE, ALLAN, DAVID

CHIEF INVESTMENT OFFICER

yes

02/2004

Mar 30, 2012

Mar 7, 2023

WFA CAPITAL HOLDCO, L.P.

PARENT COMPANY

yes

01/2021

Mar 24, 2021

Mar 7, 2023

WFA CAPITAL, LLC

GENERAL PARTNER

yes

01/2021

Mar 24, 2021

Mar 7, 2023

FLETCHER, PETER, COLLIGAN

LIMITED PARTNER

01/2021

Mar 30, 2012

Mar 7, 2023

FLETCHER, PETER, COLLIGAN

PORTFOLIO MANAGER AND INDIRECT OWNER

01/2005

Mar 30, 2012

Mar 7, 2023

PERZ, CHRISTINA, MARIE

CHIEF FINANCIAL OFFICER/ CHIEF COMPLIANCE OFFICER

11/2005

Mar 30, 2012

Mar 7, 2023

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CC ARB GLOBAL LTD.

n/a

yes

n/a

WFA CAPITAL HOLDCO, L.P.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 7, 2023

$1.4B

2021

Mar 15, 2022

$2.2B

2020

Mar 24, 2021

$2.2B

2019

Mar 24, 2020

$844M

2018

Mar 25, 2019

$773M

2017

Mar 29, 2018

$2.4B

2016

Mar 30, 2017

$2.0B

n/a

$2.0B

2015

Mar 30, 2016

$2.3B

n/a

$2.3B

2014

Mar 30, 2015

$3.3B

n/a

$3.3B

2013

Mar 28, 2014

$3.2B

n/a

$2.5B

2012

Apr 1, 2013

$2.9B

n/a

$2.3B

2011

Mar 30, 2012

$2.3B

n/a

$2.0B

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$1.4B

$2.2B

-39.0%

$844M

17.4%