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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

SYCAMORE TREE CLO ADVISORS, L.P.

CRD 314626

DALLAS, TX

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:caf12d72-7ca7-0f9e-5371-4227194d27e0

Data as of Mar 31, 2022 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 2
On other graphs: 1
Observed: May 28, 2021 to Mar 31, 2022
3 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Sycamore Tree Clo Advisors, L.P.

Private equity manager · shared crd

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: $744MItem 5.F on the latest filing (2022-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $744M
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: 17
Advisory employees: 12
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 3
Private funds: 2Schedule D 7.B(1)
Private fund GAV: $526Mgross asset value as reported per fund; never fund size
SEC number: 801-121643
CRD: 314626
Filings on the tape: 3
First filed: May 28, 2021
Latest filed: Mar 31, 2022
Organised: Limited Partnership, Delaware

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
BORUD, BRADFORD, KEITH	CHIEF COMPLIANCE OFFICER	Na	yes	04/2021	May 28, 2021	Mar 31, 2022
OKADA FAMILY SYCAMORE, LLC	LIMITED PARTNER	C	yes	06/2020	May 28, 2021	Mar 31, 2022
OKADA FAMILY SYCAMORE, LLC	Member	D	yes	06/2020	May 28, 2021	Mar 31, 2022
OKADA, MARK, KIYOSHI	MEMBER/PRESIDENT/SECRETARY/TREASURER	E	yes	03/2020	May 28, 2021	Mar 31, 2022
OKADA, MARK, KIYOSHI	CHIEF EXECUTIVE OFFICER	Na	yes	04/2021	May 28, 2021	Mar 31, 2022
PARKER, LEE, BLACKWELL	CHIEF INVESTMENT OFFICER	Na	yes	04/2021	May 28, 2021	Mar 31, 2022
SYCAMORE TREE CAPITAL PARTNERS, L.P.	LIMITED PARTNER	E	yes	04/2021	May 28, 2021	Mar 31, 2022
SYCAMORE TREE GP HOLDINGS, LLC	GENERAL PARTNER	Na	yes	04/2021	May 28, 2021	Mar 31, 2022
SYCAMORE TREE GP HOLDINGS, LLC	GENERAL PARTNER	F	yes	06/2020	May 28, 2021	Mar 31, 2022
WISE, CHRISTOPHER, AARON	DIRECTOR OF FINANCE	Na	yes	04/2021	May 28, 2021	Mar 31, 2022
Yang, John, F	President	Na	yes	04/2021	May 28, 2021	Mar 31, 2022

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
SYCAMORE TREE CAPITAL PARTNERS, L.P.	n/a	Asset manager	$3.5B	Y	yes	n/a
SYCAMORE TREE CLO FUND GP, LLC	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
NEW YORK	NY	United States	2	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
2021	Mar 31, 2022	$744M	$744M	17	12	1	2	$526M

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
2021	$744M	n/a	n/a	n/a	n/a	17	n/a	1	n/a

Relationships

Affiliated with (2)

← SYCAMORE TREE CAPITAL PARTNERS, L.P.Registered adviserother investment adviser, control, common control
factForm ADV
→ SYCAMORE TREE CAPITAL PARTNERS, L.P.Registered adviserother investment adviser, control, common control
factForm ADV

Controls (8)

← Yang, John, FOwnerPRESIDENT, ownership code NA, individual
May 28, 2021 to presentfactForm ADV
← OKADA, MARK, KIYOSHIOwnerMEMBER/PRESIDENT/SECRETARY/TREASURER, ownership code E, individual
May 28, 2021 to presentfactForm ADV
← PARKER, LEE, BLACKWELLOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
May 28, 2021 to presentfactForm ADV
← BORUD, BRADFORD, KEITHOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 28, 2021 to presentfactForm ADV
← WISE, CHRISTOPHER, AARONOwnerDIRECTOR OF FINANCE, ownership code NA, individual
May 28, 2021 to presentfactForm ADV
← OKADA FAMILY SYCAMORE, LLCOwnerLIMITED PARTNER, ownership code C, domestic entity
May 28, 2021 to presentfactForm ADV
← SYCAMORE TREE CAPITAL PARTNERS, L.P.OwnerLIMITED PARTNER, ownership code E, domestic entity
May 28, 2021 to presentfactForm ADV
← SYCAMORE TREE GP HOLDINGS, LLCOwnerGENERAL PARTNER, ownership code F, domestic entity
May 28, 2021 to presentfactForm ADV

Dated events

Occurred
Mar 31, 2022
Regulatory AUM changed
Sycamore Tree Clo Advisors, L.P. reported RAUM $743.8M, up 146% from $302.4M (2021-10-27 to 2022-03-31)
Form ADVobserved 6 days ago
$441M
Occurred
May 28, 2021
First Form ADV filing
Sycamore Tree Clo Advisors, L.P. filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:caf12d72-7ca7-0f9e-5371-4227194d27e0
First observed: May 28, 2021
Last observed: Mar 31, 2022 54 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.

SYCAMORE TREE CLO ADVISORS, L.P.

CRD 314626

DALLAS, TX

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:caf12d72-7ca7-0f9e-5371-4227194d27e0

Data as of Mar 31, 2022 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:39 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BORUD, BRADFORD, KEITH

CHIEF COMPLIANCE OFFICER

yes

04/2021

May 28, 2021

Mar 31, 2022

OKADA FAMILY SYCAMORE, LLC

LIMITED PARTNER

yes

06/2020

May 28, 2021

Mar 31, 2022

OKADA FAMILY SYCAMORE, LLC

Member

yes

06/2020

May 28, 2021

Mar 31, 2022

OKADA, MARK, KIYOSHI

MEMBER/PRESIDENT/SECRETARY/TREASURER

yes

03/2020

May 28, 2021

Mar 31, 2022

OKADA, MARK, KIYOSHI

CHIEF EXECUTIVE OFFICER

yes

04/2021

May 28, 2021

Mar 31, 2022

PARKER, LEE, BLACKWELL

CHIEF INVESTMENT OFFICER

yes

04/2021

May 28, 2021

Mar 31, 2022

SYCAMORE TREE CAPITAL PARTNERS, L.P.

LIMITED PARTNER

yes

04/2021

May 28, 2021

Mar 31, 2022

SYCAMORE TREE GP HOLDINGS, LLC

GENERAL PARTNER

yes

04/2021

May 28, 2021

Mar 31, 2022

SYCAMORE TREE GP HOLDINGS, LLC

GENERAL PARTNER

yes

06/2020

May 28, 2021

Mar 31, 2022

WISE, CHRISTOPHER, AARON

DIRECTOR OF FINANCE

yes

04/2021

May 28, 2021

Mar 31, 2022

Yang, John, F

President

yes

04/2021

May 28, 2021

Mar 31, 2022

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SYCAMORE TREE CAPITAL PARTNERS, L.P.

n/a

Asset manager

$3.5B

yes

n/a

SYCAMORE TREE CLO FUND GP, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 31, 2022

$744M

$526M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$744M

n/a