DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Castlelake, L.P.
Latest filing Mar 27, 2026
First filing on the tape Mar 23, 2012 · 39 filings
SEC status approved since Jun 7, 2011
RAUM
$35B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$35B
derived; firm RAUM over IAPD count
Employees
251
98 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
46
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$35B as of Mar 27, 2026
Mar 23, 2012$2.2B then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 25, 20130 then
Employees (5.A)251 as of Mar 27, 2026
Mar 25, 201344 then
Private funds46 as of Mar 27, 2026
Mar 23, 201210 then
RAUM +23% over the last fiscal year+13% a year over threeIARs 0 to 0offices 6 to 8
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $35BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $706MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 251.0derivedItem 5.A over advisors
- Advisors per office
- 0.1derived9 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $32B, 44 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$35B100%
- Insurance companies$100M0.3%
- Corporations and businesses$51.7M0.1%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 50reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $32B for 44 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.99 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Alan Bradley Gearing | Minneapolis, Mn | May 18, 2018 | 21 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
47 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Castlelake V, L.P. | Private Equity Fund | $4.5B | 93 | Mar 29, 2018 |
| Castlelake Aviation IV Stable Yield, L.P. | Hedge Fund | $4.2B | 33 | Mar 31, 2020 |
| Castlelake Aviation III Stable Yield, L.P. | Hedge Fund | $3.0B | 40 | Mar 28, 2017 |
| Castlelake IV, L.P. | Private Equity Fund | $1.6B | 71 | Jul 20, 2015 |
| Castlelake Income Opportunities II, L.P. | Private Equity Fund | $1.4B | 36 | Mar 31, 2022 |
| Castlelake Opportunistic Asset Solutions Vi, L.P. | Private Equity Fund | $1.4B | 22 | Mar 31, 2023 |
| Castlelake Aviation V Stable Yield, L.P. | Private Equity Fund | $1.3B | 21 | Mar 28, 2024 |
| Castlelake Arch Opportunities, L.L.C. | Private Equity Fund | $1.1B | 1 | Mar 30, 2021 |
| Clgf Holdings, L.P.no longer reported | Private Equity Fund | $996M | 1 | Mar 31, 2020 |
| Clm Aggregation Fund, L.P. | Private Equity Fund | $979M | 2 | Mar 31, 2023 |
| Castlelake III, L.P. | Private Equity Fund | $642M | 64 | Jan 9, 2014 |
| Castlelake Aircraft Structured Trust 2019-1 | Securitized Asset Fund | $576M | 3 | Mar 31, 2020 |
| Castlelake V Dislocated Opportunities, L.P. | Private Equity Fund | $536M | 19 | Mar 30, 2021 |
| Cl Dal 2.0 Opportunities, LLC | Private Equity Fund | $520M | 10 | Mar 30, 2021 |
| Ac Aviation Finance Opportunities, L.P. | Private Equity Fund | $502M | 2 | Dec 1, 2022 |
| Castlelake Income Opportunities I B, L.P. | Private Equity Fund | $471M | 18 | Mar 29, 2019 |
| Castlelake Aircraft Structured Trust 2021-1 | Securitized Asset Fund | $470M | 10 | Mar 31, 2022 |
| Castlelake Secured Aviation Asset LLC 2023-1 | Securitized Asset Fund | $470M | 2 | Mar 28, 2024 |
| Castlelake Aircraft Structured Trust 2018-1 | Securitized Asset Fund | $375M | 1 | Mar 29, 2019 |
| Castlelake Asset-Based Private Credit III Evergreen B, L.P. | Private Equity Fund | $349M | 3 | Mar 28, 2024 |
| Castlelake Aviation IV Stable Yield Opportunities, L.P. | Hedge Fund | $304M | 6 | Mar 31, 2020 |
| Castlelake Income Opportunities I A, L.P. | Private Equity Fund | $244M | 8 | Mar 29, 2019 |
| Castlelake Aircraft Structured Trust 2017-1 | Securitized Asset Fund | $234M | 3 | Mar 29, 2018 |
| Castlelake II, L.P. | Private Equity Fund | $232M | 54 | Mar 23, 2012 |
| Castlelake Consumer Receivables Opportunity II, L.P. | Private Equity Fund | $221M | 6 | Mar 28, 2024 |
| Castlelake Aclo Warehouse I, L.P. | Private Equity Fund | $197M | 2 | Dec 1, 2022 |
| Castlelake Aircraft Securitization Trust 2016-1no longer reported | Securitized Asset Fund | $146M | 1 | Aug 31, 2016 |
| Clg Co-Investment Opportunities, L.P. | Private Equity Fund | $127M | 2 | Mar 28, 2024 |
| Cl Hermes Opportunities, L.P. | Private Equity Fund | $94.4M | 1 | Mar 31, 2020 |
| Castlelake Aircraft Securitization Trust 2015-1no longer reported | Securitized Asset Fund | $83.0M | 1 | Mar 24, 2016 |
| Castlelake Asset-Based Private Credit III Evergreen A, L.P. | Private Equity Fund | $73.8M | 2 | Mar 28, 2024 |
| Cl Qa Opportunities, L.P. | Private Equity Fund | $69.4M | 1 | Mar 31, 2020 |
| Castlelake Aircraft Securitization Trust 2014-1no longer reported | Securitized Asset Fund | $56.1M | 6 | Mar 5, 2014 |
| As Air Lease 3 (Offshore) LP | Private Equity Fund | $40.7M | 7 | Mar 29, 2019 |
| Hpscp Opportunities, L.P. | Private Equity Fund | $36.7M | 4 | Aug 23, 2013 |
| Land Opportunities, L.P. | Private Equity Fund | $24.2M | 11 | Aug 23, 2013 |
| Castlelake Aviation II, L.P. | Private Equity Fund | $20.2M | 30 | Mar 23, 2012 |
| Castlelake I, L.P. | Private Equity Fund | $15.0M | 19 | Mar 23, 2012 |
| Castlelake II Opportunities, L.P. | Private Equity Fund | $14.9M | 12 | Mar 23, 2012 |
| Castlelake Consumer Receivables Opportunity I, L.P.no longer reported | Private Equity Fund | $13.4M | 11 | Mar 31, 2022 |
Owners and control persons
Schedule A and B, latest filing
- Andrew Evan Carruthers · Chief Executive Officer, Chief Investment Officercontrolsince 08/2005 · owns less than 5%
- Lee Brad Farrell · Chief Operating Officercontrolsince 12/2019 · owns less than 5%
- Yen-Wah Lam · President; Chief People Officercontrolsince 05/2023 · owns less than 5%
- Joseph Daniel Mcnally · General Counselcontrolsince 04/2020 · owns less than 5%
- Joseph Rory O'Neill · Executive Chaircontrolsince 08/2005 · owns less than 5%
- Rose Maria Romolo · Chief Compliance Officer & Managing Counselcontrolsince 12/2021 · owns less than 5%
- Andrew Evan Carruthers · Board Membercontrolsince 09/2024 · owns F of Castlelake Group Gp, LLC
- Andrew Evan Carruthers · Trusteecontrolsince 09/2013 · owns F of The Bevaring Revocable Trust
- Yen-Wah Lam · Board Membercontrolsince 09/2024 · owns F of Castlelake Group Gp, LLC
- William Alexander Craig Noble · Board Membercontrolsince 09/2024 · owns F of Castlelake Group Gp, LLC
- Joseph Rory O'Neill · Board Membercontrolsince 09/2024 · owns F of Castlelake Group Gp, LLC
- Joseph Rory O'Neill · Trusteecontrolsince 03/2006 · owns F of The Rory O'Neill Revocable Trust
- Sachin Shah · Board Membercontrolsince 09/2024 · owns F of Castlelake Group Gp, LLC
Entity owners
- Ro Management, LLC · General Partnerdirect · owns less than 5%
- Ro Management, LP · Limited Partnerdirect · owns 75% or more
- Brookfield Asset Management Ltd. · Shareholderindirect · owns 25% to 50% of Brookfield Asset Management Ulc · public reporting company
- Brookfield Asset Management Ulc · Shareholderindirect · owns 75% or more of Brookfield US Holdings, Inc.
- Brookfield Cl Holdings, LLC · Limited Partnerindirect · owns 25% to 50% of Castlelake Group Topco, L.P.
- Brookfield Corporation · Shareholderindirect · owns 50% to 75% of Brookfield Asset Management Ulc
- Brookfield US Holdings, Inc. · Shareholderindirect · owns 75% or more of Brookfield US Inc.
- Brookfield US Inc. · Shareholderindirect · owns 75% or more of Brookfield Cl Holdings, LLC
- Castlelake Group Gp, LLC · General Partnerindirect · owns F of Castlelake Group Holdings, L.P.
- Castlelake Group Gp, LLC · General Partnerindirect · owns F of Castlelake Group Topco, L.P.
- Castlelake Group Holdings, L.P. · Limited Partnerindirect · owns 50% to 75% of Castlelake Group Topco, L.P.
- Castlelake Group Topco, L.P. · Memberindirect · owns F of Ro Management, LLC
- Castlelake Group Topco, L.P. · Limited Partnerindirect · owns 75% or more of Ro Management, LP
- Castlelake Management Aggregator, LLC · Limited Partnerindirect · owns 75% or more of Castlelake Group Gp, LLC
- Ro Management, LLC · General Partnerindirect · owns F of Ro Management, LP
- The Bevaring Revocable Trust · Limited Partnerindirect · owns 25% to 50% of Castlelake Group Holdings, L.P.
- The Rory O'Neill Revocable Trust · Limited Partnerindirect · owns 75% or more of Castlelake Management Aggregator, LLC
- The Rory O'Neill Revocable Trust · Limited Partnerindirect · owns 25% to 50% of Castlelake Group Holdings, L.P.
Related persons
Schedule D 7.A
- Ac Aviation Finance Opportunities Gp, Ltd.pooled vehicle sponsorn
- Castlelake (Uk) Llpinvestment advisern
- Castlelake Asset-Based Private Credit III Evergreen Gp, L.P.pooled vehicle sponsorn
- Castlelake Aviation II Gp, L.P.pooled vehicle sponsorn
- Castlelake Aviation III Gp, L.P.pooled vehicle sponsorn
- Castlelake Aviation III Stable Yield Gp, L.P.pooled vehicle sponsorn
- Castlelake Aviation IV Opportunities - Stable Yield Gp, L.P.pooled vehicle sponsorn
- Castlelake Aviation IV Stable Yield Gp, L.P.pooled vehicle sponsorn
- Castlelake Aviation V Stable Yield Gp, L.P.pooled vehicle sponsorn
- Castlelake Consumer Receivables Opportunity II Gp, L.P.pooled vehicle sponsorn
- Castlelake I Gp, L.P.pooled vehicle sponsorn
- Castlelake II Gp, L.P.pooled vehicle sponsorn
- Castlelake III Gp, L.P.pooled vehicle sponsorn
- Castlelake Income Opportunities Gp, Ltd.pooled vehicle sponsorn
- Castlelake Income Opportunities I Gp, L.P.pooled vehicle sponsorn
- Castlelake Income Opportunities II Gp, L.P.pooled vehicle sponsorn
- Castlelake IV Gp, L.P.pooled vehicle sponsorn
- Castlelake Lending Opportunities, LLCpooled vehicle sponsorn
- Castlelake V Dislocated Opportunities Gp, L.P.pooled vehicle sponsorn
- Castlelake V Gp, L.P.pooled vehicle sponsorn
- Castlelake Vi Gp, L.P.pooled vehicle sponsorn
- Cl Hermes Opportunities Gp, L.P.pooled vehicle sponsorn
- Cl V Investments USA, LLCpooled vehicle sponsorn
- Clake Holdings LLC 2023-1pooled vehicle sponsorn
- Clg Co-Investment Opportunities Gp, L.P.pooled vehicle sponsorn
- Clm Aggregation Fund Gp, L.P.pooled vehicle sponsorn
- Land Opportunities Gp, L.P.pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom23 employees
- New York, NY18 employees
- Dublin, Ireland11 employees
- Singapore, Singapore3 employees
- Dallas, TX2 employees
- Madrid, Spain2 employees
What changed
consecutive filings, newest first
- Accounts · 43 to 50Apr 2, 2025 to Mar 27, 2026
- Advisory employees · 82 to 98Apr 2, 2025 to Mar 27, 2026
- Corporate clients · 0 to 2Apr 2, 2025 to Mar 27, 2026
- Pooled vehicle clients · 40 to 46Apr 2, 2025 to Mar 27, 2026
- Assets in custody · $28B to $32BApr 2, 2025 to Mar 27, 2026
- Employees · 222 to 251Apr 2, 2025 to Mar 27, 2026
- Other offices · 6 to 8Apr 2, 2025 to Mar 27, 2026
- Private funds · 40 to 46Apr 2, 2025 to Mar 27, 2026
- Discretionary RAUM · $29B to $35BApr 2, 2025 to Mar 27, 2026
- HNW RAUM · unset to 0.0Apr 2, 2025 to Mar 27, 2026
- Individual RAUM · unset to 0.0Apr 2, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $29B to $35BApr 2, 2025 to Mar 27, 2026
- RAUM · $29B to $35BApr 2, 2025 to Mar 27, 2026
- Accounts · 37 to 43Oct 23, 2024 to Apr 2, 2025
- Advisory employees · 80 to 82Oct 23, 2024 to Apr 2, 2025
- Advisory activities · 1 to 2Oct 23, 2024 to Apr 2, 2025
- Pooled vehicle clients · 37 to 40Oct 23, 2024 to Apr 2, 2025
- Assets in custody · $25B to $28BOct 23, 2024 to Apr 2, 2025
- Employees · 224 to 222Oct 23, 2024 to Apr 2, 2025
- Financial planning clients · 0 to Oct 23, 2024 to Apr 2, 2025
- Private funds · 37 to 40Oct 23, 2024 to Apr 2, 2025
- Discretionary RAUM · $26B to $29BOct 23, 2024 to Apr 2, 2025
- Pooled vehicle RAUM · $26B to $29BOct 23, 2024 to Apr 2, 2025
- RAUM · $26B to $29BOct 23, 2024 to Apr 2, 2025
- Accounts · 34 to 37Mar 31, 2023 to Mar 28, 2024
- Advisory employees · 88 to 80Mar 31, 2023 to Mar 28, 2024
- Pooled vehicle clients · 34 to 37Mar 31, 2023 to Mar 28, 2024
- Assets in custody · $23B to $25BMar 31, 2023 to Mar 28, 2024
- Employees · 231 to 224Mar 31, 2023 to Mar 28, 2024
- Other offices · 7 to 6Mar 31, 2023 to Mar 28, 2024
- Private funds · 34 to 37Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $25B to $26BMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $25B to $26BMar 31, 2023 to Mar 28, 2024
- RAUM · $25B to $26BMar 31, 2023 to Mar 28, 2024
- Accounts · 33 to 34Dec 1, 2022 to Mar 31, 2023
- Advisory employees · 98 to 88Dec 1, 2022 to Mar 31, 2023
- Pooled vehicle clients · 33 to 34Dec 1, 2022 to Mar 31, 2023
- Assets in custody · $22B to $23BDec 1, 2022 to Mar 31, 2023
- Employees · 211 to 231Dec 1, 2022 to Mar 31, 2023
- Other offices · 5 to 7Dec 1, 2022 to Mar 31, 2023
Signals
10 dated events
- Sachin Shah (Board Member) appeared on Schedule A of Castlelake, L.P.Oct 23, 2024 · Control person joined · fact
- William Alexander Craig Noble (Board Member) appeared on Schedule A of Castlelake, L.P.Oct 17, 2024 · Control person joined · fact
- Yen-Wah Lam (President; Chief People Officer) appeared on Schedule A of Castlelake, L.P.Mar 28, 2024 · Control person joined · fact
- Rose Maria Romolo (Chief Compliance Officer & Managing Counsel) appeared on Schedule A of Castlelake, L.P.Dec 13, 2021 · Control person joined · fact
- James Kevin Hiniker (Chief Compliance Officer & Special Counsel) no longer on Schedule A of Castlelake, L.P. (listed 2021-11-02, absent 2021-12-13)Dec 13, 2021 · Control person left · inference
- Hughes Peter Glerum (President) no longer on Schedule A of Castlelake, L.P. (listed 2021-11-02, absent 2021-12-13)Dec 13, 2021 · Control person left · inference
- Joseph Daniel Mcnally (General Counsel) appeared on Schedule A of Castlelake, L.P.Jan 29, 2021 · Control person joined · fact
- Lee Brad Farrell (Chief Financial Officer) appeared on Schedule A of Castlelake, L.P.Mar 31, 2020 · Control person joined · fact
- James David Parrin (Chief Administrative Officer) no longer on Schedule A of Castlelake, L.P. (listed 2019-09-10, absent 2020-03-31)Mar 31, 2020 · Control person left · inference
- Castlelake, L.P. reported RAUM $14.9B, up 55% from $9.6B (2017-04-20 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Castlelake, L.P. · Independent Sponsorsshared crd · capital_provider
- Castlelake, L.P. · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/86161reportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/107669329reportedpublic record, Form ADV, Sep 17, 2026
- Website
- CASTLELAKE.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 612-851-3000reportedpublic record, Form ADV, Mar 27, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $35Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026