Steeprock Capital Ii LLC (Greenwich)

Name: Steeprock Capital Ii LLC
Address: 2 Soundview Drive, Greenwich, CT, 06783
Telephone: 212-218-5055

Steeprock Capital Ii LLC is a large advisory firm based in Greenwich. It manages $375.22 million of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2014 and has operated in the jurisdiction of Connecticut.

Steeprock Capital Ii provides portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and section 3(c)(5)(c) exempt accounts. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Steeprock Capital Ii: assets under management

The assets under management (AUM) of Steeprock Capital Ii LLC is $375.22 million. The company doesn't manage any assets belonging to foreign clients.

The firm manages $46.55 million in discretionary accounts and $328.67 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $46.55 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $164.33 million.

Steeprock Capital Ii has custody of $375.22 million in cash and securities for 3 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in other assets the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Steeprock Capital Ii LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Steeprock Capital Ii serves?

The firm provides services to insurance companies and pooled investment vehicles. The largest group of clients of Steeprock Capital Ii is insurance companies with 2 clients and $328.67 million of assets under management. Among the 7 most similar advisory firms, Steeprock Capital Ii has the highest percentage of insurance companies out of all clients.

The amount of regulatory assets under management is $375.22 million for 3 clients. None of the firm’s clients are foreign persons or businesses.

Steeprock Capital Ii doesn't advise any private funds.

Careers at Steeprock Capital Ii LLC

The company employs 5 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Matthew Alan Mitchell	Co-managing member & chief compliance officer	1 Aug 2014	25% - 50%	6387266
John Thomas Bucci	Co-managing member	1 Aug 2014	25% - 50%	2674334
Maksym (Nmn) Pazuniak	Principal	1 Aug 2014	Other	4823478
Maksym Pazuniak	Principal	1 Aug 2014	Other	4823478

Based in Greenwich

The principal office where Steeprock Capital Ii LLC performs its advisory services is located at 2 Soundview Drive, Greenwich, CT 06783, which is also the mailing address of the firm. An additional office of the firm is in Rochester, NY. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-218-5055 or by fax 212-334-3063. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at steeprockcapital.com.