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Rock Elm Capital Management LLC

Updated today

Total assets under management

$0

Total clients

0

Total advisors

3

of 4 employees

Firm size

Investment Manager

May not manage individual clients

Average clients per advisor

0

Average account size

About

Rock Elm Capital Management provides capital-sourcing and structured financing solutions to natural resource companies, including firms in mining and metals, energy, and agriculture, and serves corporate issuers, institutional investors and private funds. The firm operates as an independent sponsor that structures discrete transactions funded by specific investors and may also accept separately managed accounts, though it currently does not manage client assets.

The firm’s investment approach centers on two portfolios: a high-return portfolio that can include senior and subordinated debt, mezzanine, equity and project or pre-production financings, and a trade and commodity finance portfolio focused on short- and medium-term working capital and performance-based financings with no unhedged commodity price exposure. Rock Elm describes a tailored, transaction-specific structuring process supported by a principals-level team with decades of experience across commodity finance, structured finance, derivatives and risk management.

Rock Elm’s fee program includes the common percentage-of-AUM schedule and negotiable terms, but notably also contemplates performance-based arrangements and, unusually for peers in this category, the use of hourly fees for certain services. The firm’s independent-sponsor model for discrete, investor-funded deals, its explicit avoidance of custody and brokerage business, and its disclosure that it presently holds no client assets distinguish its operating profile from many other investment managers.

Client services

Portfolio management General consulting services

Expertise

Private / alternative investments

Occupation focus

Founder/Business Owner

Fee options

Percentage

$0 - $50,000,000: 2.00% p.a. $50,000,000 - $100,000,000: 1.75% p.a. $100,000,000 - >$100,000,000: Negotiable

Performance-based

Performance-based fees or carried interest may be charged as detailed in client agreements or fund documents.

Main office location

Rock Elm Capital Management LLC

30 Old Kings Highway South

Darien CT 06820, United States

Number of offices

1

Most active in

Connecticut

Disclosures

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

Warmer team member

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