C
Catoosa Fund Management LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Clients per advisor
0
Average account size
—
About
Catoosa Fund Management LLC is a state-registered investment adviser that provides discretionary portfolio management through separately managed accounts; its brochure notes the firm recently stopped managing a fund and, as of the filing, reported no assets under management. Like many investment managers, it generally charges asset-based management fees for its services.
The firm’s stated investment approach is active, equity-focused and event-driven, employing both long and short positions and using technical analysis to time trades. Catoosa’s strategy may include derivatives, leverage, risk-arbitrage and regular trading across market capitalizations, including small- and mid-cap names, with attendant liquidity and volatility risks.
Noteworthy features in the brochure include that the firm currently does not charge performance-based fees, does not vote client proxies, and reports it does not use soft-dollar arrangements; it is operated by a sole investment professional. The brochure also discloses a prior FINRA arbitration involving that principal while employed elsewhere, which was settled by the former employer.
Client services
Portfolio management
Expertise
Active portfolio management
Options & derivatives strategies
Concentrated stock management
Fee options
Account minimum: $1,000,000 (subject to waiver by Catoosa Fund Management LLC)
Most active in
Catoosa Fund Management LLC has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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