SMC FIXED INCOME MANAGEMENT, LP
CRD #140220 SEC #801-66607 PRINCETON, NJ 609-228-8251
SEC Registered
Total AUM
$1.4B
Discretionary
$215.1M
Employees
10
Clients
0
Accounts
81
Firm Details
- Organization Type
- Other (specify) (LIMITED PARTNERSHIP)
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 17, 2011
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| FRATERNALE, MICHAEL, VICTOR | I | CHIEF COMPLIANCE OFFICER | NA | |
| FRATERNALE, MICHAEL, VICTOR | I | CHIEF COMPLIANCE OFFICER | NA | |
| FRATERNALE, MICHAEL, VICTOR | I | CHIEF COMPLIANCE OFFICER | NA | |
| GREGORIO, GEORGE, PETER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GREGORIO, GEORGE, PETER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GREGORIO, GEORGE, PETER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ROFFO, ROBERTO, WALTER | I | CHIEF OPERATING OFFICER | NA | Control |
| ROFFO, ROBERTO, WALTER | I | CHIEF OPERATING OFFICER | NA | Control |
| ROFFO, ROBERTO, WALTER | I | CHIEF OPERATING OFFICER | NA | Control |
| ROFFO, ROBERTO, WALTER | I | CHIEF OPERATING OFFICER | NA | Control |
| ROFFO, ROBERTO, WALTER | I | CHIEF OPERATING OFFICER | NA | Control |
| ROFFO, ROBERTO, WALTER | I | CHIEF OPERATING OFFICER | NA | Control |
| ROFFO, ROBERTO, WALTER | I | CHIEF OPERATING OFFICER | NA | Control |
| ROFFO, ROBERTO, WALTER | I | CHIEF OPERATING OFFICER | NA | Control |
| ROFFO, ROBERTO, WALTER | I | CHIEF OPERATING OFFICER | NA | Control |
| SCHRAGER, STEVEN, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | |
| SCHRAGER, STEVEN, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | |
| SCHRAGER, STEVEN, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | |
| SMC FIXED INCOME MANAGEMENT, LLC | DE | GENERAL PARTNER | NA | Control |
| SMC FIXED INCOME MANAGEMENT, LLC | DE | GENERAL PARTNER | NA | |
| SMC FIXED INCOME MANAGEMENT, LLC | DE | GENERAL PARTNER | NA | |
| SMC FIXED INCOME MANAGEMENT, LLC | DE | GENERAL PARTNER | NA | |
| SMC FIXED INCOME MANAGEMENT, LLC | DE | GENERAL PARTNER | NA | |
| SMC FIXED INCOME MANAGEMENT, LLC | DE | GENERAL PARTNER | NA | |
| SMC FIXED INCOME MANAGEMENT, LLC | DE | GENERAL PARTNER | NA | |
| SMC FIXED INCOME MANAGEMENT, LLC | DE | GENERAL PARTNER | NA | |
| SMC FIXED INCOME MANAGEMENT, LLC | DE | GENERAL PARTNER | NA | |
| STEFFENS, JOHN, LAUNDON | I | CHAIRMAN, MANAGING DIRECTOR | NA | Control |
| GIORDANO, VINCENT, RALPH | I | CEO, PRESIDENT, LIMITED PARTNER | D | Control |
| GIORDANO, VINCENT, RALPH | I | CEO, PRESIDENT, LIMITED PARTNER | D | Control |
| GIORDANO, VINCENT, RALPH | I | CEO, PRESIDENT, LIMITED PARTNER | D | Control |
| GIORDANO, VINCENT, RALPH | I | CEO, PRESIDENT, LIMITED PARTNER | D | Control |
| GIORDANO, VINCENT, RALPH | I | CEO, PRESIDENT, LIMITED PARTNER | D | Control |
| GIORDANO, VINCENT, RALPH | I | CEO, PRESIDENT, LIMITED PARTNER | D | Control |
| GIORDANO, VINCENT, RALPH | I | CEO, PRESIDENT, LIMITED PARTNER | D | Control |
| GIORDANO, VINCENT, RALPH | I | CEO, PRESIDENT, LIMITED PARTNER | D | Control |
| GIORDANO, VINCENT, RALPH | I | CEO, PRESIDENT, LIMITED PARTNER | D | Control |
| SPRING MOUNTAIN CAPITAL, LP | DE | LIMITED PARTNER | C | |
| SPRING MOUNTAIN CAPITAL, LP | DE | LIMITED PARTNER | C | |
| SPRING MOUNTAIN CAPITAL, LP | DE | LIMITED PARTNER | C | |
| SPRING MOUNTAIN CAPITAL, LP | DE | LIMITED PARTNER | C | |
| SPRING MOUNTAIN CAPITAL, LP | DE | LIMITED PARTNER | C | |
| SPRING MOUNTAIN CAPITAL, LP | DE | LIMITED PARTNER | C | |
| SPRING MOUNTAIN CAPITAL, LP | DE | LIMITED PARTNER | C | |
| SPRING MOUNTAIN CAPITAL, LP | DE | LIMITED PARTNER | C | |
| SPRING MOUNTAIN CAPITAL, LP | DE | LIMITED PARTNER | C |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| SPRING MOUNTAIN CAPITAL, LLC | DE | SPRING MOUNTAIN CAPITAL, LP | F | Control |
| SPRING MOUNTAIN CAPITAL, LLC | DE | SPRING MOUNTAIN CAPITAL, LP | F | Control |
| SPRING MOUNTAIN CAPITAL, LLC | DE | SPRING MOUNTAIN CAPITAL, LP | F | Control |
| SPRING MOUNTAIN CAPITAL, LLC | DE | SPRING MOUNTAIN CAPITAL, LP | F | Control |
| SPRING MOUNTAIN CAPITAL, LLC | DE | SPRING MOUNTAIN CAPITAL, LP | F | Control |
| SPRING MOUNTAIN CAPITAL, LLC | DE | SPRING MOUNTAIN CAPITAL, LP | F | Control |
| SPRING MOUNTAIN CAPITAL, LLC | DE | SPRING MOUNTAIN CAPITAL, LP | F | Control |
| SPRING MOUNTAIN CAPITAL, LLC | DE | SPRING MOUNTAIN CAPITAL, LP | F | Control |
| SPRING MOUNTAIN CAPITAL, LLC | DE | SPRING MOUNTAIN CAPITAL, LP | F | Control |
| STEFFENS, JOHN, LAUNDON | I | SPRING MOUNTAIN CAPITAL, LLC | E | Control |
| STEFFENS, JOHN, LAUNDON | I | SPRING MOUNTAIN CAPITAL, LLC | E | Control |
| STEFFENS, JOHN, LAUNDON | I | SPRING MOUNTAIN CAPITAL, LLC | E | Control |
| STEFFENS, JOHN, LAUNDON | I | SPRING MOUNTAIN CAPITAL, LLC | E | Control |
| STEFFENS, JOHN, LAUNDON | I | SPRING MOUNTAIN CAPITAL, LLC | E | Control |
| STEFFENS, JOHN, LAUNDON | I | SPRING MOUNTAIN CAPITAL, LLC | E | Control |
| STEFFENS, JOHN, LAUNDON | I | SPRING MOUNTAIN CAPITAL, LLC | E | Control |
| STEFFENS, JOHN, LAUNDON | I | SPRING MOUNTAIN CAPITAL, LLC | E | Control |
| STEFFENS, JOHN, LAUNDON | I | SPRING MOUNTAIN CAPITAL, LLC | E | Control |
| GIORDANO, VINCENT, RALPH | I | SMC FIXED INCOME MANAGEMENT LLC | D | Control |
| GIORDANO, VINCENT, RALPH | I | SMC FIXED INCOME MANAGEMENT, LLC | D | Control |
| GIORDANO, VINCENT, RALPH | I | SMC FIXED INCOME MANAGEMENT, LLC | D | Control |
| GIORDANO, VINCENT, RALPH | I | SMC FIXED INCOME MANAGEMENT, LLC | D | Control |
| GIORDANO, VINCENT, RALPH | I | SMC FIXED INCOME MANAGEMENT, LLC | D | Control |
| GIORDANO, VINCENT, RALPH | I | SMC FIXED INCOME MANAGEMENT, LLC | D | Control |
| GIORDANO, VINCENT, RALPH | I | SMC FIXED INCOME MANAGEMENT, LLC | D | Control |
| GIORDANO, VINCENT, RALPH | I | SMC FIXED INCOME MANAGEMENT, LLC | D | Control |
| GIORDANO, VINCENT, RALPH | I | SMC FIXED INCOME MANAGEMENT, LLC | D | Control |
| STEFFENS, JOHN, LAUNDON | I | SMC FIXED INCOME MANAGEMENT LLC | D | Control |
| STEFFENS, JOHN, LAUNDON | I | SMC FIXED INCOME MANAGEMENT, LLC | D | Control |
| STEFFENS, JOHN, LAUNDON | I | SMC FIXED INCOME MANAGEMENT, LLC | D | Control |
| STEFFENS, JOHN, LAUNDON | I | SMC FIXED INCOME MANAGEMENT, LLC | D | Control |
| STEFFENS, JOHN, LAUNDON | I | SMC FIXED INCOME MANAGEMENT, LLC | D | Control |
| STEFFENS, JOHN, LAUNDON | I | SMC FIXED INCOME MANAGEMENT, LLC | D | Control |
| STEFFENS, JOHN, LAUNDON | I | SMC FIXED INCOME MANAGEMENT, LLC | D | Control |
| STEFFENS, JOHN, LAUNDON | I | SMC FIXED INCOME MANAGEMENT, LLC | D | Control |
| STEFFENS, JOHN, LAUNDON | I | SMC FIXED INCOME MANAGEMENT, LLC | D | Control |
| HO, GREGORY, PAUL | I | JOHN L. STEFFENS 2001 DESCENDENTS' TRUST | C | Control |
| JOHN L. STEFFENS 2001 DESCENDENTS' TRUST | DE | SPRING MOUNTAIN CAPITAL, LLC | C | Control |
| STEFFENS, JOHN, LAUNDON | I | JOHN L. STEFFENS 2001 DESCENDENTS' TRUST | C | Control |
Registrations
Federal
IA
Mar 17, 2011 REGISTERED
Notice Filings (1)
NJ
Address
103 CARNEGIE CENTERSUITE 305
PRINCETON, NJ 8540
United States
Phone: 609-228-8251