Imperial Capital Asset Management, LLC

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Imperial Capital Asset Management is based out of Los Angeles. Imperial Capital Asset Management is a hedge fund with 126 clients and discretionary assets under management (AUM) of $242,375,721 (Form ADV from 2022-03-31). Whalewisdom has at least 3 13G filings, and 2 Form 4 filings

Contact Info

imperial capital asset management, llc
10100 SANTA MONICA BLVD.
LOS ANGELES CA    90067
Business Phone: 310.246.3644
SEC SIC CODE:
7372-SERVICES-PREPACKAGED SOFTWARE
Current 13D/G Holdings
Stock Sector Shares Held Market Value Rank Source Source Date
Great Elm Capital Corp (GECC) FINANCE 332,358 6,141,970.63 1 13G 2021-12-31

View Last Form Adv Compilation Report on Record

IMPERIAL CAPITAL ASSET MANAGEMENT LLC
3801 PGA BOULEVARD, SUITE 603
PALM BEACH GARDENS FL    33410
Country: United States
Business Phone: 310-246-3793
Fax: 561-214-7998
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 23
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Subscription fees,Performance-based fees,OPTIONAL PAYMENT FOR DEBT AND EQUITY RESEARCH REPORTS TO CLIENTS
Amount of client funds and securities: 249,658,000
Total Number of Clients: 126
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

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IMPERIAL CAPITAL ASSET MANAGEMENT LLC

ownership team - last updated 2022-03-31
Name Title Start Date Direct/Indirect % Ownership
MARTIS, MARK, CHRISTOPHER COO AND CFO 09/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC COO direct 1997-09-01
IMPERIAL ASSET MANAGEMENT LLC CFO/COO/TREASURER direct 1997-09-01 2009-03-25
IMPERIAL CAPITAL ASSET MANAGEMENT LLC COO AND CHIEF COMPLIANCE OFFICER direct 1997-09-01 2011-07-06
REESE, JASON, WALTER CHAIRMAN AND CEO 09/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC CHAIRMAN AND CEO direct 1997-09-01
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2001-06-01
IMPERIAL ASSET MANAGEMENT LLC CO-PRESIDENT direct 1997-09-01 2001-10-31
IMPERIAL ASSET MANAGEMENT LLC OWNER indirect 2001-06-01 2001-10-31
IMPERIAL CAPITAL ASSET MANAGEMENT LLC PRESIDENT direct 1997-09-01 2014-03-31
ICAM HOLDINGS, LLC. MEMBER 01/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER direct 2014-01-01
WIENCH, TODD, EDMUND CHIEF COMPLIANCE OFFICER 06/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2014-06-01
REESE, JASON, WALTER MEMBER IMPERIAL CAPITAL GROUP HOLDINGS, LLC 06/01/2001 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC CHAIRMAN AND CEO direct 1997-09-01
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2001-06-01
IMPERIAL ASSET MANAGEMENT LLC CO-PRESIDENT direct 1997-09-01 2001-10-31
IMPERIAL ASSET MANAGEMENT LLC OWNER indirect 2001-06-01 2001-10-31
IMPERIAL CAPITAL ASSET MANAGEMENT LLC PRESIDENT direct 1997-09-01 2014-03-31
WOOSTER, RANDALL, EVAN MEMBER IMPERIAL CAPITAL GROUP HOLDINGS, LLC 06/01/2001 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2001-06-01
IMPERIAL ASSET MANAGEMENT LLC CO-PRESIDENT direct 1997-09-01 2001-10-31
IMPERIAL ASSET MANAGEMENT LLC OWNER indirect 2001-06-01 2001-10-31
IMPERIAL CAPITAL GROUP HOLDINGS, LLC MEMBER ICAM HOLDINGS, LLC 01/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2002-01-01
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2014-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
HUDSON CLEAN ENERGY PARTNERS (MASTER T-E), L.P. Cayman Islands 805-3218917197 Private Equity Fund 391,602 5,000,000 Master Fund
HUDSON CLEAN ENERGY PARTNERS CO-INVEST, L.P. Cayman Islands 805-7054794357 Private Equity Fund 2,910,950 500,000
HUDSON CLEAN ENERGY PARTNER AIV, L.P. Cayman Islands 805-1439207911 Private Equity Fund 19,019,969 5,000,000
HUDSON CLEAN ENERGY PARTNERS, L.P. United States 805-9880024135 Private Equity Fund 5,534,672 5,000,000
HCEP PARALLEL, L.P. United States 805-3953266677 Private Equity Fund 561,536 100,000
HUDSON CLEAN ENERGY PARTNERS (MASTER), L.P. United States 805-9152348993 Private Equity Fund 295,165 5,000,000 Master Fund
LONG BALL PARTNERS, LLC United States 805-8634527884 Hedge Fund 206,068,903 1,000,000
HUDSON CLEAN ENERGY PARTNERS (MASTER) AIV, L.P. Cayman Islands 805-4667853814 Private Equity Fund 7,592,923 5,000,000 Master Fund

IMPERIAL CAPITAL ASSET MANAGEMENT LLC

ownership team - last updated 2021-11-11
Name Title Start Date Direct/Indirect % Ownership
MARTIS, MARK, CHRISTOPHER COO AND CFO 09/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC COO direct 1997-09-01
IMPERIAL ASSET MANAGEMENT LLC CFO/COO/TREASURER direct 1997-09-01 2009-03-25
IMPERIAL CAPITAL ASSET MANAGEMENT LLC COO AND CHIEF COMPLIANCE OFFICER direct 1997-09-01 2011-07-06
REESE, JASON, WALTER CHAIRMAN AND CEO 09/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC CHAIRMAN AND CEO direct 1997-09-01
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2001-06-01
IMPERIAL ASSET MANAGEMENT LLC CO-PRESIDENT direct 1997-09-01 2001-10-31
IMPERIAL ASSET MANAGEMENT LLC OWNER indirect 2001-06-01 2001-10-31
IMPERIAL CAPITAL ASSET MANAGEMENT LLC PRESIDENT direct 1997-09-01 2014-03-31
ICAM HOLDINGS, LLC. MEMBER 01/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER direct 2014-01-01
WIENCH, TODD, EDMUND CHIEF COMPLIANCE OFFICER 06/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2014-06-01
REESE, JASON, WALTER MEMBER IMPERIAL CAPITAL GROUP HOLDINGS, LLC 06/01/2001 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC CHAIRMAN AND CEO direct 1997-09-01
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2001-06-01
IMPERIAL ASSET MANAGEMENT LLC CO-PRESIDENT direct 1997-09-01 2001-10-31
IMPERIAL ASSET MANAGEMENT LLC OWNER indirect 2001-06-01 2001-10-31
IMPERIAL CAPITAL ASSET MANAGEMENT LLC PRESIDENT direct 1997-09-01 2014-03-31
WOOSTER, RANDALL, EVAN MEMBER IMPERIAL CAPITAL GROUP HOLDINGS, LLC 06/01/2001 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2001-06-01
IMPERIAL ASSET MANAGEMENT LLC CO-PRESIDENT direct 1997-09-01 2001-10-31
IMPERIAL ASSET MANAGEMENT LLC OWNER indirect 2001-06-01 2001-10-31
IMPERIAL CAPITAL GROUP HOLDINGS, LLC MEMBER ICAM HOLDINGS, LLC 01/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2002-01-01
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2014-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
HUDSON CLEAN ENERGY PARTNERS (MASTER T-E), L.P. Cayman Islands 805-3218917197 Private Equity Fund 671,338 5,000,000 Master Fund
HUDSON CLEAN ENERGY PARTNERS CO-INVEST, L.P. Cayman Islands 805-7054794357 Private Equity Fund 4,462,143 500,000
HUDSON CLEAN ENERGY PARTNER AIV, L.P. Cayman Islands 805-1439207911 Private Equity Fund 28,009,387 5,000,000
HUDSON CLEAN ENERGY PARTNERS, L.P. United States 805-9880024135 Private Equity Fund 5,531,569 5,000,000
HCEP PARALLEL, L.P. United States 805-3953266677 Private Equity Fund 1,355,680 100,000
HUDSON CLEAN ENERGY PARTNERS (MASTER), L.P. United States 805-9152348993 Private Equity Fund 1,107,137 5,000,000 Master Fund
LONG BALL PARTNERS, LLC United States 805-8634527884 Hedge Fund 124,370,831 1,000,000
HUDSON CLEAN ENERGY PARTNERS (MASTER) AIV, L.P. Cayman Islands 805-4667853814 Private Equity Fund 7,528,756 5,000,000 Master Fund

IMPERIAL CAPITAL ASSET MANAGEMENT LLC

ownership team - last updated 2021-03-31
Name Title Start Date Direct/Indirect % Ownership
MARTIS, MARK, CHRISTOPHER COO AND CFO 09/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC COO direct 1997-09-01
IMPERIAL ASSET MANAGEMENT LLC CFO/COO/TREASURER direct 1997-09-01 2009-03-25
IMPERIAL CAPITAL ASSET MANAGEMENT LLC COO AND CHIEF COMPLIANCE OFFICER direct 1997-09-01 2011-07-06
REESE, JASON, WALTER CHAIRMAN AND CEO 09/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC CHAIRMAN AND CEO direct 1997-09-01
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2001-06-01
IMPERIAL ASSET MANAGEMENT LLC CO-PRESIDENT direct 1997-09-01 2001-10-31
IMPERIAL ASSET MANAGEMENT LLC OWNER indirect 2001-06-01 2001-10-31
IMPERIAL CAPITAL ASSET MANAGEMENT LLC PRESIDENT direct 1997-09-01 2014-03-31
ICAM HOLDINGS, LLC. MEMBER 01/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER direct 2014-01-01
WIENCH, TODD, EDMUND CHIEF COMPLIANCE OFFICER 06/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2014-06-01
REESE, JASON, WALTER MEMBER IMPERIAL CAPITAL GROUP HOLDINGS, LLC 06/01/2001 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC CHAIRMAN AND CEO direct 1997-09-01
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2001-06-01
IMPERIAL ASSET MANAGEMENT LLC CO-PRESIDENT direct 1997-09-01 2001-10-31
IMPERIAL ASSET MANAGEMENT LLC OWNER indirect 2001-06-01 2001-10-31
IMPERIAL CAPITAL ASSET MANAGEMENT LLC PRESIDENT direct 1997-09-01 2014-03-31
WOOSTER, RANDALL, EVAN MEMBER IMPERIAL CAPITAL GROUP HOLDINGS, LLC 06/01/2001 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2001-06-01
IMPERIAL ASSET MANAGEMENT LLC CO-PRESIDENT direct 1997-09-01 2001-10-31
IMPERIAL ASSET MANAGEMENT LLC OWNER indirect 2001-06-01 2001-10-31
IMPERIAL CAPITAL GROUP HOLDINGS, LLC MEMBER ICAM HOLDINGS, LLC 01/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2002-01-01
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2014-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
HUDSON CLEAN ENERGY PARTNERS (MASTER T-E), L.P. Cayman Islands 805-3218917197 Private Equity Fund 671,338 5,000,000 Master Fund
HUDSON CLEAN ENERGY PARTNERS CO-INVEST, L.P. Cayman Islands 805-7054794357 Private Equity Fund 4,462,143 500,000
HUDSON CLEAN ENERGY PARTNER AIV, L.P. Cayman Islands 805-1439207911 Private Equity Fund 28,009,387 5,000,000
HUDSON CLEAN ENERGY PARTNERS, L.P. United States 805-9880024135 Private Equity Fund 5,531,569 5,000,000
HCEP PARALLEL, L.P. United States 805-3953266677 Private Equity Fund 1,355,680 100,000
HUDSON CLEAN ENERGY PARTNERS (MASTER), L.P. United States 805-9152348993 Private Equity Fund 1,107,137 5,000,000 Master Fund
LONG BALL PARTNERS, LLC United States 805-8634527884 Hedge Fund 124,370,831 1,000,000
HUDSON CLEAN ENERGY PARTNERS (MASTER) AIV, L.P. Cayman Islands 805-4667853814 Private Equity Fund 7,528,756 5,000,000 Master Fund

IMPERIAL CAPITAL ASSET MANAGEMENT LLC

ownership team - last updated 2020-08-05
Name Title Start Date Direct/Indirect % Ownership
MARTIS, MARK, CHRISTOPHER COO AND CFO 09/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC COO direct 1997-09-01
IMPERIAL ASSET MANAGEMENT LLC CFO/COO/TREASURER direct 1997-09-01 2009-03-25
IMPERIAL CAPITAL ASSET MANAGEMENT LLC COO AND CHIEF COMPLIANCE OFFICER direct 1997-09-01 2011-07-06
REESE, JASON, WALTER CHAIRMAN AND CEO 09/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC CHAIRMAN AND CEO direct 1997-09-01
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2001-06-01
IMPERIAL ASSET MANAGEMENT LLC CO-PRESIDENT direct 1997-09-01 2001-10-31
IMPERIAL ASSET MANAGEMENT LLC OWNER indirect 2001-06-01 2001-10-31
IMPERIAL CAPITAL ASSET MANAGEMENT LLC PRESIDENT direct 1997-09-01 2014-03-31
ICAM HOLDINGS, LLC. MEMBER 01/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER direct 2014-01-01
WIENCH, TODD, EDMUND CHIEF COMPLIANCE OFFICER 06/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2014-06-01
REESE, JASON, WALTER MEMBER IMPERIAL CAPITAL GROUP HOLDINGS, LLC 06/01/2001 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC CHAIRMAN AND CEO direct 1997-09-01
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2001-06-01
IMPERIAL ASSET MANAGEMENT LLC CO-PRESIDENT direct 1997-09-01 2001-10-31
IMPERIAL ASSET MANAGEMENT LLC OWNER indirect 2001-06-01 2001-10-31
IMPERIAL CAPITAL ASSET MANAGEMENT LLC PRESIDENT direct 1997-09-01 2014-03-31
WOOSTER, RANDALL, EVAN MEMBER IMPERIAL CAPITAL GROUP HOLDINGS, LLC 06/01/2001 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2001-06-01
IMPERIAL ASSET MANAGEMENT LLC CO-PRESIDENT direct 1997-09-01 2001-10-31
IMPERIAL ASSET MANAGEMENT LLC OWNER indirect 2001-06-01 2001-10-31
IMPERIAL CAPITAL GROUP HOLDINGS, LLC MEMBER ICAM HOLDINGS, LLC 01/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2002-01-01
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2014-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
LONG BALL PARTNERS, LLC United States 805-8634527884 Hedge Fund 118,771,883 1,000,000
IC LEVERAGE INCOME FUND, LLC United States 805-9827354516 Hedge Fund 39,824,497 1,000,000

IMPERIAL CAPITAL ASSET MANAGEMENT LLC

ownership team - last updated 2020-03-31
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
IC LEVERAGE INCOME FUND, LLC United States 805-9827354516 Hedge Fund 39,824,497 1,000,000
LONG BALL PARTNERS, LLC United States 805-8634527884 Hedge Fund 118,771,883 1,000,000

IMPERIAL CAPITAL ASSET MANAGEMENT LLC

ownership team - last updated 2019-03-30
Name Title Start Date Direct/Indirect % Ownership
MARTIS, MARK, CHRISTOPHER COO AND CFO 09/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC COO direct 1997-09-01
IMPERIAL ASSET MANAGEMENT LLC CFO/COO/TREASURER direct 1997-09-01 2009-03-25
IMPERIAL CAPITAL ASSET MANAGEMENT LLC COO AND CHIEF COMPLIANCE OFFICER direct 1997-09-01 2011-07-06
REESE, JASON, WALTER CHAIRMAN AND CEO 09/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC CHAIRMAN AND CEO direct 1997-09-01
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2001-06-01
IMPERIAL ASSET MANAGEMENT LLC CO-PRESIDENT direct 1997-09-01 2001-10-31
IMPERIAL ASSET MANAGEMENT LLC OWNER indirect 2001-06-01 2001-10-31
IMPERIAL CAPITAL ASSET MANAGEMENT LLC PRESIDENT direct 1997-09-01 2014-03-31
ICAM HOLDINGS, LLC. MEMBER 01/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER direct 2014-01-01
WIENCH, TODD, EDMUND CHIEF COMPLIANCE OFFICER 06/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2014-06-01
REESE, JASON, WALTER MEMBER IMPERIAL CAPITAL GROUP HOLDINGS, LLC 06/01/2001 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC CHAIRMAN AND CEO direct 1997-09-01
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2001-06-01
IMPERIAL ASSET MANAGEMENT LLC CO-PRESIDENT direct 1997-09-01 2001-10-31
IMPERIAL ASSET MANAGEMENT LLC OWNER indirect 2001-06-01 2001-10-31
IMPERIAL CAPITAL ASSET MANAGEMENT LLC PRESIDENT direct 1997-09-01 2014-03-31
WOOSTER, RANDALL, EVAN MEMBER IMPERIAL CAPITAL GROUP HOLDINGS, LLC 06/01/2001 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2001-06-01
IMPERIAL ASSET MANAGEMENT LLC CO-PRESIDENT direct 1997-09-01 2001-10-31
IMPERIAL ASSET MANAGEMENT LLC OWNER indirect 2001-06-01 2001-10-31
IMPERIAL CAPITAL GROUP HOLDINGS, LLC MEMBER ICAM HOLDINGS, LLC 01/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2002-01-01
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2014-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
LONG BALL PARTNERS, LLC United States 805-8634527884 Hedge Fund 120,574,054 1,000,000

IMPERIAL CAPITAL ASSET MANAGEMENT LLC

ownership team - last updated 2017-03-31
Name Title Start Date Direct/Indirect % Ownership
MARTIS, MARK, CHRISTOPHER COO 09/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC COO direct 1997-09-01
IMPERIAL ASSET MANAGEMENT LLC CFO/COO/TREASURER direct 1997-09-01 2009-03-25
IMPERIAL CAPITAL ASSET MANAGEMENT LLC COO AND CHIEF COMPLIANCE OFFICER direct 1997-09-01 2011-07-06
REESE, JASON, WALTER CHAIRMAN AND CEO 09/01/1997 Direct less than 5%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC CHAIRMAN AND CEO direct 1997-09-01
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2001-06-01
IMPERIAL ASSET MANAGEMENT LLC CO-PRESIDENT direct 1997-09-01 2001-10-31
IMPERIAL ASSET MANAGEMENT LLC OWNER indirect 2001-06-01 2001-10-31
IMPERIAL CAPITAL ASSET MANAGEMENT LLC PRESIDENT direct 1997-09-01 2014-03-31
ICAM HOLDINGS, LLC. MEMBER 01/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER direct 2014-01-01
HARRINGTON, PHILIP, RONALD CFO 03/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
BEL AIR INVESTMENT ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2006-05-01
IMPERIAL CAPITAL ASSET MANAGEMENT LLC CFO direct 2014-03-01
BEL AIR MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2006-05-01
WIENCH, TODD, EDMUND CHIEF COMPLIANCE OFFICER 06/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2014-06-01
IMPERIAL CAPITAL GROUP HOLDINGS, LLC MEMBER ICAM HOLDINGS, LLC 01/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2002-01-01
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2014-01-01
REESE, JASON, WALTER MEMBER IMPERIAL CAPITAL GROUP HOLDINGS, LLC 06/01/2001 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC CHAIRMAN AND CEO direct 1997-09-01
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2001-06-01
IMPERIAL ASSET MANAGEMENT LLC CO-PRESIDENT direct 1997-09-01 2001-10-31
IMPERIAL ASSET MANAGEMENT LLC OWNER indirect 2001-06-01 2001-10-31
IMPERIAL CAPITAL ASSET MANAGEMENT LLC PRESIDENT direct 1997-09-01 2014-03-31
WOOSTER, RANDALL, EVAN MEMBER IMPERIAL CAPITAL GROUP HOLDINGS, LLC 06/01/2001 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
IMPERIAL CAPITAL ASSET MANAGEMENT LLC MEMBER indirect 2001-06-01
IMPERIAL ASSET MANAGEMENT LLC CO-PRESIDENT direct 1997-09-01 2001-10-31
IMPERIAL ASSET MANAGEMENT LLC OWNER indirect 2001-06-01 2001-10-31

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
LONG BALL PARTNERS, LLC United States 805-8634527884 Hedge Fund 128,726,725 1,000,000

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