STONE RIDGE ASSET MANAGEMENT LLC

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Stone Ridge Asset Management is based out of New York. Stone Ridge Asset Management is a hedge fund with 69 clients and discretionary assets under management (AUM) of $11,365,992,279 (Form ADV from 2022-05-24). Whalewisdom has at least 30 13F filings

06/30/2022

Top Buys (13F)

  • Name% Change

06/30/2022

Top Sells (13F)

  • Name% Change

06/30/2022

13F Holdings Summary

06/30/2022

13F Activity

  • Market Value $0
  • Prior Market Value $0
  • New Purchases0 stocks
  • Additional Purchases0 stocks
  • Sold out of0 stocks
  • Reduced holdings in0 stocks
  • Top 10 Holdings % %
  • Turnover % [1]:%
  • Turnover Alt % [2]: %
  • Time Held Top20:
  • Time Held Top10:
  • Time Held All:

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

06/30/2022

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2021-05-17

Performance for Q1 2021: -29.1%
Performance Last 4 Quarters: 67.4%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required
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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

STONE RIDGE ASSET MANAGEMENT LLC
Classified as Hedge Fund
510 MADISON AVE 21ST FL
NEW YORK NY    10022
Country: United States
Business Phone: 212-257-4750
Fax:
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 96
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees,A PERCENTAGE BASED ON THE PURCHASED LOAN PRINCIPAL
Amount of client funds and securities: 193,440,000
Total Number of Clients: 69
Amount of client funds and securities by related persons: 1,027,140,000
Total Number of clients from related persons: 6
Disclosures: 11.E (2)
Data above was derived from SEC filings.

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STONE RIDGE ASSET MANAGEMENT LLC

ownership team - last updated 2022-05-24
Name Title Start Date Direct/Indirect % Ownership
STEVENS, ROSS, L CHIEF EXECUTIVE OFFICER 09/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC MANAGING MEMBER direct 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
GERMAIN, PAUL, ERIC PRESIDENT 01/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC HEAD OF ALTERNATIVE LENDING AND CHIEF OPERATIONS OFFICER direct 2018-03-01
STONE RIDGE HOLDINGS GROUP LP OWNER 09/01/2012 Direct 75% or more
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC OWNER direct 2012-09-01
SEIFAN, TOMER HEAD OF STRUCTURED INVESTMENTS AND CHIEF FINANCIAL OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC HEAD OF STRUCTURED INVESTMENTS AND CHIEF FINANCIAL OFFICER direct 2018-01-01
ROTHWELL, JAMES, THOMAS CHIEF ADMINISTRATIVE OFFICER AND HEAD OF LEGAL 10/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC HEAD OF LEGAL direct 2015-10-01
MACIOCE, LAUREN, DECKER GENERAL COUNSEL / CHIEF COMPLIANCE OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC GENERAL COUNSEL / CHIEF COMPLIANCE OFFICER direct 2016-02-01
STEVENS, ROSS, LAWRENCE LIMITED PARTNER STONE RIDGE HOLDINGS GROUP LP 12/01/2017 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC MANAGING MEMBER direct 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STEVENS, ROSS, LAWRENCE MANAGER OF GENERAL PARTNER STONE RIDGE HOLDINGS GROUP LP 12/01/2017 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC MANAGING MEMBER direct 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
LOAN ASSET ISSUER LLC, SERIES 2021 M-2 United States 805-7804929800 Securitized Asset Fund 303,000,000 0
LOAN ASSET ISSUER LLC, SERIES 2021 UC-1 United States 805-2918675089 Securitized Asset Fund 29,485,364 0
LOAN ASSET ISSUER LLC, SERIES 2020-2 United States 805-8250195975 Securitized Asset Fund 223,451,476 0
LOAN ASSET ISSUER LLC, SERIES 2020-3 United States 805-2704936888 Securitized Asset Fund 43,241,713 0
LOAN ASSET ISSUER LLC, SERIES 2020 M-1 United States 805-8048978618 Securitized Asset Fund 750,000,000 0
DRUG ROYALTIES CAYMAN FUND II LP Cayman Islands 805-8023022373 Private Equity Fund 9,255,000 100,000 Feeder Fund
DRUG ROYALTIES FUND II LLC United States 805-3698960183 Private Equity Fund 163,405,000 100,000 Feeder Fund
DRUG ROYALTIES OFFSHORE FUND II LLC United States 805-6995355317 Private Equity Fund 30,035,000 100,000 Feeder Fund
STONE RIDGE ALTERNATIVE LENDING ISSUER TRUST I United States 805-2219273126 Securitized Asset Fund 65,191,036 0
LOAN ASSET ISSUER LLC, SERIES 2020-1 United States 805-5005714973 Securitized Asset Fund 203,123,638 0
LONGTAIL FUND I LP Cayman Islands 805-4080016794 Private Equity Fund 50,996,141 100,000
SRRF LP Cayman Islands 805-8341085318 Hedge Fund 391,637,317 10,000,000 Master Fund
SRRF FEEDER LP Cayman Islands 805-2122303390 Hedge Fund 13,795,963 10,000,000 Feeder Fund
LOAN ASSET ISSUER II LLC, SERIES 2020-1 United States 805-5589192047 Securitized Asset Fund 740,000,000 0
LOAN ASSET ISSUER II LLC, SERIES 2021-1 United States 805-8757362962 Securitized Asset Fund 750,000,000 0
LOAN ASSET ISSUER LLC, SERIES 2021 M-1 United States 805-3333233066 Securitized Asset Fund 614,767,839 0
LOAN ASSET ISSUER LLC, SERIES 2021 AR-1 United States 805-9099947492 Securitized Asset Fund 57,553,808 0

STONE RIDGE ASSET MANAGEMENT LLC

ownership team - last updated 2022-03-31
Name Title Start Date Direct/Indirect % Ownership
STEVENS, ROSS, L CHIEF EXECUTIVE OFFICER 09/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC MANAGING MEMBER direct 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
GERMAIN, PAUL, ERIC PRESIDENT 01/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC HEAD OF ALTERNATIVE LENDING AND CHIEF OPERATIONS OFFICER direct 2018-03-01
STONE RIDGE HOLDINGS GROUP LP OWNER 09/01/2012 Direct 75% or more
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC OWNER direct 2012-09-01
SEIFAN, TOMER HEAD OF STRUCTURED INVESTMENTS AND CHIEF FINANCIAL OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC HEAD OF STRUCTURED INVESTMENTS AND CHIEF FINANCIAL OFFICER direct 2018-01-01
ROTHWELL, JAMES, THOMAS CHIEF ADMINISTRATIVE OFFICER AND HEAD OF LEGAL 10/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC HEAD OF LEGAL direct 2015-10-01
MACIOCE, LAUREN, DECKER GENERAL COUNSEL / CHIEF COMPLIANCE OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC GENERAL COUNSEL / CHIEF COMPLIANCE OFFICER direct 2016-02-01
STEVENS, ROSS, LAWRENCE LIMITED PARTNER STONE RIDGE HOLDINGS GROUP LP 12/01/2017 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC MANAGING MEMBER direct 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STEVENS, ROSS, LAWRENCE MANAGER OF GENERAL PARTNER STONE RIDGE HOLDINGS GROUP LP 12/01/2017 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC MANAGING MEMBER direct 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
LOAN ASSET ISSUER LLC, SERIES 2021 M-2 United States 805-7804929800 Securitized Asset Fund 303,000,000 0
LOAN ASSET ISSUER LLC, SERIES 2021 UC-1 United States 805-2918675089 Securitized Asset Fund 29,485,364 0
LOAN ASSET ISSUER LLC, SERIES 2020-2 United States 805-8250195975 Securitized Asset Fund 223,451,476 0
LOAN ASSET ISSUER LLC, SERIES 2020-3 United States 805-2704936888 Securitized Asset Fund 43,241,713 0
LOAN ASSET ISSUER LLC, SERIES 2020 M-1 United States 805-8048978618 Securitized Asset Fund 750,000,000 0
DRUG ROYALTIES CAYMAN FUND II LP Cayman Islands 805-8023022373 Private Equity Fund 9,255,000 100,000 Feeder Fund
DRUG ROYALTIES FUND II LLC United States 805-3698960183 Private Equity Fund 163,405,000 100,000 Feeder Fund
DRUG ROYALTIES OFFSHORE FUND II LLC United States 805-6995355317 Private Equity Fund 30,035,000 100,000 Feeder Fund
STONE RIDGE ALTERNATIVE LENDING ISSUER TRUST I United States 805-2219273126 Securitized Asset Fund 65,191,036 0
LOAN ASSET ISSUER LLC, SERIES 2020-1 United States 805-5005714973 Securitized Asset Fund 203,123,638 0
LONGTAIL FUND I LP Cayman Islands 805-4080016794 Private Equity Fund 50,996,141 100,000
SRRF LP Cayman Islands 805-8341085318 Hedge Fund 391,637,317 10,000,000 Master Fund
SRRF FEEDER LP Cayman Islands 805-2122303390 Hedge Fund 13,795,963 10,000,000 Feeder Fund
LOAN ASSET ISSUER II LLC, SERIES 2020-1 United States 805-5589192047 Securitized Asset Fund 740,000,000 0
LOAN ASSET ISSUER II LLC, SERIES 2021-1 United States 805-8757362962 Securitized Asset Fund 750,000,000 0
LOAN ASSET ISSUER LLC, SERIES 2021 M-1 United States 805-3333233066 Securitized Asset Fund 614,767,839 0
LOAN ASSET ISSUER LLC, SERIES 2021 AR-1 United States 805-9099947492 Securitized Asset Fund 57,553,808 0

STONE RIDGE ASSET MANAGEMENT LLC

ownership team - last updated 2021-08-02
Name Title Start Date Direct/Indirect % Ownership
STEVENS, ROSS, L CHIEF EXECUTIVE OFFICER 09/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC MANAGING MEMBER direct 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
GERMAIN, PAUL, ERIC PRESIDENT 01/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC HEAD OF ALTERNATIVE LENDING AND CHIEF OPERATIONS OFFICER direct 2018-03-01
STONE RIDGE HOLDINGS GROUP LP OWNER 09/01/2012 Direct 75% or more
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC OWNER direct 2012-09-01
SEIFAN, TOMER HEAD OF STRUCTURED INVESTMENTS AND CHIEF FINANCIAL OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC HEAD OF STRUCTURED INVESTMENTS AND CHIEF FINANCIAL OFFICER direct 2018-01-01
ROTHWELL, JAMES, THOMAS CHIEF ADMINISTRATIVE OFFICER AND HEAD OF LEGAL 10/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC HEAD OF LEGAL direct 2015-10-01
MACIOCE, LAUREN, DECKER GENERAL COUNSEL / CHIEF COMPLIANCE OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC GENERAL COUNSEL / CHIEF COMPLIANCE OFFICER direct 2016-02-01
STEVENS, ROSS, LAWRENCE LIMITED PARTNER STONE RIDGE HOLDINGS GROUP LP 12/01/2017 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC MANAGING MEMBER direct 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STEVENS, ROSS, LAWRENCE MANAGER OF GENERAL PARTNER STONE RIDGE HOLDINGS GROUP LP 12/01/2017 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC MANAGING MEMBER direct 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
LOAN ASSET ISSUER LLC, SERIES 2020-2 United States 805-8250195975 Securitized Asset Fund 53,941,753 0
LOAN ASSET ISSUER LLC, SERIES 2020-3 United States 805-2704936888 Securitized Asset Fund 10,282,455 0
LOAN ASSET ISSUER LLC, SERIES 2020 M-1 United States 805-8048978618 Securitized Asset Fund 756,074,898 0
DRUG ROYALTIES CAYMAN FUND II LP Cayman Islands 805-8023022373 Private Equity Fund 9,255,000 100,000 Feeder Fund
DRUG ROYALTIES FUND II LLC United States 805-3698960183 Private Equity Fund 164,405,000 100,000 Feeder Fund
DRUG ROYALTIES OFFSHORE FUND II LLC United States 805-6995355317 Private Equity Fund 29,035,000 100,000 Feeder Fund
STONE RIDGE ALTERNATIVE LENDING ISSUER TRUST I United States 805-2219273126 Securitized Asset Fund 162,010,321 0
LOAN ASSET ISSUER LLC, SERIES 2020-1 United States 805-5005714973 Securitized Asset Fund 91,640,868 0
LONGTAIL FUND I LP Cayman Islands 805-4080016794 Private Equity Fund 48,710,000 100,000
SRRF LP Cayman Islands 805-8341085318 Hedge Fund 409,867,252 10,000,000 Master Fund
SRRF FEEDER LP Cayman Islands 805-2122303390 Hedge Fund 15,245,631 10,000,000 Feeder Fund
LOAN ASSET ISSUER II LLC, SERIES 2020-1 United States 805-5589192047 Securitized Asset Fund 450,000,000 0

STONE RIDGE ASSET MANAGEMENT LLC

ownership team - last updated 2021-03-30
Name Title Start Date Direct/Indirect % Ownership
STEVENS, ROSS, L CHIEF EXECUTIVE OFFICER 09/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC MANAGING MEMBER direct 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
GERMAIN, PAUL, ERIC PRESIDENT 01/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC HEAD OF ALTERNATIVE LENDING AND CHIEF OPERATIONS OFFICER direct 2018-03-01
STONE RIDGE HOLDINGS GROUP LP OWNER 09/01/2012 Direct 75% or more
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC OWNER direct 2012-09-01
SEIFAN, TOMER HEAD OF STRUCTURED INVESTMENTS AND CHIEF FINANCIAL OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC HEAD OF STRUCTURED INVESTMENTS AND CHIEF FINANCIAL OFFICER direct 2018-01-01
ROTHWELL, JAMES, THOMAS CHIEF ADMINISTRATIVE OFFICER AND HEAD OF LEGAL 10/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC HEAD OF LEGAL direct 2015-10-01
MACIOCE, LAUREN, DECKER GENERAL COUNSEL / CHIEF COMPLIANCE OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC GENERAL COUNSEL / CHIEF COMPLIANCE OFFICER direct 2016-02-01
DONAT, SAMUEL, LAWRENCE CHIEF OPERATIONS OFFICER 03/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC CHIEF OPERATIONS OFFICER direct 2020-03-01
STEVENS, ROSS, LAWRENCE LIMITED PARTNER STONE RIDGE HOLDINGS GROUP LP 12/01/2017 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC MANAGING MEMBER direct 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STEVENS, ROSS, LAWRENCE MANAGER OF GENERAL PARTNER STONE RIDGE HOLDINGS GROUP LP 12/01/2017 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC MANAGING MEMBER direct 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
LOAN ASSET ISSUER II LLC, SERIES 2020-1 United States 805-5589192047 Securitized Asset Fund 450,000,000 0
LOAN ASSET ISSUER LLC, SERIES 2020-3 United States 805-2704936888 Securitized Asset Fund 10,282,455 0
LOAN ASSET ISSUER LLC, SERIES 2020 M-1 United States 805-8048978618 Securitized Asset Fund 756,074,898 0
DRUG ROYALTIES CAYMAN FUND II LP Cayman Islands 805-8023022373 Private Equity Fund 9,255,000 100,000 Feeder Fund
DRUG ROYALTIES FUND II LLC United States 805-3698960183 Private Equity Fund 164,405,000 100,000 Feeder Fund
DRUG ROYALTIES OFFSHORE FUND II LLC United States 805-6995355317 Private Equity Fund 29,035,000 100,000 Feeder Fund
STONE RIDGE ALTERNATIVE LENDING ISSUER TRUST I United States 805-2219273126 Securitized Asset Fund 162,010,321 0
LOAN ASSET ISSUER LLC, SERIES 2020-1 United States 805-5005714973 Securitized Asset Fund 91,640,868 0
LONGTAIL FUND I LP Cayman Islands 805-4080016794 Private Equity Fund 48,710,000 100,000
SRRF LP Cayman Islands 805-8341085318 Hedge Fund 409,867,252 10,000,000 Master Fund
SRRF FEEDER LP Cayman Islands 805-2122303390 Hedge Fund 15,245,631 10,000,000 Feeder Fund
LOAN ASSET ISSUER LLC, SERIES 2020-2 United States 805-8250195975 Securitized Asset Fund 53,941,753 0

STONE RIDGE ASSET MANAGEMENT LLC

ownership team - last updated 2020-05-12
Name Title Start Date Direct/Indirect % Ownership
STEVENS, ROSS, L CHIEF EXECUTIVE OFFICER 09/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC MANAGING MEMBER direct 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STONE RIDGE HOLDINGS GROUP LP OWNER 09/01/2012 Direct 75% or more
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC OWNER direct 2012-09-01
SEIFAN, TOMER HEAD OF STRUCTURED INVESTMENTS AND CHIEF FINANCIAL OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC HEAD OF STRUCTURED INVESTMENTS AND CHIEF FINANCIAL OFFICER direct 2018-01-01
ROTHWELL, JAMES, THOMAS CHIEF ADMINISTRATIVE OFFICER AND HEAD OF LEGAL 10/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC HEAD OF LEGAL direct 2015-10-01
MACIOCE, LAUREN, DECKER GENERAL COUNSEL / CHIEF COMPLIANCE OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC GENERAL COUNSEL / CHIEF COMPLIANCE OFFICER direct 2016-02-01
DONAT, SAMUEL, LAWRENCE CHIEF OPERATIONS OFFICER 03/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC CHIEF OPERATIONS OFFICER direct 2020-03-01
STEVENS, ROSS, LAWRENCE LIMITED PARTNER STONE RIDGE HOLDINGS GROUP LP 12/01/2017 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC MANAGING MEMBER direct 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STEVENS, ROSS, LAWRENCE MANAGER OF GENERAL PARTNER STONE RIDGE HOLDINGS GROUP LP 12/01/2017 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC MANAGING MEMBER direct 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
LOAN ASSET ISSUER LLC, SERIES 2020-1 United States 805-5005714973 Securitized Asset Fund 58,279,853 0
LONGTAIL FUND I LP Cayman Islands 805-4080016794 Private Equity Fund 33,795,000 100,000
SRRF FEEDER LP Cayman Islands 805-2122303390 Hedge Fund 0 5,000,000 Feeder Fund
DRUG ROYALTIES SOLUTIONS FUND LLC United States 805-3905527115 Private Equity Fund 18,075,000 100,000 Feeder Fund
SRRF LP Cayman Islands 805-8341085318 Hedge Fund 125,626,484 100,000 Master Fund
DRUG ROYALTIES SOLUTIONS OFFSHORE FUND LLC United States 805-6174539700 Private Equity Fund 0 100,000 Feeder Fund
DRUG ROYALTIES CAYMAN FUND II LP Cayman Islands 805-8023022373 Private Equity Fund 9,255,000 100,000 Feeder Fund
DRUG ROYALTIES FUND II LLC United States 805-3698960183 Private Equity Fund 164,405,000 100,000 Feeder Fund
DRUG ROYALTIES OFFSHORE FUND II LLC United States 805-6995355317 Private Equity Fund 29,035,000 100,000 Feeder Fund
STONE RIDGE ALTERNATIVE LENDING ISSUER TRUST I United States 805-2219273126 Securitized Asset Fund 311,595,643 0

STONE RIDGE ASSET MANAGEMENT LLC

ownership team - last updated 2020-03-30
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
LOAN ASSET ISSUER LLC, SERIES 2020-1 United States 805-5005714973 Securitized Asset Fund 58,279,853 0
LONGTAIL FUND I LP Cayman Islands 805-4080016794 Private Equity Fund 33,795,000 100,000
SRRF FEEDER LP Cayman Islands 805-2122303390 Hedge Fund 0 5,000,000 Feeder Fund
DRUG ROYALTIES SOLUTIONS FUND LLC United States 805-3905527115 Private Equity Fund 18,075,000 100,000 Feeder Fund
SRRF LP Cayman Islands 805-8341085318 Hedge Fund 125,626,484 100,000 Master Fund
DRUG ROYALTIES SOLUTIONS OFFSHORE FUND LLC United States 805-6174539700 Private Equity Fund 0 100,000 Feeder Fund
DRUG ROYALTIES CAYMAN FUND II LP Cayman Islands 805-8023022373 Private Equity Fund 9,255,000 100,000 Feeder Fund
DRUG ROYALTIES FUND II LLC United States 805-3698960183 Private Equity Fund 164,405,000 100,000 Feeder Fund
DRUG ROYALTIES OFFSHORE FUND II LLC United States 805-6995355317 Private Equity Fund 29,035,000 100,000 Feeder Fund
STONE RIDGE ALTERNATIVE LENDING ISSUER TRUST I United States 805-2219273126 Securitized Asset Fund 311,595,643 0

STONE RIDGE ASSET MANAGEMENT LLC

ownership team - last updated 2019-05-22
Name Title Start Date Direct/Indirect % Ownership
STEVENS, ROSS, L CHIEF EXECUTIVE OFFICER 09/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC MANAGING MEMBER direct 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
GERMAIN, PAUL, ERIC HEAD OF ALTERNATIVE LENDING AND CHIEF OPERATIONS OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC HEAD OF ALTERNATIVE LENDING AND CHIEF OPERATIONS OFFICER direct 2018-03-01
STONE RIDGE HOLDINGS GROUP LP OWNER 09/01/2012 Direct 75% or more
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC OWNER direct 2012-09-01
SEIFAN, TOMER HEAD OF STRUCTURED INVESTMENTS AND CHIEF FINANCIAL OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC HEAD OF STRUCTURED INVESTMENTS AND CHIEF FINANCIAL OFFICER direct 2018-01-01
ROTHWELL, JAMES, THOMAS CHIEF ADMINISTRATIVE OFFICER AND HEAD OF LEGAL 10/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC HEAD OF LEGAL direct 2015-10-01
MACIOCE, LAUREN, DECKER GENERAL COUNSEL / CHIEF COMPLIANCE OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC GENERAL COUNSEL / CHIEF COMPLIANCE OFFICER direct 2016-02-01
STEVENS, ROSS, LAWRENCE LIMITED PARTNER STONE RIDGE HOLDINGS GROUP LP 12/01/2017 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC MANAGING MEMBER direct 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STEVENS, ROSS, LAWRENCE MANAGER OF GENERAL PARTNER STONE RIDGE HOLDINGS GROUP LP 12/01/2017 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC MANAGING MEMBER direct 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
DRUG ROYALTIES FUND II LLC United States 805-3698960183 Private Equity Fund 164,405,000 100,000 Feeder Fund
STONE RIDGE ALTERNATIVE LENDING ISSUER TRUST I United States 805-2219273126 Securitized Asset Fund 315,914,455 0
DRUG ROYALTIES CAYMAN FUND II LP Cayman Islands 805-8023022373 Private Equity Fund 9,255,000 100,000 Feeder Fund
DRUG ROYALTIES OFFSHORE FUND II LLC United States 805-6995355317 Private Equity Fund 29,035,000 100,000 Feeder Fund

STONE RIDGE ASSET MANAGEMENT LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
STEVENS, ROSS, L CHIEF EXECUTIVE OFFICER 09/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC MANAGING MEMBER direct 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
GERMAIN, PAUL, ERIC HEAD OF ALTERNATIVE LENDING AND CHIEF OPERATIONS OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC HEAD OF ALTERNATIVE LENDING AND CHIEF OPERATIONS OFFICER direct 2018-03-01
STONE RIDGE HOLDINGS GROUP LP OWNER 09/01/2012 Direct 75% or more
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC OWNER direct 2012-09-01
ROTHWELL, JAMES, THOMAS CHIEF ADMINISTRATIVE OFFICER AND HEAD OF LEGAL 10/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC HEAD OF LEGAL direct 2015-10-01
MACIOCE, LAUREN, DECKER GENERAL COUNSEL / CHIEF COMPLIANCE OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC GENERAL COUNSEL / CHIEF COMPLIANCE OFFICER direct 2016-02-01
STEVENS, ROSS, LAWRENCE LIMITED PARTNER STONE RIDGE HOLDINGS GROUP LP 12/01/2017 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC MANAGING MEMBER direct 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STEVENS, ROSS, LAWRENCE MANAGER OF GENERAL PARTNER STONE RIDGE HOLDINGS GROUP LP 12/01/2017 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC MANAGING MEMBER direct 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
DRUG ROYALTIES CAYMAN FUND II LP Cayman Islands 805-8023022373 Private Equity Fund 9,255,000 100,000 Feeder Fund
DRUG ROYALTIES OFFSHORE FUND II LLC United States 805-6995355317 Private Equity Fund 29,035,000 100,000 Feeder Fund
DRUG ROYALTIES FUND II LLC United States 805-3698960183 Private Equity Fund 164,405,000 100,000 Feeder Fund
STONE RIDGE ALTERNATIVE LENDING ISSUER TRUST I United States 805-2219273126 Securitized Asset Fund 315,914,455 0

STONE RIDGE ASSET MANAGEMENT LLC

ownership team - last updated 2017-12-14
Name Title Start Date Direct/Indirect % Ownership
STEVENS, ROSS, L MANAGING MEMBER 09/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC MANAGING MEMBER direct 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
KELLY, PATRICK CHIEF OPERATING OFFICER 09/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC CHIEF OPERATING OFFICER direct 2012-09-01
STONE RIDGE HOLDINGS GROUP LLC OWNER 09/01/2012 Direct 75% or more
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC OWNER direct 2012-09-01
ROTHWELL, JAMES, THOMAS CHIEF ADMINISTRATIVE OFFICER AND HEAD OF LEGAL 10/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC HEAD OF LEGAL direct 2015-10-01
MACIOCE, LAUREN, DECKER GENERAL COUNSEL / CHIEF COMPLIANCE OFFICER 02/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC GENERAL COUNSEL / CHIEF COMPLIANCE OFFICER direct 2016-02-01
STEVENS, ROSS, L MANAGER STONE RIDGE HOLDINGS GROUP LLC 09/01/2012 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
STONE RIDGE ASSET MANAGEMENT LLC MANAGING MEMBER direct 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01
STONE RIDGE ASSET MANAGEMENT LLC MANAGER indirect 2012-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
DRUG ROYALTIES FUND II LLC United States 805-3698960183 Private Equity Fund 114,315,000 100,000 Feeder Fund Fund of Funds
DRUG ROYALTIES CAYMAN FUND II LP Cayman Islands 805-8023022373 Private Equity Fund 6,080,000 100,000 Feeder Fund Fund of Funds
DRUG ROYALTIES OFFSHORE FUND II LLC United States 805-6995355317 Private Equity Fund 22,450,000 100,000 Feeder Fund Fund of Funds

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