Castle Creek Advisors Iv Llc
- Regulatory AUM
- $1.1B
- Discretionary
- $1.1B
- Clients
- 10
- Avg AUM / client
- $114M
- Accounts
- 11
- Employees
- 12
AUM over time
Annual snapshots from Form ADV filings · as of Mar 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Pooled investment vehicles (non-investment companies) | 10 | $1.1B | 100.0% |
| Corporations and other businesses | Fewer than 5 clients | $511K | 0.04% |
Private funds (6)
Reported in Form ADV Section 7.B.(1), filing of Mar 2024 · $775M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Castle Creek Capital Partners Vii, Lp | Private Equity Fund | Delaware | $276M | 38 |
| Castle Creek Capital Partners Vi, Lp | Private Equity Fund | Delaware | $256M | 27 |
| Castle Creek Capital Partners Viii, Lp | Private Equity Fund | Delaware | $208M | 86 |
| Castle Creek Special Situations Ii, Lp | Private Equity Fund | Delaware | $16.9M | 1 |
| Castle Creek Capital Partners Vii Co Investment Fund L.P. | Private Equity Fund | Delaware | $9.8M | 4 |
| Castle Creek Capital Partners Viii Co Investment Fund A, Lp | Private Equity Fund | Delaware | $7.4M | 3 |
People (8)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Eggemeyer, John, Matthew | Managing Principal Of Castle Creek Advisors Iv Llc | Jan 2005 (22y) | ≈ 18.75% – 50% via Jme Advisory Corp | |
| Merlo, Mark, Gerard | President | Dec 2006 (20y) | ≈ 0% – 5% via Legions Iv Corp | |
| Pietrzak, John, Tomasz | President | Feb 2009 (18y) | ≈ 18.75% – 50% via Pietrzak Advisory Corp | |
| Thomas, Joseph, Mikesell | President | Feb 2009 (18y) | ≈ 3.75% – 10% via Mikesell Advisory Corp | |
| Rana, Sundeep, Vijay | President | Aug 2013 (13y) | ≈ 3.75% – 10% via Rana Advisory Corp | |
| Scavuzzo, Anthony, R | President | Aug 2013 (13y) | ≈ 3.75% – 10% via Scavuzzo Advisory Corp | |
| Volk, David, James | President | Aug 2013 (13y) | ≈ 3.75% – 10% via Volk Advisory Corp | |
| Sykes, Deborah | Chief Financial Officer And Chief Compliance Officer | Jun 2021 (5y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Jme Advisory Corp | Member Of Castle Creek Advisors Iv Llc | Mar 2009 | A | 25% – 50% |
| Pietrzak Advisory Corp | Member Of Castle Creek Advisors Iv Llc | Mar 2009 | A | 25% – 50% |
| Scavuzzo Advisory Corp | Member Of Castle Creek Advisors Iv Llc | Jul 2018 | A | 5% – 10% |
| Rana Advisory Corp | Member Of Castle Creek Advisors Iv Llc | Jul 2018 | A | 5% – 10% |
| Volk Advisory Corp | Member Of Castle Creek Advisors Iv Llc | Jul 2018 | A | 5% – 10% |
| Mikesell Advisory Corp | Member Of Castle Creek Advisors Iv Llc | Mar 2009 | A | 5% – 10% |
| Szumski Advisory Corp | Member Of Castle Creek Advisors Iv Llc | Jul 2018 | A | Less than 5% |
| Legions Iv Corp | Member Of Castle Creek Advisors Iv Llc | Mar 2009 | A | Less than 5% |
Undisclosed: 0% – 30% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Eggemeyer, John, Matthew: 75% – 100% of Jme Advisory Corp × 25% – 50% direct ≈ 18.75% – 50% of the firm
- Merlo, Mark, Gerard: 75% – 100% of Legions Iv Corp × 0% – 5% direct ≈ 0% – 5% of the firm
- Pietrzak, John, Tomasz: 75% – 100% of Pietrzak Advisory Corp × 25% – 50% direct ≈ 18.75% – 50% of the firm
- Thomas, Joseph, Mikesell: 75% – 100% of Mikesell Advisory Corp × 5% – 10% direct ≈ 3.75% – 10% of the firm
- Rana, Sundeep, Vijay: 75% – 100% of Rana Advisory Corp × 5% – 10% direct ≈ 3.75% – 10% of the firm
- Scavuzzo, Anthony, R: 75% – 100% of Scavuzzo Advisory Corp × 5% – 10% direct ≈ 3.75% – 10% of the firm
- Volk, David, James: 75% – 100% of Volk Advisory Corp × 5% – 10% direct ≈ 3.75% – 10% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (6, $775M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Castle Creek Capital Partners Vii, Lp | Private Equity Fund | $276M | $10.0M | 38 |
| Castle Creek Capital Partners Vi, Lp | Private Equity Fund | $256M | $10.0M | 27 |
| Castle Creek Capital Partners Viii, Lp | Private Equity Fund | $208M | $10.0M | 86 |
| Castle Creek Special Situations Ii, Lp | Private Equity Fund | $16.9M | $0 | 1 |
| Castle Creek Capital Partners Vii Co Investment Fund L.P. | Private Equity Fund | $9.8M | $0 | 4 |
| Castle Creek Capital Partners Viii Co Investment Fund A, Lp | Private Equity Fund | $7.4M | $0 | 3 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2026 | 3.48 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: IN JUNE 2014, CERTAIN FORMER DIRECTORS, OFFICERS AND EMPLOYEES OF FIRST CHICAGO BANK & TRUST ("FIRST CHICAGO"), INCLUDING J. MIKESELL THOMAS, SETTLED CLAIMS BY THE FEDERAL DEPOSIT INSURANCE CORPORATION (THE "FDIC") AGAINST SUCH INDIVIDUALS, WITHOUT ADMISSION OF ANY LIABILITY ON THE PART OF SUCH INDIVIDUALS, ARISING FROM THEIR DUTIES AS DIRECTORS, OFFICERS AND EMPLOYEES OF FIRST CHICAGO. THE CLAIMS RELATED TO FIRST CHICAGO'S CLOSURE ON JULY 8, 2011 BY THE ILLINOIS DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION, WHERE THE FDIC WAS NAMED RECEIVER. Status: Final Sanction Detail: SEE 13. Summary: SETTLEMENT WITH FDIC OF POTENTIAL CLAIMS AGAINST CERTAIN DIRECTORS, OFFICERS, AND EMPLOYEES OF FIRST CHICAGO INCLUDING J. MIKESELL THOMAS. SETTLEMENT NOT SPECIFIC TO ANY ONE INDIVIDUAL.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Northern Trust $7.6M (1% of AUM) Jun 2020
- BNY Mellon $4.8M (1% of AUM) Mar 2018
- Charles Schwab & Co. $511K (0% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 30, 2026.
View current Form ADV (SEC/IAPD) ↗