Spring Lake Asset Management, Inc.
- Regulatory AUM
- $1.5B
- Discretionary
- $1.5B
- Clients
- 4
- Avg AUM / client
- $368M
- Accounts
- 4
- Employees
- 10
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 20, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Pooled investment vehicles (non-investment companies) | 4 | $1.5B | 100.0% |
Private funds (2)
Reported in Form ADV Section 7.B.(1), filing of Mar 2024 · $1.1B combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Spring Lake Unconstrained Municipal Opportunities Fund, Llc master | Hedge Fund | Delaware | $937M | 136 |
| Spring Lake Unconstrained Municipal Opportunities Fund Ii, Llc | Hedge Fund | Delaware | $149M | 87 |
People (5)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Caldwell, Thomas, Barry | Ceo | Jan 2015 (12y) | 25% – 50% | |
| Crosby, Christopher, William | President | Jan 2015 (12y) | 25% – 50% | |
| Briscoe, Kaitlin, Mcgillion | Portfolio Manager | Jan 2017 (10y) | 25% – 50% | |
| Thomas, David, Edward | Chief Operating Officer/Chief Compliance Officer | Feb 2017 (10y) | Less than 5% | |
| Brodsky, Michael, Dylan | Portfolio Manager | Jan 2023 (4y) | 25% – 50% |
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 (2, $1.1B gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Spring Lake Unconstrained Municipal Opportunities Fund, Llc | Hedge Fund | $937M | $0 | 136 |
| Spring Lake Unconstrained Municipal Opportunities Fund Ii, Llc | Hedge Fund | $149M | $0 | 87 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/20/2026 | 1.34 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Portfolio management for pooled investment vehicles
Custody
Firm reports having custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 20, 2026.
View current Form ADV (SEC/IAPD) ↗