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Castle Creek Capital Partners VI, LP — 13F Holdings & Portfolio

CIK 1666749 · latest 13F-HR filed 2025-11-05

Backtest portfolio

Castle Creek Capital Partners VI, LP manages $55.9M in 13F-reported U.S. long-equity assets across 2 reported positions as of its 2025-09-30 13F-HR filing. Its largest disclosed positions are BCAL (69.89%), MBCN (30.11%). Quarter over quarter (versus its 2025-06-30 filing) the fund opened 0 new positions and exited 0; 1 existing position rose in reported value and 0 fell.

AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.

Loading holdings…
AUM
$55.9M

Long-equity book

Holdings
2

Distinct positions

Period
2025-09-30

Filed 2025-11-05

Q/Q Activity
+0 / −0 / ↑1 / ↓0

vs 2025-06-30

Portfolio charts

Latest quarter's book, what changed, and how the portfolio has evolved across filings.

Portfolio map

Q3 25
BCAL69.9% · 0%MBCN30.1% · 0%

Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.

Sector mix

% of 13F value

Sectors from each company's SIC code; funds and ETFs grouped separately.

Biggest buys and sells

Q2 25 → Q3 25

Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.

13F assets and positions

2 quarters

Total reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.

Top positions over time

reported value

The eight largest current positions, valued at each quarter end.

Concentration

top 10 = 100%

Cumulative share of the portfolio held in the largest N positions.

Firm Profile & Key People

As of the firm’s regulatory filing dated Mar 30, 2026.

Assets Under Management
$1.14B
Discretionary
$1.13B
Employees
12
Accounts
11
Address
11682 EL CAMINO REAL
SUITE 320
SAN DIEGO, CA 92130
Phone
(858) 756-8300
Website
Name Title / Status Ownership Type
EGGEMEYER, JOHN, MATTHEW ControlMANAGING PRINCIPAL
since Mar 2009
Less than 5%Individual
JME ADVISORY CORP ControlMANAGING MEMBER
since Mar 2009
25–50%Domestic Entity
RANA ADVISORY CORP ControlMANAGING MEMBER
since Jul 2018
10–25%Domestic Entity
RANA, SUNDEEP, VIJAY ControlMANAGING PRINCIPAL
since Jul 2018
Less than 5%Individual
SCAVUZZO ADVISORY CORP ControlMANAGING MEMBER
since Jul 2018
10–25%Domestic Entity
SCAVUZZO, ANTHONY, ROBERT ControlMANAGING PRINCIPAL
since Jul 2018
Less than 5%Individual
SYKES, DEBORAH, NMN ControlCHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER
since Jun 2021
Less than 5%Individual
VOLK ADVISORY CORP ControlMANAGING MEMBER
since Jul 2018
10–25%Domestic Entity
VOLK, DAVID, JAMES ControlMANAGING PRINCIPAL
since Jul 2018
Less than 5%Individual
PIETRZAK ADVISORY CORPMEMBER
since Mar 2009
25–50%Domestic Entity
EGGEMEYER, JOHN, MATTHEW Control
Indirect owner via JME ADVISORY CORP
PRESIDENT
since Jan 2005
75% or moreIndividual
PIETRZAK, JOHN, TOMASZ Control
Indirect owner via PIETRZAK ADVISORY CORP
PRESIDENT
since Feb 2009
75% or moreIndividual
RANA, SUNDEEP, VIJAY Control
Indirect owner via RANA ADVISORY CORP
PRESIDENT
since Aug 2013
75% or moreIndividual
SCAVUZZO, ANTHONY, ROBERT Control
Indirect owner via SCAVUZZO ADVISORY CORP
PRESIDENT
since Aug 2013
75% or moreIndividual
VOLK, DAVID, JAMES Control
Indirect owner via VOLK ADVISORY CORP
PRESIDENT
since Aug 2013
75% or moreIndividual
Ownership & leadership changes · 20 filings with changes since Nov 22, 2011

From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.

Oct 22, 2025 filing
  • AddedRANA, SUNDEEP, VIJAY · MANAGING PRINCIPAL · Less than 5% · control person
  • AddedSCAVUZZO, ANTHONY, ROBERT · MANAGING PRINCIPAL · Less than 5% · control person
  • AddedVOLK, DAVID, JAMES · MANAGING PRINCIPAL · Less than 5% · control person
  • ChangedEGGEMEYER, JOHN, MATTHEW · title MANAGING PRINCIPAL OF CASTLE CREEK ADVISORS IV LLC → MANAGING PRINCIPAL
  • ChangedJME ADVISORY CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC → MANAGING MEMBER; ownership 10–25% → 25–50%
  • ChangedPIETRZAK ADVISORY CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC → MEMBER; no longer a control person
  • ChangedRANA ADVISORY CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC → MANAGING MEMBER; now a control person
  • ChangedSCAVUZZO ADVISORY CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC → MANAGING MEMBER; now a control person
  • ChangedVOLK ADVISORY CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC → MANAGING MEMBER; now a control person
Aug 29, 2025 filing
  • ChangedJME ADVISORY CORP · ownership 25–50% → 10–25%
  • ChangedRANA ADVISORY CORP · ownership 5–10% → 10–25%
  • ChangedSCAVUZZO ADVISORY CORP · ownership 5–10% → 10–25%
  • ChangedVOLK ADVISORY CORP · ownership 5–10% → 10–25%
Mar 28, 2025 filing
  • No longer listedLEGIONS IV CORP · MEMBER OF CASTLE CREEK ADVISORS IV LLC · Less than 5% · listed since Mar 2009
  • No longer listedMERLO, MARK, GERARD · PRESIDENT · 75% or more · indirect via LEGIONS IV CORP · control person · listed since Dec 2006
  • No longer listedMIKESELL ADVISORY CORP · MEMBER OF CASTLE CREEK ADVISORS IV LLC · 5–10% · listed since Mar 2009
  • No longer listedSZUMSKI ADVISORY CORP · MEMBER OF CASTLE CREEK ADVISORS IV LLC · Less than 5% · listed since Jul 2018
  • No longer listedTHOMAS, DIANE, ELIZABETH · PRESIDENT · 75% or more · indirect via MIKESELL ADVISORY CORP · control person · listed since Mar 2022
Mar 19, 2025 filing
  • No longer listedTHOMAS, JOSEPH, MIKESELL · PRESIDENT · 75% or more · indirect via MIKESELL ADVISORY CORP · control person · listed since Feb 2009
  • AddedTHOMAS, DIANE, ELIZABETH · PRESIDENT · 75% or more · indirect via MIKESELL ADVISORY CORP · control person
  • ChangedSYKES, DEBORAH, NMN · now a control person
Aug 4, 2023 filing
  • No longer listedPIETRZAK, JOHN, TOMASZ · MANAGING PRINCIPAL OF CASTLE CREEK ADVISORS IV LLC · Less than 5% · control person · listed since Mar 2009
Mar 24, 2023 filing
  • ChangedSYKES, DEBORAH, NMN · title CONTROLLER AND CHIEF COMPLIANCE OFFICER → CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER
Mar 17, 2022 filing
  • No longer listedSZUMSKI, MARTIN, JOSEPH · PRESIDENT · 75% or more · indirect via SZUMSKI ADVISORY CORP · control person · listed since Aug 2013
  • ChangedLEGIONS IV CORP · ownership 5–10% → Less than 5%
  • ChangedPIETRZAK ADVISORY CORP · ownership 10–25% → 25–50%
Dec 3, 2021 filing
  • No longer listedSZUMSKI, MARTIN, JOSEPH · CFO & CCO OF CASTLE CREEK ADVISORS IV · Less than 5% · listed since Apr 2013
  • AddedSYKES, DEBORAH, NMN · CONTROLLER AND CHIEF COMPLIANCE OFFICER · Less than 5%
Mar 31, 2021 filing
  • ChangedEGGEMEYER, JOHN, MATTHEW · title MANAGING PRINCIPAL OF CASTLE CREEK ADVISORS IV LLC / MANAGING PRINCIPAL OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) → MANAGING PRINCIPAL OF CASTLE CREEK ADVISORS IV LLC
  • ChangedJME ADVISORY CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK ADVISORS IV LLC
  • ChangedLEGIONS IV CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK ADVISORS IV LLC; ownership 10–25% → 5–10%
  • ChangedMIKESELL ADVISORY CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK ADVISORS IV LLC; ownership 10–25% → 5–10%
  • ChangedPIETRZAK ADVISORY CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK ADVISORS IV LLC
  • ChangedPIETRZAK, JOHN, TOMASZ · title MANAGING PRINCIPAL OF CASTLE CREEK ADVISORS IV LLC / MANAGING PRINCIPAL OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) → MANAGING PRINCIPAL OF CASTLE CREEK ADVISORS IV LLC
  • ChangedRANA ADVISORY CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK ADVISORS IV LLC
  • ChangedSCAVUZZO ADVISORY CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK ADVISORS IV LLC
  • ChangedSZUMSKI, MARTIN, JOSEPH · title CFO & CCO OF CASTLE CREEK ADVISORS IV & CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) → CFO & CCO OF CASTLE CREEK ADVISORS IV
  • ChangedVOLK ADVISORY CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK ADVISORS IV LLC
Mar 30, 2020 filing
  • No longer listedMERLO, MARK, GERARD · PRESIDENT · 75% or more · indirect via LEGIONS IV CORP · control person · listed since Dec 2006
  • No longer listedTHOMAS, JOSEPH, MIKESELL · PRESIDENT · 75% or more · indirect via MIKESELL ADVISORY CORP · control person · listed since Feb 2009
  • Listed againMERLO, MARK, GERARD · PRESIDENT · 75% or more · indirect via LEGIONS IV CORP · control person
  • Listed againTHOMAS, JOSEPH, MIKESELL · PRESIDENT · 75% or more · indirect via MIKESELL ADVISORY CORP · control person
  • ChangedLEGIONS IV CORP · title MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK ADVISORS IV LLC; ownership 10–25% → 5–10%; no longer a control person
  • ChangedLEGIONS IV CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC → MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR); ownership 5–10% → 10–25%
  • ChangedMIKESELL ADVISORY CORP · title MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK ADVISORS IV LLC; ownership 10–25% → 5–10%; no longer a control person
  • ChangedMIKESELL ADVISORY CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC → MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR); ownership 5–10% → 10–25%
  • ChangedRANA ADVISORY CORP · ownership 10–25% → 5–10%
  • ChangedSCAVUZZO ADVISORY CORP · ownership 10–25% → 5–10%
  • ChangedSZUMSKI ADVISORY CORP · ownership 5–10% → Less than 5%
  • ChangedSZUMSKI, MARTIN, JOSEPH · ownership 5–10% → Less than 5%
  • ChangedVOLK ADVISORY CORP · ownership 10–25% → 5–10%
Older changes (11 more filings)
Mar 29, 2019 filing
  • No longer listedMERLO, MARK, GERARD · PRESIDENT · 75% or more · indirect via LEGIONS IV CORP · control person · listed since Dec 2006
  • No longer listedMERLO, MARK, GERARD · MANAGING PRINCIPAL OF CASTLE CREEK ADVISORS IV LLC / MANAGING PRINCIPAL OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) · Less than 5% · control person · listed since Mar 2009
  • No longer listedTHOMAS, JOSEPH, MIKESELL · MANAGING PRINCIPAL OF CASTLE CREEK ADVISORS IV LLC / MANAGING PRINCIPAL OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) · Less than 5% · control person · listed since Mar 2009
  • No longer listedTHOMAS, JOSEPH, MIKESELL · PRESIDENT · 75% or more · indirect via MIKESELL ADVISORY CORP · control person · listed since Feb 2009
  • AddedSZUMSKI ADVISORY CORP · MEMBER OF CASTLE CREEK ADVISORS IV LLC · 5–10%
  • AddedSZUMSKI, MARTIN, JOSEPH · PRESIDENT · 75% or more · indirect via SZUMSKI ADVISORY CORP · control person
  • Listed againMERLO, MARK, GERARD · PRESIDENT · 75% or more · indirect via LEGIONS IV CORP · control person
  • Listed againTHOMAS, JOSEPH, MIKESELL · PRESIDENT · 75% or more · indirect via MIKESELL ADVISORY CORP · control person
  • ChangedLEGIONS IV CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR)
  • ChangedMIKESELL ADVISORY CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR)
  • ChangedRANA ADVISORY CORP · ownership 5–10% → 10–25%
  • ChangedSCAVUZZO ADVISORY CORP · ownership 5–10% → 10–25%
  • ChangedSZUMSKI, MARTIN, JOSEPH · ownership Less than 5% → 5–10%
  • ChangedVOLK ADVISORY CORP · ownership 5–10% → 10–25%
Mar 29, 2018 filing
  • ChangedEGGEMEYER, JOHN, MATTHEW · title MANAGING PRINCIPAL OF CASTLE CREEK ADVISORS IV LLC / MANAGING PRINCIPAL OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / MANAGING PRINCIPAL OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MANAGING PRINCIPAL OF CASTLE CREEK ADVISORS IV LLC / MANAGING PRINCIPAL OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR)
  • ChangedJME ADVISORY CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR)
  • ChangedLEGIONS IV CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR)
  • ChangedMERLO, MARK, GERARD · title MANAGING PRINCIPAL OF CASTLE CREEK ADVISORS IV LLC / MANAGING PRINCIPAL OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / PRINCIPAL OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MANAGING PRINCIPAL OF CASTLE CREEK ADVISORS IV LLC / MANAGING PRINCIPAL OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR)
  • ChangedMIKESELL ADVISORY CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR)
  • ChangedPIETRZAK ADVISORY CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR)
  • ChangedPIETRZAK, JOHN, TOMASZ · title MANAGING PRINCIPAL OF CASTLE CREEK ADVISORS IV LLC / MANAGING PRINCIPAL OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / PRINCIPAL OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MANAGING PRINCIPAL OF CASTLE CREEK ADVISORS IV LLC / MANAGING PRINCIPAL OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR)
  • ChangedRANA ADVISORY CORP · title MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR)
  • ChangedSCAVUZZO ADVISORY CORP · title MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR)
  • ChangedSZUMSKI, MARTIN, JOSEPH · title CFO & CCO OF CASTLE CREEK ADV IV, CAS CRK TARP ADV (RL ADV), CAS CRK SPEC SIT ADV (RL ADV) → CFO & CCO OF CASTLE CREEK ADVISORS IV & CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR)
  • ChangedTHOMAS, JOSEPH, MIKESELL · title MANAGING PRINCIPAL OF CASTLE CREEK ADVISORS IV LLC / MANAGING PRINCIPAL OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / MANAGING PRINCIPAL OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MANAGING PRINCIPAL OF CASTLE CREEK ADVISORS IV LLC / MANAGING PRINCIPAL OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR)
  • ChangedVOLK ADVISORY CORP · title MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR)
Mar 30, 2016 filing
  • ChangedEGGEMEYER, JOHN, MATTHEW · title MANAGING PARTNER OF CASTLE CREEK ADVISORS IV LLC / MANAGING PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) / MANAGING PRINCIPAL OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MANAGING PRINCIPAL OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) → MANAGING PRINCIPAL OF CASTLE CREEK ADVISORS IV LLC / MANAGING PRINCIPAL OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / MANAGING PRINCIPAL OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedJME ADVISORY CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedLEGIONS IV CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedMERLO, MARK, GERARD · title MANAGING PRINCIPAL OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MANAGING PRINCIPAL OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / PARTNER OF CASTLE CREEK ADVISORS IV LLC / PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MANAGING PRINCIPAL OF CASTLE CREEK ADVISORS IV LLC / MANAGING PRINCIPAL OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / PRINCIPAL OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedMIKESELL ADVISORY CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedPIETRZAK ADVISORY CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedPIETRZAK, JOHN, TOMASZ · title MANAGING PRINCIPAL OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MANAGING PRINCIPAL OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / PARTNER OF CASTLE CREEK ADVISORS IV LLC / PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MANAGING PRINCIPAL OF CASTLE CREEK ADVISORS IV LLC / MANAGING PRINCIPAL OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / PRINCIPAL OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedRANA ADVISORY CORP · title MEMBER OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR)
  • ChangedSCAVUZZO ADVISORY CORP · title MEMBER OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR)
  • ChangedSZUMSKI, MARTIN, JOSEPH · title CFO & CCO OF CASTLE CREEK ADV IV, CAS CRK TARP ADV (RL ADV), CAS CRK CLASS B TARP ADV (RL ADV), CAS CRK SPEC SIT ADV (RL ADV) → CFO & CCO OF CASTLE CREEK ADV IV, CAS CRK TARP ADV (RL ADV), CAS CRK SPEC SIT ADV (RL ADV)
  • ChangedTHOMAS, JOSEPH, MIKESELL · title MANAGING PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) / MANAGING PRINCIPAL OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MANAGING PRINCIPAL OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / PARTNER OF CASTLE CREEK ADVISORS IV LLC → MANAGING PRINCIPAL OF CASTLE CREEK ADVISORS IV LLC / MANAGING PRINCIPAL OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / MANAGING PRINCIPAL OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedVOLK ADVISORY CORP · title MEMBER OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR)
Mar 31, 2015 filing
  • No longer listedMOODY, SHARON, KRICKL · CCO OF CASTLE CREEK ADVISORS IV, CAS CRK TARP ADV (RL ADV), CAS CRK CLASS B TARP ADV (RL ADV), CAS CRK SPEC SIT ADV (RL ADV) · Less than 5% · listed since Nov 2013
  • ChangedSZUMSKI, MARTIN, JOSEPH · title CFO OF CASTLE CREEK ADVISORS IV LLC & CASTLE CREEK TARP ADVISORS LLC (RLY ADV) & CASTLE CREEK CLASS B TARP ADVISORS LLC(RLY ADV) / CFO OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) → CFO & CCO OF CASTLE CREEK ADV IV, CAS CRK TARP ADV (RL ADV), CAS CRK CLASS B TARP ADV (RL ADV), CAS CRK SPEC SIT ADV (RL ADV)
Nov 13, 2014 filing
  • No longer listedRUH ADVISORY CORP · MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) · 25–50% · control person · listed since Mar 2009
  • No longer listedRUH, WILLIAM, JOHN · PRESIDENT · 75% or more · indirect via RUH ADVISORY CORP · control person · listed since Jan 2005
May 30, 2014 filing
  • ChangedEGGEMEYER, JOHN, MATTHEW · title MANAGING PARTNER OF CASTLE CREEK ADVISORS IV LLC / MANAGING PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) / MANAGING PRINCIPAL OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) → MANAGING PARTNER OF CASTLE CREEK ADVISORS IV LLC / MANAGING PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) / MANAGING PRINCIPAL OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MANAGING PRINCIPAL OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR)
  • ChangedJME ADVISORY CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedLEGIONS IV CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedMERLO, MARK, GERARD · title MANAGING PRINCIPAL OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / PARTNER OF CASTLE CREEK ADVISORS IV LLC / PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MANAGING PRINCIPAL OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MANAGING PRINCIPAL OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / PARTNER OF CASTLE CREEK ADVISORS IV LLC / PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedMIKESELL ADVISORY CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedMOODY, SHARON, KRICKL · title CCO OF CASTLE CREEK ADVISORS IV LLC & CASTLE CREEK TARP ADVISORS LLC (RL ADV) & CASTLE CREEK CLASS B TARP ADVISORS LLC (RL ADV) → CCO OF CASTLE CREEK ADVISORS IV, CAS CRK TARP ADV (RL ADV), CAS CRK CLASS B TARP ADV (RL ADV), CAS CRK SPEC SIT ADV (RL ADV)
  • ChangedPIETRZAK ADVISORY CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedPIETRZAK, JOHN, TOMASZ · title MANAGING PRINCIPAL OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / PARTNER OF CASTLE CREEK ADVISORS IV LLC / PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MANAGING PRINCIPAL OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MANAGING PRINCIPAL OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / PARTNER OF CASTLE CREEK ADVISORS IV LLC / PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedRANA ADVISORY CORP · title MEMBER OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR)
  • ChangedSCAVUZZO ADVISORY CORP · title MEMBER OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR)
  • ChangedSZUMSKI, MARTIN, JOSEPH · title CFO OF CASTLE CREEK ADVISORS IV LLC & CASTLE CREEK TARP ADVISORS LLC (RLY ADV) & CASTLE CREEK CLASS B TARP ADVISORS LLC(RLY ADV) → CFO OF CASTLE CREEK ADVISORS IV LLC & CASTLE CREEK TARP ADVISORS LLC (RLY ADV) & CASTLE CREEK CLASS B TARP ADVISORS LLC(RLY ADV) / CFO OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR)
  • ChangedTHOMAS, JOSEPH, MIKESELL · title MANAGING PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) / MANAGING PRINCIPAL OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / PARTNER OF CASTLE CREEK ADVISORS IV LLC → MANAGING PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) / MANAGING PRINCIPAL OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MANAGING PRINCIPAL OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR) / PARTNER OF CASTLE CREEK ADVISORS IV LLC
  • ChangedVOLK ADVISORY CORP · title MEMBER OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK SPECIAL SITUATIONS ADVISORS LLC (RELYING ADVISOR)
Mar 27, 2014 filing
  • AddedSZUMSKI, MARTIN, JOSEPH · CFO OF CASTLE CREEK ADVISORS IV LLC & CASTLE CREEK TARP ADVISORS LLC (RLY ADV) & CASTLE CREEK CLASS B TARP ADVISORS LLC(RLY ADV) · Less than 5%
  • ChangedMERLO, MARK, GERARD · title MANAGING PARTNER OF CASTLE CREEK ADVISORS IV LLC / MANAGING PRINCIPAL OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MANAGING PRINCIPAL OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / PARTNER OF CASTLE CREEK ADVISORS IV LLC / PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedMOODY, SHARON, KRICKL · title CCO OF CASTLE CREEK ADVISORS IV LLC & CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → CCO OF CASTLE CREEK ADVISORS IV LLC & CASTLE CREEK TARP ADVISORS LLC (RL ADV) & CASTLE CREEK CLASS B TARP ADVISORS LLC (RL ADV)
  • ChangedPIETRZAK, JOHN, TOMASZ · title MANAGING PARTNER OF CASTLE CREEK ADVISORS IV LLC / MANAGING PRINCIPAL OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MANAGING PRINCIPAL OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / PARTNER OF CASTLE CREEK ADVISORS IV LLC / PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedTHOMAS, JOSEPH, MIKESELL · title MANAGING PARTNER OF CASTLE CREEK ADVISORS IV LLC / MANAGING PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) / MANAGING PRINCIPAL OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) → MANAGING PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) / MANAGING PRINCIPAL OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / PARTNER OF CASTLE CREEK ADVISORS IV LLC
Feb 11, 2014 filing
  • AddedRANA ADVISORY CORP · MEMBER OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) · 5–10%
  • AddedRANA, SUNDEEP, VIJAY · PRESIDENT · 75% or more · indirect via RANA ADVISORY CORP · control person
  • AddedSCAVUZZO ADVISORY CORP · MEMBER OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) · 5–10%
  • AddedSCAVUZZO, ANTHONY, ROBERT · PRESIDENT · 75% or more · indirect via SCAVUZZO ADVISORY CORP · control person
  • AddedVOLK ADVISORY CORP · MEMBER OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) · 5–10%
  • AddedVOLK, DAVID, JAMES · PRESIDENT · 75% or more · indirect via VOLK ADVISORY CORP · control person
  • ChangedEGGEMEYER, JOHN, MATTHEW · title MANAGING PARTNER OF CASTLE CREEK ADVISORS IV LLC / MANAGING PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MANAGING PARTNER OF CASTLE CREEK ADVISORS IV LLC / MANAGING PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) / MANAGING PRINCIPAL OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedJME ADVISORY CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedLEGIONS IV CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedMERLO, MARK, GERARD · title MANAGING PARTNER OF CASTLE CREEK ADVISORS IV LLC / PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MANAGING PARTNER OF CASTLE CREEK ADVISORS IV LLC / MANAGING PRINCIPAL OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedMIKESELL ADVISORY CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedPIETRZAK ADVISORY CORP · title MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedPIETRZAK, JOHN, TOMASZ · title MANAGING PARTNER OF CASTLE CREEK ADVISORS IV LLC / PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MANAGING PARTNER OF CASTLE CREEK ADVISORS IV LLC / MANAGING PRINCIPAL OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR) / PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedTHOMAS, JOSEPH, MIKESELL · title MANAGING PARTNER OF CASTLE CREEK ADVISORS IV LLC / MANAGING PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MANAGING PARTNER OF CASTLE CREEK ADVISORS IV LLC / MANAGING PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) / MANAGING PRINCIPAL OF CASTLE CREEK CLASS B TARP ADVISORS LLC (RELYING ADVISOR)
Dec 4, 2013 filing
  • No longer listedRUH, WILLIAM, JOHN · CCO OF CASTLE CREEK ADVISORS IV LLC & CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) / MANAGING PARTNER OF CASTLE CREEK ADVISORS IV LLC / PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) · Less than 5% · control person · listed since Mar 2009
  • AddedMOODY, SHARON, KRICKL · CCO OF CASTLE CREEK ADVISORS IV LLC & CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) · Less than 5%
  • ChangedMERLO, MARK, GERARD · title PARTNER OF CASTLE CREEK ADVISORS IV LLC / PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MANAGING PARTNER OF CASTLE CREEK ADVISORS IV LLC / PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedPIETRZAK, JOHN, TOMASZ · title PARTNER OF CASTLE CREEK ADVISORS IV LLC / PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) → MANAGING PARTNER OF CASTLE CREEK ADVISORS IV LLC / PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedTHOMAS, JOSEPH, MIKESELL · title MANAGING PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) / PARTNER OF CASTLE CREEK ADVISORS IV LLC → MANAGING PARTNER OF CASTLE CREEK ADVISORS IV LLC / MANAGING PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
May 23, 2012 filing
  • ChangedEGGEMEYER, JOHN, MATTHEW · title MANAGING PARTNER → MANAGING PARTNER OF CASTLE CREEK ADVISORS IV LLC / MANAGING PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedJME ADVISORY CORP · title MEMBER → MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedLEGIONS IV CORP · title MEMBER → MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedMERLO, MARK, GERARD · title PARTNER → PARTNER OF CASTLE CREEK ADVISORS IV LLC / PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedMIKESELL ADVISORY CORP · title MEMBER → MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedPIETRZAK ADVISORY CORP · title MEMBER → MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR); ownership 5–10% → 10–25%
  • ChangedPIETRZAK, JOHN, TOMASZ · title PARTNER → PARTNER OF CASTLE CREEK ADVISORS IV LLC / PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedRUH ADVISORY CORP · title MEMBER → MEMBER OF CASTLE CREEK ADVISORS IV LLC / MEMBER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedRUH, WILLIAM, JOHN · title CCO / MANAGING PARTNER → CCO OF CASTLE CREEK ADVISORS IV LLC & CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) / MANAGING PARTNER OF CASTLE CREEK ADVISORS IV LLC / PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR)
  • ChangedTHOMAS, JOSEPH, MIKESELL · title PARTNER → MANAGING PARTNER OF CASTLE CREEK TARP ADVISORS LLC (RELYING ADVISOR) / PARTNER OF CASTLE CREEK ADVISORS IV LLC
Nov 22, 2011 filing (earliest on record)
  • ListedEGGEMEYER, JOHN, MATTHEW · MANAGING PARTNER · Less than 5% · control person
  • ListedEGGEMEYER, JOHN, MATTHEW · PRESIDENT · 75% or more · indirect via JME ADVISORY CORP · control person
  • ListedJME ADVISORY CORP · MEMBER · 25–50% · control person
  • ListedLEGIONS IV CORP · MEMBER · 10–25% · control person
  • ListedMERLO, MARK, GERARD · PRESIDENT · 75% or more · indirect via LEGIONS IV CORP · control person
  • ListedMERLO, MARK, GERARD · PARTNER · Less than 5% · control person
  • ListedMIKESELL ADVISORY CORP · MEMBER · 10–25% · control person
  • ListedPIETRZAK ADVISORY CORP · MEMBER · 5–10% · control person
  • ListedPIETRZAK, JOHN, TOMASZ · PRESIDENT · 75% or more · indirect via PIETRZAK ADVISORY CORP · control person
  • ListedPIETRZAK, JOHN, TOMASZ · PARTNER · Less than 5% · control person
  • ListedRUH ADVISORY CORP · MEMBER · 25–50% · control person
  • ListedRUH, WILLIAM, JOHN · PRESIDENT · 75% or more · indirect via RUH ADVISORY CORP · control person
  • ListedRUH, WILLIAM, JOHN · CCO / MANAGING PARTNER · Less than 5% · control person
  • ListedTHOMAS, JOSEPH, MIKESELL · PARTNER · Less than 5% · control person
  • ListedTHOMAS, JOSEPH, MIKESELL · PRESIDENT · 75% or more · indirect via MIKESELL ADVISORY CORP · control person

Quarter-over-quarter changes

Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.

Top Adds (vs prior quarter)

Show all 1 →

Top Trims

  • No decreased positions.
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New Positions

  • No new positions this quarter.
Show all 0 →

Exited Positions

  • No exits this quarter.
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Castle Creek Capital Partners VI, LP Holdings (2025-09-30)

Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).

# Issuer Symbol CUSIP Value Weight Shares Type
1 CALIFORNIA BANCORP BCAL 84252A106 $39.0M 69.89% 2,340,719 SH
2 MIDDLEFIELD BANC CORP. MBCN 596304204 $16.8M 30.11% 560,500 SH
Filing History
Period Filed AUM Holdings Accession
2025-09-30 2025-11-05 $55.9M 2 0001104659-25-107032
2025-06-30 2025-08-12 $53.8M 2 0001104659-25-076833