Private fund adviser · Boston, MA
Columbia Cent CLO Advisers, LLC
SEC-registered investment adviser · CRD 310864 · SEC 801-119647
At a glance
Columbia Cent CLO Advisers, LLC is an SEC-registered investment adviser based in Boston, Massachusetts, with $3.0 billion in regulatory assets under management as of its Form ADV filed September 23, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a private fund adviser, ranked 1,319th of 4,686 private fund advisers and 2,833rd of 17,210 SEC-registered advisers by assets.
Main office 800-225-2365As filed on Form ADV
- Regulatory AUM
- $3.0B
- Rank among private fund advisers
- #1,319 of 4,686
- Rank among all SEC RIAs
- #2,833 of 17,210
- Rank in Massachusetts
- #186 of 627
- Clients
- 10
- Accounts
- 10
- Discretionary
- 100% of AUM
- Employees
- 24
- Advisory staff
- 13
- Offices
- 2
Owners and executives on its Form ADV
- William F. TruscottPresident, Chief Executive Officer, and Chairman of the Board
- Lee A FariaVice President and Chief Compliance Officer
- Michael G. ClarkeSenior Vice President and North America Head of Operations & Investor Services
- Brian M. EngelkingMember, Board of Directors, Vice President and Chief Financial Officer
- Gene R. TannuzzoMember, Board of Directors, Managing Director and Global Head of Fixed Income
- Michael E DefaoChief Legal Officer, Vice President and Assistant Secretary
- Stanton D. RayVice President
Custody and brokerage
Custodian
Columbia Cent CLO Advisers, LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Columbia Cent CLO Advisers, LLC is a hybrid RIA: 3 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: American Enterprise Investment Services Inc., Ameriprise Financial Services, LLC, Columbia Management Investment Distributors, Inc., Columbia Threadneedle Investments Japan Co., LTD., Riversource Distributors, Inc. and Threadneedle Investment Services Limited.
- American Enterprise Investment Services Inc. ↗CRD 26506
An introducing broker-dealer: its trades clear through another firm, which holds the brokerage accounts. Its annual audited report filed with the SEC, February 2026
- Ameriprise Financial Services, LLC ↗CRD 6363
- Columbia Management Investment Distributors, Inc. ↗CRD 840
- Columbia Threadneedle Investments Japan Co., LTD.
- Riversource Distributors, Inc. ↗CRD 139135
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, February 2026
- Threadneedle Investment Services Limited
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 10 | $3.0B | 100% |
Private funds
Columbia Cent CLO Advisers, LLC reports 10 private funds with $3.0B in gross assets: securitized asset funds (Form ADV Item 7.B).
Disciplinary disclosures
Columbia Cent CLO Advisers, LLC answers yes to 6 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗
AtlasMembers
The full record on Columbia Cent CLO Advisers, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 5 years of filings
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- Growth over one, three and five years
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- Rank against 1,640 peers of its type and size
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- Owners and executives, with titles and stakes
- 7 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Columbia Cent CLO Advisers, LLC manage?
Columbia Cent CLO Advisers, LLC reports $3.0 billion in regulatory assets under management across 10 accounts, 100% of it on a discretionary basis, on its Form ADV filed September 23, 2026.
What kind of firm is Columbia Cent CLO Advisers, LLC?
Columbia Cent CLO Advisers, LLC is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets. It reports a bank or thrift among its related persons. A public reporting company controls it.
Who are Columbia Cent CLO Advisers, LLC’s clients?
By assets, its largest client types are pooled investment vehicles ($3.0 billion, 10 clients).
Does Columbia Cent CLO Advisers, LLC manage private funds?
Yes. It reports 10 private funds with $3.0 billion in gross assets, including securitized asset funds.
Does Columbia Cent CLO Advisers, LLC have any disciplinary history?
Columbia Cent CLO Advisers, LLC answers yes to 6 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Columbia Cent CLO Advisers, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-23), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →