Broker-dealer firm · New York, NY
Star Mountain Fund Management, LLC
SEC-registered investment adviser · CRD 164728 · SEC 801-80161
At a glance
Star Mountain Fund Management, LLC is an SEC-registered investment adviser based in New York, New York, with $4.2 billion in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a broker-dealer firm, ranked 94th of 391 broker-dealer firms and 2,362nd of 17,210 SEC-registered advisers by assets.
Main office 212-810-9044starmountaincapital.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $4.2B
- Rank among broker-dealer firms
- #94 of 391
- Rank among all SEC RIAs
- #2,362 of 17,210
- Rank in New York
- #604 of 2,591
- Clients
- 34
- Accounts
- 34
- Discretionary
- 88% of AUM
- Employees
- 121
- Advisory staff
- 22
- Offices
- 11
Owners and executives on its Form ADV
- Christopher J. GimbertChief Financial Officer
- Brett A. HickeyManaging Member
- Stephen B. ParasManaging Director & Chief Credit Officer
- John W. PolisChief Operating Officer & Chief Technology Officer
- Austin S. EricsonGeneral Counsel & Chief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Star Mountain Fund Management, LLC is a hybrid RIA: 24 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Star Mountain Advisors, LLC.
- Star Mountain Advisors, LLC ↗CRD 153505
Its Form ADV brochure (filed March 2026) names Star Mountain Advisors as the broker-dealer its advisers are registered with.
Star Mountain Advisors will be entitled to receive fees equal to any fees that Star Mountain Advisors is required to pay its registered representatives, as well as a margin fee equal to 10% of the net fee retained by each registered represe
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 29 | $3.5B | 85% |
| Business development companies | 1 | $387M | 9% |
| Corporations or other businesses | 4 | $253M | 6% |
Private funds
Star Mountain Fund Management, LLC reports 22 private funds with $2.8B in gross assets: private equity funds (Form ADV Item 7.B).
Disciplinary disclosures
Star Mountain Fund Management, LLC reports no disciplinary disclosures in Item 11 of Form ADV. 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 ↗starmountaincapital.com ↗
AtlasMembers
The full record on Star Mountain Fund Management, 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, ten years of filings
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- Growth over one, three and five years
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- Rank against 88 peers of its type and size
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- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
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- 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 Star Mountain Fund Management, LLC manage?
Star Mountain Fund Management, LLC reports $4.2 billion in regulatory assets under management across 34 accounts, 88% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
What kind of firm is Star Mountain Fund Management, LLC?
Star Mountain Fund Management, LLC is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Star Mountain Fund Management, LLC’s clients?
By assets, its largest client types are pooled investment vehicles ($3.5 billion, 29 clients); business development companies ($387 million, 1 clients); corporations or other businesses ($253 million, 4 clients).
Does Star Mountain Fund Management, LLC manage private funds?
Yes. It reports 22 private funds with $2.8 billion in gross assets, including private equity funds.
Does Star Mountain Fund Management, LLC have any disciplinary history?
Star Mountain Fund Management, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Star Mountain Fund Management, 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 (2026-03-31), 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 →