Private fund adviser · Charlotte, NC
Steele Creek Investment Management LLC
SEC-registered investment adviser · CRD 170209 · SEC 801-79139
At a glance
Steele Creek Investment Management LLC is an SEC-registered investment adviser based in Charlotte, North Carolina, with $1.7 billion in regulatory assets under management as of its Form ADV filed March 24, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a private fund adviser, ranked 1,787th of 4,686 private fund advisers and 3,932nd of 17,210 SEC-registered advisers by assets.
Main office 704-343-6011steelecreek.comAs filed on Form ADV
- Regulatory AUM
- $1.7B
- Rank among private fund advisers
- #1,787 of 4,686
- Rank among all SEC RIAs
- #3,932 of 17,210
- Rank in North Carolina
- #49 of 288
- Clients
- 11
- Accounts
- 11
- Discretionary
- 100% of AUM
- Employees
- 12
- Advisory staff
- 12
- Offices
- 1
Owners and executives on its Form ADV
- Glenn P. DuffyChief Investment Officer
- Christopher R. RyanManaging Director
- Max C WagenbergSenior Portfolio Manager/chief Operating Officer/chief Compliance Officer
Custody and brokerage
Custodian
Steele Creek Investment Management 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
Affiliated broker-dealer
It names an affiliated broker-dealer: Moelis & Company LLC.
- Moelis & Company LLC ↗CRD 145115
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 10 | $1.6B | 93% |
| Business development companies | 1 | $126M | 7% |
Private funds
Steele Creek Investment Management LLC reports 9 private funds with $1.5B in gross assets: private equity funds, securitized asset funds (Form ADV Item 7.B).
Disciplinary disclosures
Steele Creek Investment 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 investment companies
- Portfolio management for pooled investment vehicles
How it’s paid
- A percentage of assets under management
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗steelecreek.com ↗
AtlasMembers
The full record on Steele Creek Investment 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 1,906 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Steele Creek Investment Management LLC manage?
Steele Creek Investment Management LLC reports $1.7 billion in regulatory assets under management across 11 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 24, 2026.
What kind of firm is Steele Creek Investment Management LLC?
Steele Creek Investment Management LLC is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets.
Who are Steele Creek Investment Management LLC’s clients?
By assets, its largest client types are pooled investment vehicles ($1.6 billion, 10 clients); business development companies ($126 million, 1 clients).
Does Steele Creek Investment Management LLC manage private funds?
Yes. It reports 9 private funds with $1.5 billion in gross assets, including private equity funds, securitized asset funds.
Does Steele Creek Investment Management LLC have any disciplinary history?
Steele Creek Investment 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 Steele Creek Investment 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 (2026-03-24), 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 →