Newcastle Investment Corp. (New York)


Newcastle Investment Corp. is a related adviser based in New York. It manages $72.56 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdiction of New York.

Newcastle Investment Corp provides portfolio management for pooled investment vehicles and collateral management for collateralized debt obligations. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Newcastle Investment Corp: assets under management

The assets under management (AUM) of Newcastle Investment Corp. is $72.56 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -98% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $72.56 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $36.28 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Newcastle Investment Corp. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Newcastle Investment Corp.

Kevin James Finnerty has been acting as President since 1 Aug 2005. Phillip John Evanski has served as the Chief Investment Officer since 1 Jun 2006. Sarah Louise Watterson joined the executive team most recently as the Chief Executive Officer And President.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Kenneth M Riis Director, chief executive officer and president 1 Jun 2002 Other 1859456
Randal Alan Nardone Secretary 1 Jun 2002 Other 2694339
Wesley Robert Edens Chairman of the board of directors 1 Jun 2002 Other 1320094
Jonathan Ashley Chief operating officer 1 Jun 2002 Other 2446748
Stuart A Mcfarland Director 1 Oct 2002 Other 5875479
David K Mckown Director 1 Nov 2002 Other 5875478
Peter Marcussen Miller Director 1 Feb 2003 Other 2329981
Michael Joshua Cohn Chief compliance officer 1 Mar 2005 Other 4938950
Kevin James Finnerty Director 1 Aug 2005 Other 842325
Phillip John Evanski Chief investment officer 1 Jun 2006 Other 1864014
Kenneth M Riis Director 1 Feb 2007 Other 1859456
Brian Chad Sigman Chief financial officer 1 Aug 2008 Other 5874585
Alan Levering Tyson Director 1 Nov 2011 Other 1175662
Justine Annette Cheng Chief financial officer, treasurer and chief operating officer 1 Mar 2014 Other 3110700
Clifford Press Director 1 Feb 2016 Other 5047156
Sarah Louise Watterson Chief executive officer and president 1 Sep 2016 Other 5543018
Sara Ann Yakin Chief operating officer 1 Sep 2016 Other 5366710
Lawrence Arthur Goodfield Chief financial officer, chief accounting officer, and treasurer 1 Sep 2016 Other 6762592

Based in New York

The principal office where Newcastle Investment Corp. performs its advisory services is located at 1345 Avenue Of The Americas, New York, NY 10105, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-798-6100 or by fax 917-591-8633. The normal business hours are 8am - 6pm on Monday - Friday. You can find more information about the New York firm at newcastleinv.com/.