{"url":"https://nivawealth.com/firms/flat-rock-global-288551","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/288551","regulatoryAum":1568097027,"crd":"288551","history":[{"filedOn":"2021-02-23","regulatoryAum":205365000,"clients":3,"employees":9,"offices":1},{"filedOn":"2022-03-29","regulatoryAum":407056000,"clients":3,"employees":10,"offices":1},{"filedOn":"2023-03-29","regulatoryAum":552433220,"clients":4,"employees":10,"offices":1},{"filedOn":"2024-03-25","regulatoryAum":833053514,"clients":3,"employees":12,"offices":1},{"filedOn":"2025-03-28","regulatoryAum":1313299587,"clients":3,"employees":12,"offices":1},{"filedOn":"2026-03-24","regulatoryAum":1568097027,"clients":3,"employees":13,"offices":1}],"secFileNumber":"801-110612","legalName":"Flat Rock Global, LLC","displayName":"Flat Rock Global","slug":"flat-rock-global-288551","website":"https://flatrockglobal.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/288551/2901c029ebe9cc41-r1.webp","tone":"light","width":853,"height":200,"sourceUrl":"https://flatrockglobal.com/","sourceLabel":"Flat Rock Global, website"},"classification":{"segment":"registered_funds","segmentLabel":"Fund management","type":"fund_manager","typeLabel":"Mutual funds & ETFs","feeDisclosure":"payment_only"},"linkedinUrl":"https://www.linkedin.com/company/flat-rock-global-llc/","founded":null,"organization":"Wyoming limited liability company","fiscalYearEnd":"December","headquarters":{"street":"680 S Cache Street, Suite 100","city":"Jackson","state":"WY","stateName":"Wyoming","country":"United States","postalCode":"83001"},"tradeNames":[],"registration":{"secApproved":"10 July 2017","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":13,"advisory":7,"brokerDealerReps":3,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":1568097027,"discretionary":1568097027,"discretionaryAccounts":3,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Investment companies","clients":3,"regulatoryAum":1568097027}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Flat Rock Global does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Robert Grunewald","title":"Chief Executive Officer","crd":"2834467"},{"name":"Ryan Ripp","title":"Chief Financial Officer","crd":"5838799"},{"name":"Andrew Chica","title":"Chief Compliance Officer","crd":"3087253"},{"name":"Shiloh Bates","title":"Managing Director","crd":"3274349"}],"ownership":[{"label":"Robert Karl Grunewald Revocable Trust","detail":"Member - class a & c in the 10% to 25% ownership band and a control person, since September 2020. Also a majority holder of Flat Rock Global - Series A, LLC in the 75% or more band and a control person, since September 2020."},{"label":"Turtle, LLC","detail":"Member - class a & c in the 10% to 25% ownership band, since September 2020."},{"label":"Thomson Family Limited Partnership","detail":"Member - class a & c in the 5% to 10% ownership band, since September 2020."},{"label":"Flat Rock Global - Series A, LLC","detail":"Member - class a in the 10% to 25% ownership band, since September 2020."},{"label":"Ryan Ripp","detail":"Chief financial officer in the 5% to 10% ownership band and a control person, since January 2021."},{"label":"Shiloh Bates","detail":"Managing director in the 10% to 25% ownership band and a control person, since May 2018."},{"label":"Robert Karl Grunewald 2022 Irrevocable Trust","detail":"Member - class a in the 10% to 25% ownership band and a control person, since October 2023."},{"label":"Robert Grunewald","detail":"Indirect owner: a trustee of Robert Karl Grunewald Revocable Trust in the 75% or more band and a control person, since November 2015. Also a trustee of Robert Karl Grunewald 2022 Irrevocable Trust in the 75% or more band and a control person, since October 2023.","parent":"Robert Karl Grunewald Revocable Trust"},{"label":"Robert Kleinert","detail":"Indirect owner: a manager of Turtle, LLC in the 75% or more band and a control person, since August 1997.","parent":"Turtle, LLC"},{"label":"Thomson Family Management LLC","detail":"Indirect owner: a general partner of Thomson Family Limited Partnership in the 25% to 50% band and a control person, since February 2018.","parent":"Thomson Family Limited Partnership"},{"label":"John Thomson","detail":"Indirect owner: a manager of Thomson Family Management LLC in the 75% or more band and a control person, since September 2020.","parent":"Thomson Family Management LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Wyoming","offices":1,"addresses":[{"street":"680 S Cache Street, Suite 100","city":"Jackson","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"307-500-5200","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for investment companies"],"financialPlanningClients":null,"assetMix":[],"privateFunds":0},"sources":{"adv1FilingDate":"24 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/288551/PDF/288551.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Flat Rock Global have?","answer":"Flat Rock Global has 3 clients and manages $1.57 billion for them, as of March 2026. They include 3 investment companies.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Flat Rock Global offer?","answer":"Flat Rock Global provides portfolio management for investment companies.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Flat Rock Global have?","answer":"Flat Rock Global has 0 investment adviser representatives registered with state securities authorities, out of 13 employees, and 7 perform investment advisory functions. 3 employees are registered representatives of a broker-dealer and 0 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Flat Rock Global?","answer":"Flat Rock Global is owned through a trust and a chain of holding companies by Robert Grunewald, Robert Kleinert and John Thomson. Its direct owners are Robert Karl Grunewald Revocable Trust, Turtle, LLC, Thomson Family Limited Partnership, Flat Rock Global - Series A, LLC, Ryan Ripp, Shiloh Bates and Robert Karl Grunewald 2022 Irrevocable Trust, each holding 25% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Flat Rock Global get paid?","answer":"Flat Rock Global is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Flat Rock Global?","answer":"Flat Rock Global’s main office is at 680 S Cache Street, Suite 100, Jackson, WY 83001. Its phone number is 307-500-5200. Its website is flatrockglobal.com.","source":"Form ADV Part 1A, Item 1.F, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}