Whippoorwill Associates Inc
- Regulatory AUM
- $31.2M
- Discretionary
- $31.2M
- Clients
- 3
- Avg AUM / client
- $10.4M
- Accounts
- 3
- Employees
- 1
AUM over time
Annual snapshots from Form ADV filings · as of Mar 27, 2026
Investments (13F portfolio — 1 positions, $0)
13F period Sep 30, 2015| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | 0 | 0 | $0 | 0 | — | 0.0% |
Top 25 of 1 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Pooled investment vehicles (non-investment companies) | 3 | $31.2M | 100.0% |
Private funds (3)
Reported in Form ADV Section 7.B.(1), filing of Mar 2024 · $59.0M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Whippoorwill Distressed Opportunity Fund, L.P. | Private Equity Fund | Delaware | $30.1M | 173 |
| Whippoorwill Offshore Distressed Opportunity Fund, Ltd. | Private Equity Fund | Cayman Islands | $19.6M | 49 |
| Whippoorwill Institutional Partners, L.P. | Private Equity Fund | Delaware | $9.3M | 3 |
People (2)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Greenhaus, Shelley, Fredrick | President, Director, And Principal | Dec 1990 (36y) | 75% or more | |
| Ellenbogen, Richard, I | Counsel And Chief Compliance Officer | Feb 2018 (9y) | Less than 5% |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (3, $59.0M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Whippoorwill Distressed Opportunity Fund, L.P. | Private Equity Fund | $30.1M | $0 | 173 |
| Whippoorwill Offshore Distressed Opportunity Fund, Ltd. | Private Equity Fund | $19.6M | $0 | 49 |
| Whippoorwill Institutional Partners, L.P. | Private Equity Fund | $9.3M | $0 | 3 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/27/2026 | 1.54 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- State Street $11.2M (14% of AUM) Sep 2019
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 27, 2026.
View current Form ADV (SEC/IAPD) ↗