Flat Rock Global, Llc
- Regulatory AUM
- $1.6B
- Discretionary
- $1.6B
- Clients
- 3
- Avg AUM / client
- $523M
- Accounts
- 3
- Employees
- 13
AUM over time
Annual snapshots from Form ADV filings · as of Mar 24, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Investment companies | 3 | $1.6B | 100.0% |
People (6)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Kleinert, Robert, Alan | Manager | Aug 1997 (29y) | ≈ 7.5% – 25% via Turtle, Llc | |
| Grunewald, Robert, Karl | Chief Executive Officer | Nov 2015 (11y) | ≈ 7.5% – 25% via Robert Karl Grunewald Revocable Trust | |
| Bates, Shiloh, Ryan | Managing Director | May 2018 (8y) | 10% – 25% | |
| Thomson, John, Lawrence | Manager | Sep 2020 (6y) | ≈ 0.94% – 5% via Thomson Family Management Llc | |
| Ripp, Ryan, Kelly | Chief Financial Officer | Jan 2021 (6y) | Less than 5% | |
| Chica, Andrew, Paul | Chief Compliance Officer | May 2022 (4y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Robert Karl Grunewald Revocable Trust | Member Class A & C | Sep 2020 | A | 10% – 25% |
| Turtle, Llc | Member Class A & C | Sep 2020 | A | 10% – 25% |
| Flat Rock Global Series A, Llc | Member Class A | Sep 2020 | A | 10% – 25% |
| Robert Karl Grunewald 2022 Irrevocable Trust | Member Class A | Oct 2023 | A | 10% – 25% |
| Thomson Family Limited Partnership | Member Class A & C | Sep 2020 | A | 5% – 10% |
| Thomson Family Management Llc | General Partner | Feb 2018 | B | ≈ 1.25% – 5% via Thomson Family Limited Partnership |
Undisclosed: 0% – 45% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Kleinert, Robert, Alan: 75% – 100% of Turtle, Llc × 10% – 25% direct ≈ 7.5% – 25% of the firm
- Grunewald, Robert, Karl: 75% – 100% of Robert Karl Grunewald Revocable Trust × 10% – 25% direct ≈ 7.5% – 25% of the firm
- Thomson, John, Lawrence: 75% – 100% of Thomson Family Management Llc × 25% – 50% of Thomson Family Limited Partnership × 5% – 10% direct ≈ 0.94% – 5% of the firm
- Thomson Family Management Llc: 25% – 50% of Thomson Family Limited Partnership × 5% – 10% direct ≈ 1.25% – 5% of the firm
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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/24/2026 | 905 KB | 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 investment companies
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 24, 2026.
View current Form ADV (SEC/IAPD) ↗