# Sierra Crest Investment Management LLC

> Sierra Crest Investment Management LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2019, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 31, 2026.

- CRD: 300069
- Filed as: SIERRA CREST INVESTMENT MANAGEMENT LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/300069
- AdvisorCensus page: https://advisorcensus.com/firm/sierra-crest-investment-management-llc-new-york-ny-300069

## Quick answers

**How is Sierra Crest Investment Management LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Sierra Crest Investment Management LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Sierra Crest Investment Management LLC located?**
Sierra Crest Investment Management LLC's principal office is in New York, NY, according to its Form ADV.

**Is Sierra Crest Investment Management LLC registered with the SEC or a state?**
Sierra Crest Investment Management LLC is an SEC-registered investment advisory firm, registered since 2019. Status as filed: Approved. CRD 300069.

**How much does Sierra Crest Investment Management LLC manage?**
Sierra Crest Investment Management LLC reports $781,145,561 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary).

**How have Sierra Crest Investment Management LLC's assets and staff changed since 2021?**
In the Form ADV data for Sierra Crest Investment Management LLC: Regulatory assets under management: $1,030,289,110 in the October 2021 data and $781,145,561 in the October 2026 data, down 24%. Total employees: 24 in October 2021 and 0 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Sierra Crest Investment Management LLC serve?**
By number of clients on Form ADV Item 5.D: investment companies (1); business development companies (1); pooled investment vehicles (other than investment companies and business development companies) (1).

**Does Sierra Crest Investment Management LLC report any disciplinary disclosures?**
Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.C(1) (SEC or CFTC finding of a false statement or omission), 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/300069

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Performance-based fees

### Regulatory assets under management (Item 5.F)
- Total: $781,145,561
- Discretionary: $781,145,561
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Investment companies | 1 | $203,591,434 |
| Business development companies | 1 | $523,641,127 |
| Pooled investment vehicles (other than investment companies and business development companies) | 1 | $53,913,000 |

### Advisory services (Item 5.G)
- Portfolio management for investment companies (and business development companies)
- Portfolio management for pooled investment vehicles (other than investment companies)

### Firm details
- Registered since: 2019 (7 years)
- Employees: 0 total, 0 performing advisory functions
- Wrap fee program participation: No
- Disclosures (Item 11): Reports 4 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(1): Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?
- 11.C(2): Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/300069

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $1,030,289,110 | 24 | July 1, 2021 |
| October 2022 | $1,211,973,843 | 45 | April 29, 2022 |
| October 2023 | $1,146,194,493 | 49 | March 31, 2023 |
| October 2024 | $994,160,818 | 0 | July 12, 2024 |
| October 2025 | $772,595,000 | 0 | March 31, 2025 |
| October 2026 | $781,145,561 | 0 | March 31, 2026 |

Regulatory assets under management: $1,030,289,110 in the October 2021 data and $781,145,561 in the October 2026 data, down 24%.
Total employees: 24 in October 2021 and 0 in October 2026.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Sierra Crest Investment Management LLC (CRD 300069): Form ADV filing data as of October 2026.