What public documents (tax, formation, SEC filings) are available for Rose Lake Capital LLC that clarify assets under management?
Executive summary
Publicly available records that shed light on Rose Lake Capital LLC’s assets under management are limited and fragmented: the firm’s own website and commercial profiles present a business description but no audited AUM figures [1] [2], congressional financial-disclosure forms filed by Rep. Ilhan Omar list a valuation range for Rose Lake Capital that has been widely reported [3] [4], and court discovery and reporting have produced raw bank-account snapshots suggesting minimal cash on hand at specific moments [5] [6]; however, there are no clear SEC filings or public tax returns in the supplied reporting that confirm an audited AUM figure.
1. Company self‑presentation: a promotional website, no audited AUM
Rose Lake Capital’s own website markets a global advisory and deal‑structuring outfit and touts experienced personnel and deal capabilities, but it does not publish audited assets under management, limited partner lists, fund prospectuses, or the kind of periodic AUM disclosures that institutional investors or registered funds typically provide [1]. Commercial aggregator profiles such as ZoomInfo and Datanyze recycle similar descriptive material and officer names but do not substitute for regulatory filings proving AUM [2] [7].
2. Public political disclosure: valuation ranges reported in filings and the press
The clearest public document linked to Rose Lake Capital in these sources is the financial‑disclosure form filed by Rep. Ilhan Omar, which lists Rose Lake Capital LLC within a value bracket that reporters parsed as between $5 million and $25 million for 2024; that disclosure—public by nature and amplified by outlets such as QuiverQuant and Yahoo Finance—provides an indicated valuation range but is not an AUM statement and reflects the filer’s reported value range, not audited firm‑level cash or managed‑assets totals [3] [8] [4].
3. Court filings and media reporting: operational snapshots, not firmwide AUM
Investigative reporting and litigation discovery have produced granular but partial figures—press summaries of discovery responses indicate tiny bank balances for related entities at specific times (for example, Rose Lake Capital reported nominal balances like $42.44 in one reported court answer), which are useful as contemporaneous snapshots yet cannot be extrapolated reliably into firmwide assets under management or enterprise valuation [5] [6]. These records imply liquidity constraints at moments in time but do not equate to a formal AUM accounting.
4. Regulatory searches: no clear SEC adviser registration or Form ADV disclosed in supplied records
A search of the Investment Adviser Public Disclosure system referenced in the reporting yields entries for similarly named advisers but does not, in the supplied sources, show an unequivocal Form ADV or SEC registration for “Rose Lake Capital LLC” that would disclose client asset totals, advisory business practices, or AUM as reported to regulators [9]. In short, among the provided documents there is no cited SEC filing that publishes a formally declared AUM for Rose Lake Capital LLC.
5. Formation records and corporate structure: Delaware incorporation and reported transitions
Reporting indicates the firm was incorporated in Delaware in 2022 and that principals later described transitioning activities into a public‑benefit corporation called Rose Lake Inc., a structural change that complicates tracing AUM across entity names; these formation and transition claims appear in reporting about the principals and their disclosures but the supplied sources do not include Delaware certificate filings or state‑level public formation documents themselves [5].
Conclusion — what is provable, and what remains opaque
Available public documents in the supplied reporting that bear on Rose Lake Capital’s financial picture are a mix of self‑description (website and commercial profiles), a political financial‑disclosure valuation range (Omar’s filing as reported), and litigation discovery snapshots showing minimal bank balances at specific times; none of these constitute an audited, regulator‑filed AUM statement, and the supplied sources do not include tax returns, Form ADV/SEC adviser filings, or audited financial statements that would definitively clarify assets under management [1] [2] [5] [9] [3] [6]. Alternative interpretations exist—supporters note that disclosure brackets reflect ownership shares and not firm totals [8]—but the central limitation in public reporting is the absence, in the provided materials, of regulatory or audited documents that establish an authoritative AUM figure.