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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

ELLINGTON FINANCIAL MANAGEMENT LLC

CRD 150510

OLD GREENWICH, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:01d38274-e15c-05d5-7caa-462ffcb26976

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 10
On other graphs: 0
Observed: Mar 30, 2012 to Mar 30, 2026
29 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=8.0
Regulatory AUM: $19BItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $19B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 164
Advisory employees: 68
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1
Custody, client assets: $19B
SEC number: 801-70630
CRD: 150510
Filings on the tape: 29
First filed: Mar 30, 2012
Latest filed: Mar 30, 2026
Organised: Limited Liability Company, DE
Website: ellington.com

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
EF SECURITIES LLC	Other Private Fund	$2.0B	Mar 30, 2015	1	Sep 30, 2014	dropped	n/a
EF CMO LLC	Other Private Fund	$738M	Mar 30, 2015	1	Sep 30, 2014	dropped	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
EMG HOLDINGS, L.P.	Member	E	yes	03/2009	Mar 30, 2012	Mar 27, 2024
HERLIHY, JOHN, ROBERT	CHIEF FINANCIAL OFFICER	Na	yes	04/2018	Apr 6, 2018	Mar 27, 2024
MALONEY, PATRICK, BRADY	CHIEF COMPLIANCE OFFICER & ASSOCIATE GENERAL COUNSEL	Na	yes	01/2024	Jan 11, 2024	Mar 27, 2024
MARGOLIS, DANIEL, REUVEN	GENERAL COUNSEL	Na	yes	08/2013	Mar 30, 2012	Mar 27, 2024
PENN, LAURENCE, ERIC	EXECUTIVE VICE PRESIDENT	Na	yes	08/2007	Mar 30, 2012	Mar 27, 2024
TECOTZKY, MARK, IRA	CHIEF INVESTMENT OFFICER	Na	yes	03/2008	Mar 30, 2012	Mar 27, 2024
VC INVESTMENTS, L.L.C.	GENERAL PARTNER	F	yes	01/2007	Mar 30, 2012	Mar 27, 2024
VC INVESTMENTS, L.L.C.	Manager	Na	yes	03/2009	Mar 30, 2012	Mar 27, 2024
VRANOS, MICHAEL, WILLIAM	CHIEF EXECUTIVE OFFICER AND PRESIDENT	Na	yes	08/2007	Mar 30, 2012	Mar 27, 2024
VRANOS, MICHAEL, WILLIAM	MANAGING MEMBER	E	yes	08/1995	Mar 30, 2012	Mar 27, 2024
VRANOS, MICHAEL, WILLIAM	LIMITED PARTNER	C	yes	04/2007	Mar 30, 2012	Mar 27, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ELLINGTON MANAGEMENT GROUP, L.L.C.	n/a	Asset manager	$21B	N	yes	n/a
ELLINGTON GLOBAL ASSET MANAGEMENT, LLC	n/a	Institutional manager	$9.2B	N	yes	n/a
ELLINGTON RESIDENTIAL MORTGAGE MANAGEMENT LLC	n/a	Asset manager	$415M	N	yes	n/a
DUKE FUNDING MANAGEMENT, L.L.C.	n/a	Asset manager	$127M	N	yes	n/a
ARMSTRONG SECURITIES LLC	n/a	n/a	n/a	N	yes	n/a
CII GP LLC	n/a	n/a	n/a	N	yes	n/a
E/S MBS GP I LLC	n/a	n/a	n/a	N	yes	n/a
E/S MBS GP II LLC	n/a	n/a	n/a	N	yes	n/a
ECOP GP LLC	n/a	n/a	n/a	N	yes	n/a
ECRE GP LLC	n/a	n/a	n/a	N	yes	n/a
EEI MM LLC	n/a	n/a	n/a	N	yes	n/a
ELLINGTON CLO MANAGEMENT LLC	n/a	n/a	n/a	N	yes	n/a
ELLINGTON M CREDIT GP LLC	n/a	n/a	n/a	N	yes	n/a
ELLINGTON MANAGEMENT GROUP (UK) LLP	n/a	n/a	n/a	N	yes	n/a
EMPIRE MM LLC	n/a	n/a	n/a	N	yes	n/a
EMR GP II LLC	n/a	n/a	n/a	N	yes	n/a
EMR GP LLC	n/a	n/a	n/a	N	yes	n/a
EOF GP LLC	n/a	n/a	n/a	N	yes	n/a
EPO GP LLC	n/a	n/a	n/a	N	yes	n/a
EPO II GP LLC	n/a	n/a	n/a	N	yes	n/a
EPO III GP LLC	n/a	n/a	n/a	N	yes	n/a
ESO MM LLC	n/a	n/a	n/a	N	yes	n/a
ESOP GP LLC	n/a	n/a	n/a	N	yes	n/a
ESRV MM LLC	n/a	n/a	n/a	N	yes	n/a
HHE INVESTORS II LLC	n/a	n/a	n/a	N	yes	n/a
NMP MM LLC	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 2026	$19B	$19B	164	68	0	n/a	n/a
2024	Mar 31, 2025	$16B	$16B	160	68	0	n/a	n/a
2023	Mar 27, 2024	$15B	$15B	162	69	0	n/a	n/a
2022	Mar 30, 2023	$14B	$14B	162	71	0	n/a	n/a
2021	Mar 29, 2022	$5.2B	$5.2B	173	84	0	n/a	n/a
2020	Mar 31, 2021	$3.4B	$3.4B	142	70	0	n/a	n/a
2019	Mar 30, 2020	$4.3B	$4.3B	141	61	0	n/a	n/a
2018	Mar 30, 2019	$4.0B	$4.0B	142	56	0	n/a	n/a
2017	Mar 29, 2018	$3.0B	$3.0B	162	61	0	n/a	n/a
2016	Mar 31, 2017	$2.4B	$2.4B	160	60	n/a	n/a	n/a
2015	Mar 30, 2016	$3.0B	$3.0B	160	63	n/a	n/a	n/a
2014	Mar 30, 2015	$3.9B	$3.9B	154	65	n/a	2	$2.7B
2013	Mar 31, 2014	$3.0B	$3.0B	139	51	n/a	n/a	n/a
2012	Mar 28, 2013	$2.2B	$2.2B	123	44	n/a	n/a	n/a
2011	Mar 30, 2012	$2.0B	$2.0B	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$19B	$16B	18.6%	$14B	11.2%	164	160	0	0

Relationships

Affiliated with (9)

← ELLINGTON MANAGEMENT GROUP, L.L.C.Registered adviserother investment adviser, bank, common control
factForm ADV
→ ELLINGTON MANAGEMENT GROUP, L.L.C.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ DUKE FUNDING MANAGEMENT, L.L.C.Registered adviserother investment adviser, common control
factForm ADV
→ ELLINGTON GLOBAL ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ ELLINGTON CREDIT COMPANY MANAGEMENT LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← DUKE FUNDING MANAGEMENT, L.L.C.Registered adviserother investment adviser, bank, common control
factForm ADV
← ELLINGTON GLOBAL ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
← ELLINGTON CREDIT COMPANY MANAGEMENT LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← ELLINGTON REIT MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (8)

← TECOTZKY, MARK, IRAOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 30, 2012 to Mar 27, 2024factForm ADV
← PENN, LAURENCE, ERICOwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual
Mar 30, 2012 to Mar 27, 2024factForm ADV
← VRANOS, MICHAEL, WILLIAMOwnerLIMITED PARTNER, ownership code C, individual
Mar 30, 2012 to Mar 27, 2024factForm ADV
← MALONEY, PATRICK, BRADYOwnerCHIEF COMPLIANCE OFFICER & ASSOCIATE GENERAL COUNSEL, ownership code NA, individual
Jan 11, 2024 to Mar 27, 2024factForm ADV
← HERLIHY, JOHN, ROBERTOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Apr 6, 2018 to Mar 27, 2024factForm ADV
← MARGOLIS, DANIEL, REUVENOwnerGENERAL COUNSEL, ownership code NA, individual
Mar 30, 2012 to Mar 27, 2024factForm ADV
← EMG HOLDINGS, L.P.OwnerMEMBER, ownership code E, domestic entity
Mar 30, 2012 to Mar 27, 2024factForm ADV
← VC INVESTMENTS, L.L.C.OwnerGENERAL PARTNER, ownership code F, domestic entity
Mar 30, 2012 to Mar 27, 2024factForm ADV

Advises (2)

→ EF CMO LLCPrivate fundOther Private Fund, IA, no longer reported
Sep 30, 2014 to Mar 30, 2015factForm ADV
→ EF SECURITIES LLCPrivate fundOther Private Fund, IA, no longer reported
Sep 30, 2014 to Mar 30, 2015factForm ADV

Dated events

Occurred
Jan 11, 2024
Control person left
Joseph Daniel Caffarelli (Chief Compliance Officer) no longer on Schedule A of Ellington Financial Management Llc (listed 2023-11-15, absent 2024-01-11)
Form ADVobserved 5 days ago
Occurred
Jan 11, 2024
Control person joined
Brady Patrick Maloney (Chief Compliance Officer & Associate General Counsel) appeared on Schedule A of Ellington Financial Management Llc
Form ADVobserved 5 days ago
Occurred
Mar 30, 2023
Regulatory AUM changed
Ellington Financial Management Llc reported RAUM $14.1B, up 172% from $5.2B (2022-03-29 to 2023-03-30)
Form ADVobserved 5 days ago
$8.9B
Occurred
Mar 29, 2022
Regulatory AUM changed
Ellington Financial Management Llc reported RAUM $5.2B, up 52% from $3.4B (2021-10-21 to 2022-03-29)
Form ADVobserved 5 days ago
$1.8B
Occurred
Mar 29, 2022
Control person joined
Joseph Daniel Caffarelli (Chief Compliance Officer) appeared on Schedule A of Ellington Financial Management Llc
Form ADVobserved 5 days ago
Occurred
Oct 21, 2021
Control person left
S Peter Lin (Chief Compliance Officer) no longer on Schedule A of Ellington Financial Management Llc (listed 2021-05-26, absent 2021-10-21)
Form ADVobserved 5 days ago
Occurred
Oct 21, 2021
Control person joined
Reuven Daniel Margolis (Chief Compliance Officer And General Counsel) appeared on Schedule A of Ellington Financial Management Llc
Form ADVobserved 5 days ago
Occurred
May 26, 2021
Control person left
Charles David Rice (Chief Compliance Officer) no longer on Schedule A of Ellington Financial Management Llc (listed 2021-03-31, absent 2021-05-26)
Form ADVobserved 5 days ago
Occurred
May 26, 2021
Control person joined
S Peter Lin (Chief Compliance Officer) appeared on Schedule A of Ellington Financial Management Llc
Form ADVobserved 5 days ago
Occurred
Mar 30, 2019
Regulatory AUM changed
Ellington Financial Management Llc reported RAUM $4.0B, up 33% from $3.0B (2018-04-06 to 2019-03-30)
Form ADVobserved 5 days ago
$978M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:01d38274-e15c-05d5-7caa-462ffcb26976
First observed: Mar 30, 2012
Last observed: Mar 30, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ELLINGTON FINANCIAL MANAGEMENT LLC

CRD 150510

OLD GREENWICH, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:01d38274-e15c-05d5-7caa-462ffcb26976

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:54 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

EF SECURITIES LLC

Other Private Fund

$2.0B

Mar 30, 2015

Sep 30, 2014

dropped

n/a

EF CMO LLC

Other Private Fund

$738M

Mar 30, 2015

Sep 30, 2014

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

EMG HOLDINGS, L.P.

Member

yes

03/2009

Mar 30, 2012

Mar 27, 2024

HERLIHY, JOHN, ROBERT

CHIEF FINANCIAL OFFICER

yes

04/2018

Apr 6, 2018

Mar 27, 2024

MALONEY, PATRICK, BRADY

CHIEF COMPLIANCE OFFICER & ASSOCIATE GENERAL COUNSEL

yes

01/2024

Jan 11, 2024

Mar 27, 2024

MARGOLIS, DANIEL, REUVEN

GENERAL COUNSEL

yes

08/2013

Mar 30, 2012

Mar 27, 2024

PENN, LAURENCE, ERIC

EXECUTIVE VICE PRESIDENT

yes

08/2007

Mar 30, 2012

Mar 27, 2024

TECOTZKY, MARK, IRA

CHIEF INVESTMENT OFFICER

yes

03/2008

Mar 30, 2012

Mar 27, 2024

VC INVESTMENTS, L.L.C.

GENERAL PARTNER

yes

01/2007

Mar 30, 2012

Mar 27, 2024

VC INVESTMENTS, L.L.C.

Manager

yes

03/2009

Mar 30, 2012

Mar 27, 2024

VRANOS, MICHAEL, WILLIAM

CHIEF EXECUTIVE OFFICER AND PRESIDENT

yes

08/2007

Mar 30, 2012

Mar 27, 2024

VRANOS, MICHAEL, WILLIAM

MANAGING MEMBER

yes

08/1995

Mar 30, 2012

Mar 27, 2024

VRANOS, MICHAEL, WILLIAM

LIMITED PARTNER

yes

04/2007

Mar 30, 2012

Mar 27, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ELLINGTON MANAGEMENT GROUP, L.L.C.

n/a

Asset manager

$21B

yes

n/a

ELLINGTON GLOBAL ASSET MANAGEMENT, LLC

n/a

Institutional manager

$9.2B

yes

n/a

ELLINGTON RESIDENTIAL MORTGAGE MANAGEMENT LLC

n/a

Asset manager

$415M

yes

n/a

DUKE FUNDING MANAGEMENT, L.L.C.

n/a

Asset manager

$127M

yes

n/a

ARMSTRONG SECURITIES LLC

n/a

yes

n/a

CII GP LLC

n/a

yes

n/a

E/S MBS GP I LLC

n/a

yes

n/a

E/S MBS GP II LLC

n/a

yes

n/a

ECOP GP LLC

n/a

yes

n/a

ECRE GP LLC

n/a

yes

n/a

EEI MM LLC

n/a

yes

n/a

ELLINGTON CLO MANAGEMENT LLC

n/a

yes

n/a

ELLINGTON M CREDIT GP LLC

n/a

yes

n/a

ELLINGTON MANAGEMENT GROUP (UK) LLP

n/a

yes

n/a

EMPIRE MM LLC

n/a

yes

n/a

EMR GP II LLC

n/a

yes

n/a

EMR GP LLC

n/a

yes

n/a

EOF GP LLC

n/a

yes

n/a

EPO GP LLC

n/a

yes

n/a

EPO II GP LLC

n/a

yes

n/a

EPO III GP LLC

n/a

yes

n/a

ESO MM LLC

n/a

yes

n/a

ESOP GP LLC

n/a

yes

n/a

ESRV MM LLC

n/a

yes

n/a

HHE INVESTORS II LLC

n/a

yes

n/a

NMP MM LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$19B

164

n/a

2024

Mar 31, 2025

$16B

160

n/a

2023

Mar 27, 2024

$15B

162

n/a

2022

Mar 30, 2023

$14B

162

n/a

2021

Mar 29, 2022

$5.2B

173

n/a

2020

Mar 31, 2021

$3.4B

142

n/a

2019

Mar 30, 2020

$4.3B

141

n/a

2018

Mar 30, 2019

$4.0B

142

n/a

2017

Mar 29, 2018

$3.0B

162

n/a

2016

Mar 31, 2017

$2.4B

160

n/a

2015

Mar 30, 2016

$3.0B

160

n/a

2014

Mar 30, 2015

$3.9B

154

n/a

$2.7B

2013

Mar 31, 2014

$3.0B

139

n/a

2012

Mar 28, 2013

$2.2B

123

n/a

2011

Mar 30, 2012

$2.0B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$19B

$16B

18.6%

$14B

11.2%

164

160