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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

CNI NSI ADVISORS, LLC

CRD 292883

LOS ANGELES, CA

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Search this name across graphsid dfx:ria:05040e9a-beba-f943-e013-edc35d946c4e

Data as of Nov 13, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 2
On other graphs: 0
Observed: Mar 27, 2018 to Nov 13, 2020
8 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $33.6MItem 5.F on the latest filing (2020-11-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $33.6M
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: 362
Advisory employees: 124
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 1
Individual clients: 0
High net worth clients: 0
Custody, client assets: $33.6M
SEC number: 801-112976
CRD: 292883
Filings on the tape: 8
First filed: Mar 27, 2018
Latest filed: Nov 13, 2020
Organised: Limited Liability Company, Delaware

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
BARRACK, THOMAS, JOSEPH	Chairman	Na	yes	03/2017	Mar 27, 2018	Nov 13, 2020
CNI ADVISOR HOLDINGS, LLC	Member	E	yes	03/2017	Mar 27, 2018	Nov 13, 2020
COLONY CAPITAL INVESTMENT ADVISORS, LLC	Member	E	yes	01/2017	Mar 27, 2018	Nov 13, 2020
COLONY CAPITAL INVESTMENT HOLDCO, LLC	Member	E	yes	04/2015	Mar 27, 2018	Nov 13, 2020
COLONY CAPITAL OP SUBSIDIARY, LLC	Member	E	yes	04/2015	Mar 27, 2018	Nov 13, 2020
COLONY CAPITAL OPERATING COMPANY, LLC	Member	E	yes	04/2015	Mar 27, 2018	Nov 13, 2020
COLONY CAPITAL, INC.	Member	E	yes	04/2015	Aug 1, 2018	Nov 13, 2020
HEDSTROM, MARK, MELVIN	VICE PRESIDENT	Na	yes	03/2017	Mar 27, 2018	Nov 13, 2020
SANDERS, RONALD, MARK	VICE PRESIDENT AND SECRETARY	Na	yes	08/2017	Mar 27, 2018	Nov 13, 2020
WHEALON, KRISTEN, ANN	CHIEF COMPLIANCE OFFICER	Na	yes	03/2017	Mar 27, 2018	Nov 13, 2020

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page; showing 40 of 71

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
DIGITAL COLONY MANAGEMENT LLC	n/a	Asset manager	$61B	N	yes	n/a
CLNC MANAGER, LLC	n/a	Former SEC adviser	$6.2B	N	yes	n/a
CNI NSHC ADVISORS, LLC	n/a	Former SEC adviser	$1.4B	N	yes	n/a
CNI RECF ADVISORS, LLC	n/a	Former SEC adviser	$30.2M	N	yes	n/a
ALPINE ENERGY CAPITAL, LLC	n/a	n/a	n/a	N	no	n/a
AVIATOR EU HOLDINGS GP, LLC	n/a	n/a	n/a	N	yes	n/a
CA ENERGY INVESTMENT GP, LLC	n/a	n/a	n/a	N	no	n/a
CDCF IV INVESTMENT ADVISOR, LLC	n/a	n/a	n/a	N	yes	n/a
CDCF V INVESTMENT ADVISOR, LLC	n/a	n/a	n/a	N	yes	n/a
CIB BULK 2018 INVESTMENT ADVISOR, LLC	n/a	n/a	n/a	N	yes	n/a
CIB HP BULK 2018 GP, LLC	n/a	n/a	n/a	N	yes	n/a
CNI CENTURY PLAZA ADVISOR, LLC	n/a	n/a	n/a	N	yes	n/a
CNI CENTURY PLAZA GP, LLC	n/a	n/a	n/a	N	yes	n/a
CNI FCVP ADVISORS, LLC	n/a	n/a	n/a	N	yes	n/a
CNI ONE CAL PLAZA GP, LLC	n/a	n/a	n/a	N	yes	n/a
CNI ONE CAL PLAZA INVESTMENT ADVISOR, LLC	n/a	n/a	n/a	N	yes	n/a
COL INVEST ITALY S.R.L.	n/a	n/a	n/a	N	yes	n/a
COLARMONIA GP, LLC	n/a	n/a	n/a	N	yes	n/a
COLCOGP STRATEGIC PARTNERS III, LLC	n/a	n/a	n/a	N	yes	n/a
COLCOGP STRATEGIC PARTNERS, LLC	n/a	n/a	n/a	N	yes	n/a
COLFIN COBALT GENERAL PARTNER, LLC	n/a	n/a	n/a	N	yes	n/a
COLHMGP STRATEGIC PARTNERS, LLC	n/a	n/a	n/a	N	yes	n/a
COLONY BULLS CO-INVESTMENT GENPAR, LLC	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL - N LUXEMBOURG S.A.R.L.	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL (PARALLEL) NA-RE VIII, LLC	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL (PARALLEL) VIII, LLC	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL (US) VIII, LLC	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL ADVISORS, LLC	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL CREDIT II, L.P.	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL CREDIT III, L.P.	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL CREDIT IV, LLC	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL CREDIT V, L.P.	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL CREDIT, L.P.	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL III, L.P.	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL INVESTMENT ADVISORS, LLC	n/a	n/a	n/a	Y	no	n/a
COLONY CAPITAL IV, L.P.	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL LUXEMBOURG S.A.R.L.	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL MENA, LLC	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL SAS	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL UK, LTD.	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	15	no
Irvine	CA	United States	1	no

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
2019	Mar 30, 2020	$33.6M	$33.6M	362	124	2	n/a	n/a
2018	Mar 27, 2019	$62.3M	$62.3M	457	156	4	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
2019	$33.6M	$62.3M	-46.1%	n/a	n/a	362	457	2	4

Relationships

Affiliated with (6)

→ CNI RECF ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ DIGITALBRIDGE INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ CLNC MANAGER, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ CNI NSHC ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← CNI RECF ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← CNI TCEF ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (10)

← BARRACK, THOMAS, JOSEPHOwnerCHAIRMAN, ownership code NA, individual
Mar 27, 2018 to presentfactForm ADV
← COLONY CAPITAL INVESTMENT ADVISORS, LLCOwnerMEMBER, ownership code E, domestic entity
Mar 27, 2018 to presentfactForm ADV
← WHEALON, KRISTEN, ANNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 27, 2018 to presentfactForm ADV
← HEDSTROM, MARK, MELVINOwnerVICE PRESIDENT, ownership code NA, individual
Mar 27, 2018 to presentfactForm ADV
← SANDERS, RONALD, MARKOwnerVICE PRESIDENT AND SECRETARY, ownership code NA, individual
Mar 27, 2018 to presentfactForm ADV
← CNI ADVISOR HOLDINGS, LLCOwnerMEMBER, ownership code E, domestic entity
Mar 27, 2018 to presentfactForm ADV
← COLONY CAPITAL INVESTMENT HOLDCO, LLCOwnerMEMBER, ownership code E, domestic entity
Mar 27, 2018 to presentfactForm ADV
← COLONY CAPITAL OP SUBSIDIARY, LLCOwnerMEMBER, ownership code E, domestic entity
Mar 27, 2018 to presentfactForm ADV
← COLONY CAPITAL OPERATING COMPANY, LLCOwnerMEMBER, ownership code E, domestic entity
Mar 27, 2018 to presentfactForm ADV
← COLONY CAPITAL, INC.OwnerMEMBER, ownership code E, domestic entity
Aug 1, 2018 to presentfactForm ADV

Dated events

Occurred
Apr 29, 2020
Control person left
James Darren Tangen (Vice President And Treasurer) no longer on Schedule A of Cni Nsi Advisors, Llc (listed 2020-03-30, absent 2020-04-29)
Form ADVobserved 4 days ago
Occurred
Mar 27, 2018
First Form ADV filing
Cni Nsi Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:05040e9a-beba-f943-e013-edc35d946c4e
First observed: Mar 27, 2018
Last observed: Nov 13, 2020 71 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.

CNI NSI ADVISORS, LLC

CRD 292883

LOS ANGELES, CA

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:05040e9a-beba-f943-e013-edc35d946c4e

Data as of Nov 13, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:00 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BARRACK, THOMAS, JOSEPH

Chairman

yes

03/2017

Mar 27, 2018

Nov 13, 2020

CNI ADVISOR HOLDINGS, LLC

Member

yes

03/2017

Mar 27, 2018

Nov 13, 2020

COLONY CAPITAL INVESTMENT ADVISORS, LLC

Member

yes

01/2017

Mar 27, 2018

Nov 13, 2020

COLONY CAPITAL INVESTMENT HOLDCO, LLC

Member

yes

04/2015

Mar 27, 2018

Nov 13, 2020

COLONY CAPITAL OP SUBSIDIARY, LLC

Member

yes

04/2015

Mar 27, 2018

Nov 13, 2020

COLONY CAPITAL OPERATING COMPANY, LLC

Member

yes

04/2015

Mar 27, 2018

Nov 13, 2020

COLONY CAPITAL, INC.

Member

yes

04/2015

Aug 1, 2018

Nov 13, 2020

HEDSTROM, MARK, MELVIN

VICE PRESIDENT

yes

03/2017

Mar 27, 2018

Nov 13, 2020

SANDERS, RONALD, MARK

VICE PRESIDENT AND SECRETARY

yes

08/2017

Mar 27, 2018

Nov 13, 2020

WHEALON, KRISTEN, ANN

CHIEF COMPLIANCE OFFICER

yes

03/2017

Mar 27, 2018

Nov 13, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

DIGITAL COLONY MANAGEMENT LLC

n/a

Asset manager

$61B

yes

n/a

CLNC MANAGER, LLC

n/a

Former SEC adviser

$6.2B

yes

n/a

CNI NSHC ADVISORS, LLC

n/a

Former SEC adviser

$1.4B

yes

n/a

CNI RECF ADVISORS, LLC

n/a

Former SEC adviser

$30.2M

yes

n/a

ALPINE ENERGY CAPITAL, LLC

n/a

AVIATOR EU HOLDINGS GP, LLC

n/a

yes

n/a

CA ENERGY INVESTMENT GP, LLC

n/a

CDCF IV INVESTMENT ADVISOR, LLC

n/a

yes

n/a

CDCF V INVESTMENT ADVISOR, LLC

n/a

yes

n/a

CIB BULK 2018 INVESTMENT ADVISOR, LLC

n/a

yes

n/a

CIB HP BULK 2018 GP, LLC

n/a

yes

n/a

CNI CENTURY PLAZA ADVISOR, LLC

n/a

yes

n/a

CNI CENTURY PLAZA GP, LLC

n/a

yes

n/a

CNI FCVP ADVISORS, LLC

n/a

yes

n/a

CNI ONE CAL PLAZA GP, LLC

n/a

yes

n/a

CNI ONE CAL PLAZA INVESTMENT ADVISOR, LLC

n/a

yes

n/a

COL INVEST ITALY S.R.L.

n/a

yes

n/a

COLARMONIA GP, LLC

n/a

yes

n/a

COLCOGP STRATEGIC PARTNERS III, LLC

n/a

yes

n/a

COLCOGP STRATEGIC PARTNERS, LLC

n/a

yes

n/a

COLFIN COBALT GENERAL PARTNER, LLC

n/a

yes

n/a

COLHMGP STRATEGIC PARTNERS, LLC

n/a

yes

n/a

COLONY BULLS CO-INVESTMENT GENPAR, LLC

n/a

yes

n/a

COLONY CAPITAL - N LUXEMBOURG S.A.R.L.

n/a

yes

n/a

COLONY CAPITAL (PARALLEL) NA-RE VIII, LLC

n/a

yes

n/a

COLONY CAPITAL (PARALLEL) VIII, LLC

n/a

yes

n/a

COLONY CAPITAL (US) VIII, LLC

n/a

yes

n/a

COLONY CAPITAL ADVISORS, LLC

n/a

yes

n/a

COLONY CAPITAL CREDIT II, L.P.

n/a

yes

n/a

COLONY CAPITAL CREDIT III, L.P.

n/a

yes

n/a

COLONY CAPITAL CREDIT IV, LLC

n/a

yes

n/a

COLONY CAPITAL CREDIT V, L.P.

n/a

yes

n/a

COLONY CAPITAL CREDIT, L.P.

n/a

yes

n/a

COLONY CAPITAL III, L.P.

n/a

yes

n/a

COLONY CAPITAL INVESTMENT ADVISORS, LLC

n/a

COLONY CAPITAL IV, L.P.

n/a

yes

n/a

COLONY CAPITAL LUXEMBOURG S.A.R.L.

n/a

yes

n/a

COLONY CAPITAL MENA, LLC

n/a

yes

n/a

COLONY CAPITAL SAS

n/a

yes

n/a

COLONY CAPITAL UK, LTD.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

Irvine

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 30, 2020

$33.6M

362

124

n/a

2018

Mar 27, 2019

$62.3M

457

156

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$33.6M

$62.3M

-46.1%

n/a

362

457