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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

BREITHORN CAPITAL MANAGEMENT LLC

CRD 150910

NEW YORK, NY

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:07ecf62c-c058-eb4b-c807-ff9deda7a315

Data as of Mar 21, 2017 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Mar 30, 2012 to Mar 21, 2017
10 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: $157MItem 5.F on the latest filing (2017-03-21); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $157M
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: 5
Advisory employees: 5
Accounts: 21
SEC number: 801-70451
CRD: 150910
Filings on the tape: 10
First filed: Mar 30, 2012
Latest filed: Mar 21, 2017
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
DALY, CHARLES, JAMES	CHIEF COMPLIANCE OFFICER	Na	yes	01/2015	Jan 23, 2015	Mar 21, 2017
HEITMEYER, ROLF, NIELS	PORTFOLIO MANAGER	C	yes	09/2014	Oct 15, 2014	Mar 21, 2017
THE RONALD J. ULRICH 1998 GST TRUST F/B/O/ ADRIAN E. ULRICH AND HIS ISSUE	Member	C	yes	09/2014	Oct 15, 2014	Mar 21, 2017
THE RONALD J. ULRICH 1998 GST TRUST F/B/O/ BENNER A. ULRICH AND HIS ISSUE	Member	C	yes	09/2014	Oct 15, 2014	Mar 21, 2017
ULRICH, ADRIAN	CHIEF OPERATING OFFICER	Na	yes	01/2009	Mar 30, 2012	Mar 21, 2017
ULRICH, BENNER, ANTHONY	PORTFOLIO MANAGER	Na	yes	01/2009	Mar 30, 2012	Mar 21, 2017
ULRICH, RONALD, JOHN	SENIOR ADVISOR	B	no	09/2014	Mar 30, 2012	Mar 21, 2017

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
2016	Mar 21, 2017	$157M	$157M	5	5	n/a	n/a	n/a
2015	Mar 30, 2016	$161M	$161M	5	5	n/a	n/a	n/a
2014	Jan 23, 2015	$179M	$179M	5	5	n/a	n/a	n/a
2013	Mar 28, 2014	$213M	$213M	5	5	n/a	n/a	n/a
2012	Apr 1, 2013	$185M	$185M	5	5	n/a	n/a	n/a
2011	Mar 30, 2012	$169M	$169M	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
2016	$157M	$161M	-2.2%	$213M	-9.7%	5	5	n/a	n/a

Relationships

Controls (6)

← HEITMEYER, ROLF, NIELSOwnerPORTFOLIO MANAGER, ownership code C, individual
Oct 15, 2014 to presentfactForm ADV
← ULRICH, BENNER, ANTHONYOwnerPORTFOLIO MANAGER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← ULRICH, ADRIANOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← DALY, CHARLES, JAMESOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 23, 2015 to presentfactForm ADV
← THE RONALD J. ULRICH 1998 GST TRUST F/B/O/ ADRIAN E. ULRICH AND HIS ISSUEOwnerMEMBER, ownership code C, domestic entity
Oct 15, 2014 to presentfactForm ADV
← THE RONALD J. ULRICH 1998 GST TRUST F/B/O/ BENNER A. ULRICH AND HIS ISSUEOwnerMEMBER, ownership code C, foreign entity
Oct 15, 2014 to presentfactForm ADV

Owns (1)

← ULRICH, RONALD, JOHNOwnerSENIOR ADVISOR, ownership code B, individual
Mar 30, 2012 to presentfactForm ADV

Dated events

Occurred
Dec 18, 2014
Succession filed (Item 4)
Breithorn Capital Management Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:07ecf62c-c058-eb4b-c807-ff9deda7a315
First observed: Mar 30, 2012
Last observed: Mar 21, 2017 115 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.

BREITHORN CAPITAL MANAGEMENT LLC

CRD 150910

NEW YORK, NY

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:07ecf62c-c058-eb4b-c807-ff9deda7a315

Data as of Mar 21, 2017 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:54 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DALY, CHARLES, JAMES

CHIEF COMPLIANCE OFFICER

yes

01/2015

Jan 23, 2015

Mar 21, 2017

HEITMEYER, ROLF, NIELS

PORTFOLIO MANAGER

yes

09/2014

Oct 15, 2014

Mar 21, 2017

THE RONALD J. ULRICH 1998 GST TRUST F/B/O/ ADRIAN E. ULRICH AND HIS ISSUE

Member

yes

09/2014

Oct 15, 2014

Mar 21, 2017

THE RONALD J. ULRICH 1998 GST TRUST F/B/O/ BENNER A. ULRICH AND HIS ISSUE

Member

yes

09/2014

Oct 15, 2014

Mar 21, 2017

ULRICH, ADRIAN

CHIEF OPERATING OFFICER

yes

01/2009

Mar 30, 2012

Mar 21, 2017

ULRICH, BENNER, ANTHONY

PORTFOLIO MANAGER

yes

01/2009

Mar 30, 2012

Mar 21, 2017

ULRICH, RONALD, JOHN

SENIOR ADVISOR

09/2014

Mar 30, 2012

Mar 21, 2017

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 21, 2017

$157M

n/a

2015

Mar 30, 2016

$161M

n/a

2014

Jan 23, 2015

$179M

n/a

2013

Mar 28, 2014

$213M

n/a

2012

Apr 1, 2013

$185M

n/a

2011

Mar 30, 2012

$169M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$157M

$161M

-2.2%

$213M

-9.7%

n/a