DFX Intelligence

Data Factory

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

HARBORVIEW CAPITAL MANAGEMENT, LLC

CRD 130935

PASADENA, 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:0822dc6a-9906-718a-dbe7-e56578fa8890

Data as of Jul 17, 2012 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 2, 2012 to Jul 17, 2012
3 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: $6.2MItem 5.F on the latest filing (2012-07-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $6.2M
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
Accounts: 1
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $6.2Mgross asset value as reported per fund; never fund size
SEC number: 801-71040
CRD: 130935
Filings on the tape: 3
First filed: Apr 2, 2012
Latest filed: Jul 17, 2012
Organised: Limited Liability Company, California

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
ARK MULTI-MANAGER FUND, L.P.	Hedge Fund	$7.5M	Oct 31, 2014	15	Apr 2, 2012	reported	021-132414

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
GAYNER, KATHRYN, LOUISE	Member	E	yes	01/2004	Apr 2, 2012	Jul 17, 2012
KRIEGER, JOHN, WOODROW	MANAGING PRINCIPAL/CHIEF COMPLIANCE OFFICER	Na	yes	01/2003	Apr 2, 2012	Jul 17, 2012

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
FUNDAMENTAL CAPITAL MANAGEMENT LLC	n/a	Former SEC adviser	$60.7M	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
2011	Apr 2, 2012	$6.2M	$6.2M	n/a	n/a	n/a	1	$6.2M

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
2011	$6.2M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Advises (1)

→ ARK MULTI-MANAGER FUND, L.P.Private fundHedge Fund, ERA
Apr 2, 2012 to presentfactForm ADV

Affiliated with (2)

← FUNDAMENTAL CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ FUNDAMENTAL CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Controls (2)

← GAYNER, KATHRYN, LOUISEOwnerMEMBER, ownership code E, individual
Apr 2, 2012 to presentfactForm ADV
← KRIEGER, JOHN, WOODROWOwnerMANAGING PRINCIPAL/CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 2, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0822dc6a-9906-718a-dbe7-e56578fa8890
First observed: Apr 2, 2012
Last observed: Jul 17, 2012 172 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.

HARBORVIEW CAPITAL MANAGEMENT, LLC

CRD 130935

PASADENA, 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:0822dc6a-9906-718a-dbe7-e56578fa8890

Data as of Jul 17, 2012 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:12 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

ARK MULTI-MANAGER FUND, L.P.

Hedge Fund

$7.5M

Oct 31, 2014

Apr 2, 2012

reported

021-132414

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GAYNER, KATHRYN, LOUISE

Member

yes

01/2004

Apr 2, 2012

Jul 17, 2012

KRIEGER, JOHN, WOODROW

MANAGING PRINCIPAL/CHIEF COMPLIANCE OFFICER

yes

01/2003

Apr 2, 2012

Jul 17, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

FUNDAMENTAL CAPITAL MANAGEMENT LLC

n/a

Former SEC adviser

$60.7M

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Apr 2, 2012

$6.2M

n/a

$6.2M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$6.2M

n/a