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CRD 160569
CHICAGO, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| HUNTER N FOREMAN | n/a | Dallas, TX | 7 | 11 | n/a | no |
| JOHN RUSSELL BOZALIS | n/a | Dallas, TX | 7 | 29 | n/a | no |
| RONALD BARRY WHITE | n/a | Dallas, TX | 7 | 11 | n/a | no |
| Lucas Michael Kowalewski | n/a | Dallas, TX | 7 | 11 | n/a | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| NXT CAPITAL SENIOR LOAN FUND VI (L), L.P. | Hedge Fund | $873M | Jun 28, 2024 | 7 | May 22, 2020 | reported | 021-362028 |
| NXT STEPSTONE CC, LLC | Hedge Fund | $486M | Jun 28, 2024 | 1 | Sep 13, 2018 | reported | n/a |
| NXT CAPITAL STRUCTURED NOTE I, LLC | Securitized Asset Fund | $483M | Jun 28, 2024 | 4 | May 25, 2022 | reported | n/a |
| NXT CAPITAL CLO 2020-1. LLC | Securitized Asset Fund | $457M | Jun 28, 2024 | 15 | May 25, 2021 | reported | n/a |
| NXT CAPITAL CLO 2017-1, LLC | Securitized Asset Fund | $411M | Jun 28, 2024 | 23 | Jan 25, 2018 | reported | n/a |
| NXT CAPITAL CLO 2014-1, LLC | Securitized Asset Fund | $355M | Jan 25, 2019 | 11 | Jan 16, 2015 | dropped | n/a |
| NXT CAPITAL CLO 2013-1, LLC | Securitized Asset Fund | $308M | Sep 20, 2017 | 16 | Apr 1, 2013 | dropped | n/a |
| NXT CAPITAL SENIOR LOAN FUND V, LP | Hedge Fund | $285M | Jun 28, 2024 | 12 | Sep 20, 2017 | reported | 021-294361 |
| NXT CAPITAL CLO 2017-2, LLC | Securitized Asset Fund | $250M | Jan 2, 2024 | 15 | Jan 25, 2018 | reported | n/a |
| NXT CAPITAL SENIOR LOAN FUND VII, LP | Hedge Fund | $235M | Jun 28, 2024 | 6 | Nov 17, 2023 | reported | 021-496209 |
| NXT CAPITAL CLO 2012-1, LLC | Securitized Asset Fund | $204M | Sep 20, 2017 | 6 | Apr 1, 2013 | dropped | n/a |
| NXT CAPITAL SENIOR LOAN FUND I, LLC | Private Equity Fund | $184M | Jun 28, 2024 | 2 | Feb 14, 2012 | reported | n/a |
| NXT CAPITAL SENIOR LOAN FUND IV, LP | Hedge Fund | $172M | Jan 2, 2024 | 10 | Mar 29, 2016 | reported | 021-254410 |
| NXT CAPITAL CLO 2015-1, LLC | Securitized Asset Fund | $170M | May 25, 2022 | 11 | Jul 29, 2015 | dropped | n/a |
| NXT CAPITAL SENIOR LOAN FUND III, LP | Hedge Fund | $122M | Jan 2, 2024 | 14 | Jan 16, 2015 | reported | 021-231490 |
| NXT CAPITAL SLCF II, LP | Hedge Fund | $104M | Jun 28, 2024 | 1 | Nov 17, 2023 | reported | 021-493933 |
| NXT CAPITAL SBIC, LP | Hedge Fund | $54.9M | Mar 31, 2014 | 2 | Apr 1, 2013 | dropped | n/a |
| NXT CAPITAL SENIOR LOAN FUND VI (UL), L.P. | Private Equity Fund | $46.9M | Jun 28, 2024 | 4 | Jun 29, 2021 | reported | 021-362028 |
| NXT CAPITAL SENIOR LOAN FUND II, LP | Hedge Fund | $35.1M | Jun 28, 2024 | 16 | Mar 31, 2014 | reported | 021-199514 |
| NXT CAPITAL SLCF I, LP | Private Equity Fund | $3.0M | Jun 28, 2024 | 10 | Nov 17, 2023 | reported | 021-493926 |
| PETRUS VENTURE FINANCE, LP | Private Equity Fund | $355,759 | Jul 29, 2015 | 3 | Apr 1, 2013 | dropped | n/a |
| NXT CAPITAL SENIOR LOAN FUND VI (UL), L.P. | Hedge Fund | $0 | Feb 25, 2021 | 3 | Feb 25, 2021 | dropped | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| Denniston, Edward (Ted), Allen | SENIOR VICE PRESIDENT | Na | yes | 08/2022 | Aug 29, 2022 | Jun 28, 2024 |
| FRANC, BRIAN, EDWARD | CHIEF COMPLIANCE OFFICER | Na | yes | 01/2019 | Jan 25, 2019 | Jun 28, 2024 |
| Kopplin, Stacia, Lynn | SENIOR VICE PRESIDENT | Na | yes | 08/2019 | Aug 29, 2022 | Jun 28, 2024 |
| Lazewski, Joseph, Nicholas | SENIOR VICE PRESIDENT | Na | yes | 08/2022 | Aug 29, 2022 | Jun 28, 2024 |
| MCINERNEY, ROBIN, GRAY | CHIEF FINANCIAL OFFICER AND TREASURER | Na | yes | 11/2022 | Nov 2, 2022 | Jun 28, 2024 |
| NXT CAPITAL GROUP, LLC | Member | E | yes | 08/2018 | Sep 13, 2018 | Jun 28, 2024 |
| NXT CAPITAL HOLDINGS, LLC | Member | E | yes | 08/2018 | Sep 13, 2018 | Jun 28, 2024 |
| NXT CAPITAL INTERMEDIATE HOLDINGS, LLC | Member | E | yes | 08/2018 | Sep 13, 2018 | Jun 28, 2024 |
| OAM HOLDINGS, LLC | Member | E | yes | 08/2018 | Jun 29, 2020 | Jun 28, 2024 |
| OCU GLOBAL ASSET MANAGEMENT, LLC | Member | E | yes | 02/2019 | Jun 29, 2021 | Jun 28, 2024 |
| OCU OPCO HOLDINGS, LLC | Member | E | yes | 09/2015 | Jun 29, 2021 | Jun 28, 2024 |
| ORIX CAPITAL MARKETS, LLC | Member | E | yes | 09/2015 | Jun 29, 2020 | Jun 28, 2024 |
| ORIX CORPORATION | MAJORITY SHAREHOLDER | E | yes | 08/1981 | Sep 13, 2018 | Jun 28, 2024 |
| ORIX CORPORATION USA | Member | E | yes | 03/1997 | Sep 13, 2018 | Jun 28, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| ORIX ADVISERS, LLC | n/a | Asset manager | $9.6B | N | yes | n/a |
| LUMENT INVESTMENT MANAGEMENT, LLC | n/a | Asset manager | $1.9B | N | yes | n/a |
| LUMENT SECURITIES, LLC | n/a | n/a | n/a | N | yes | n/a |
| NXT CAPITAL CLO 2017-1 INVESTMENTS, LLC | n/a | n/a | n/a | N | yes | n/a |
| NXT CAPITAL CLO 2020-1 INVESTMENTS, LLC | n/a | n/a | n/a | N | yes | n/a |
| NXT CAPITAL SCLF I GP, LLC | n/a | n/a | n/a | N | yes | n/a |
| NXT CAPITAL SENIOR LOAN FUND II GP, LLC | n/a | n/a | n/a | N | yes | n/a |
| NXT CAPITAL SENIOR LOAN FUND III GP, LLC | n/a | n/a | n/a | N | yes | n/a |
| NXT CAPITAL SENIOR LOAN FUND IV GP, LLC | n/a | n/a | n/a | N | yes | n/a |
| NXT CAPITAL SENIOR LOAN FUND V GP, LLC | n/a | n/a | n/a | N | yes | n/a |
| NXT CAPITAL SENIOR LOAN FUND VI (L) GP, LLC | n/a | n/a | n/a | N | yes | n/a |
| NXT CAPITAL SENIOR LOAN FUND VI (UL) GP, LLC | n/a | n/a | n/a | N | yes | n/a |
| NXT CAPITAL SENIOR LOAN FUND VII GP, LLC | n/a | n/a | n/a | N | yes | n/a |
| NXT CAPITAL STRUCTURED NOTE I, LLC | n/a | n/a | n/a | N | yes | n/a |
| NXT CAPITAL, LLC | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| LAKEWOOD RANCH | FL | United States | 1 | no |
| Atlanta | Ga | United States | 1 | no |
| Dallas | TX | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| NEW YORK | NY | United States | 0 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2024 | Jun 28, 2024 | $6.6B | $6.0B | 277 | 67 | 7 | 12 | $3.6B |
| 2023 | Jun 29, 2023 | $7.0B | $6.4B | 253 | 70 | 7 | 12 | $4.0B |
| 2022 | Jun 28, 2022 | $7.1B | $6.4B | 98 | 43 | 7 | 12 | $4.2B |
| 2021 | Jun 29, 2021 | $8.4B | $8.4B | 106 | 63 | 6 | 12 | $4.6B |
| 2020 | Jun 29, 2020 | $9.6B | $9.6B | 122 | 79 | 11 | 10 | $4.5B |
| 2019 | Jun 27, 2019 | $7.5B | $7.5B | 120 | 75 | 10 | 9 | $4.1B |
| 2017 | Jan 25, 2018 | $4.7B | $4.7B | 120 | 75 | 1 | 9 | $4.3B |
| 2016 | Mar 29, 2017 | $3.7B | $3.7B | 115 | 50 | n/a | 8 | $3.7B |
| 2015 | Mar 29, 2016 | $3.3B | $3.3B | 120 | 50 | n/a | 8 | $3.3B |
| 2014 | Jan 16, 2015 | $2.4B | $2.4B | 110 | 40 | n/a | 7 | $2.4B |
| 2013 | Mar 31, 2014 | $1.6B | $1.6B | 100 | 40 | n/a | 6 | $1.2B |
| 2012 | Apr 1, 2013 | $1.1B | $1.1B | 85 | 40 | n/a | 5 | $1.1B |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $6.6B | $7.0B | -5.6% | $8.4B | -7.5% | 242 | 253 | 4 | 7 |