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

LIONGATE CAPITAL MANAGEMENT LLP

CRD 138837

LONDON

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Search this name across graphsid dfx:ria:15688f70-a986-0c40-397a-abded166c823

Data as of Jul 7, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 36
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Jul 7, 2016
13 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: $444MItem 5.F on the latest filing (2016-07-07); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
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: 27
Advisory employees: 18
Accounts: 16
Private funds: 2Schedule D 7.B(1)
Private fund GAV: $207Mgross asset value as reported per fund; never fund size
SEC number: 801-71554
CRD: 138837
Filings on the tape: 13
First filed: Mar 30, 2012
Latest filed: Jul 7, 2016
Organised: Limited Liability Partnership

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
LIONGATE SPC, ON BEHALF OF LIONGATE MULTI-STRATEGY FUND	Hedge Fund	$196M	Jul 7, 2016	60	Mar 30, 2015	reported	n/a
LIONGATE COMMODITIES FUND	Hedge Fund	$11.5M	Jul 7, 2016	3	Mar 30, 2015	reported	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
EVERETT, NORA, MARY	Director	Na	yes	05/2013	Mar 30, 2015	Jul 7, 2016
LIONGATE CAPITAL MANAGEMENT (CAYMAN) LIMITED	Shareholder	E	yes	09/2003	Mar 30, 2012	Jul 7, 2016
LIONGATE LIMITED	Shareholder	E	yes	02/2013	Jun 3, 2014	Jul 7, 2016
LIONGATE LIMITED	Shareholder	E	yes	02/2013	Jun 3, 2014	Jul 7, 2016
MCCAUGHAN, JAMES, PATRICK	Director	Na	yes	05/2013	Mar 30, 2015	Jul 7, 2016
PRINCIPAL FINANCIAL GROUP, INC	Shareholder	E	yes	04/2001	Jun 3, 2014	Jul 7, 2016
PRINCIPAL FINANCIAL SERVICES I (UK) LLP	Shareholder	E	yes	07/2012	Jun 3, 2014	Jul 7, 2016
PRINCIPAL FINANCIAL SERVICES I (US) LLC	Partner	F	yes	07/2012	Jun 3, 2014	Jul 7, 2016
PRINCIPAL FINANCIAL SERVICES II (UK) LTD	Shareholder	E	yes	09/2012	Jun 3, 2014	Jul 7, 2016
PRINCIPAL FINANCIAL SERVICES III (UK) LTD	Shareholder	E	yes	03/2013	Jun 3, 2014	Jul 7, 2016
PRINCIPAL FINANCIAL SERVICES VI (UK) LTD	Shareholder	E	yes	03/2013	Jun 3, 2014	Jul 7, 2016
PRINCIPAL FINANCIAL SERVICES, INC	Member	E	yes	07/2012	Jun 3, 2014	Jul 7, 2016
PRINCIPAL GLOBAL FINANCIAL SERVICES (EUROPE) LIMITED	PARTNER (CORPORATE)	D	yes	05/2013	Jun 3, 2014	Jul 7, 2016
PRINCIPAL GLOBAL FINANCIAL SERVICES (EUROPE) LTD	Shareholder	D	yes	05/2013	Jun 3, 2014	Jul 7, 2016
SHUMWAY, ELLEN, W	Director	Na	yes	05/2013	Mar 30, 2015	Jul 7, 2016
STUMPFF, TIMOTHY, EMIL	PRESIDENT - CEO, COO, CFO	Na	yes	10/2014	Mar 30, 2015	Jul 7, 2016
DILLARD, RANDALL, WAYNE	Partner	B	no	09/2003	Mar 30, 2012	Jul 7, 2016
FUNK, BENJAMIN, JOSEPH	Partner	Na	no	08/2009	Mar 30, 2012	Jul 7, 2016
HOLLAND, JEFF	Partner	B	no	09/2003	Mar 30, 2012	Jul 7, 2016
LIONGATE CAPITAL MANAGEMENT (UK) LIMITED	PARTNER (CORPORATE)	A	no	09/2003	Mar 30, 2012	Jul 7, 2016
THORPE, CANDICE	CHIEF COMPLIANCE OFFICER	Na	no	10/2014	Mar 30, 2015	Jul 7, 2016

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
PRINCIPAL GLOBAL INVESTORS, LLC	n/a	Other adviser	$428B	N	yes	n/a
PRINCIPAL MANAGEMENT CORP	n/a	Former SEC adviser	$183B	N	yes	n/a
PRINCIPAL REAL ESTATE INVESTORS LLC	n/a	Institutional manager	$106B	N	yes	n/a
EDGE ASSET MANAGEMENT, INC.	n/a	Former SEC adviser	$33B	N	yes	n/a
SPECTRUM ASSET MANAGEMENT, INC.	n/a	Former SEC adviser	$24B	N	yes	n/a
PRINCIPAL SECURITIES, INC.	n/a	Bd affiliated wealth	$17B	N	yes	n/a
MORLEY CAPITAL MANAGEMENT, INC.	n/a	Former SEC adviser	$17B	N	yes	n/a
POST ADVISORY GROUP, LLC	n/a	Other adviser	$13B	N	yes	n/a
PRINCIPAL FINANCIAL ADVISORS, INC.	n/a	Former SEC adviser	$9.0B	N	yes	n/a
ORIGIN ASSET MANAGEMENT LLP	n/a	Former SEC adviser	$4.6B	N	yes	n/a
FINISTERRE CAPITAL LLP	n/a	Former SEC adviser	$3.2B	N	yes	n/a
COLUMBUS CIRCLE INVESTORS	n/a	Former SEC adviser	$2.3B	N	yes	n/a
DELAWARE CHARTER GUARANTEE & TRUST COMPANY	n/a	n/a	n/a	N	yes	n/a
LIONGATE CAPITAL MANAGEMENT (CAYMAN) LIMITED	n/a	n/a	n/a	Y	yes	n/a
LIONGATE CAPITAL MANAGEMENT LIMITED	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL BANK	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL ENTERPRISE CAPITAL, LLC	n/a	Former SEC adviser	n/a	N	yes	n/a
PRINCIPAL FUNDS DISTRIBUTOR, INC.	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL GLOBAL INVESTORS (EUROPE) LTD	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL LIFE INSURANCE COMPANY	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	n/a	no
GEORGE TOWN, RAND CAYMAN	n/a	Cayman Islands	n/a	no
SENAPATI BAPAT RD, PUNE	n/a	India	n/a	no
Sliema	n/a	Malta	n/a	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; showing 4 of 5

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Sep 18, 2015	$444M	$0	27	18	n/a	2	$207M
2014	Mar 30, 2015	$534M	$0	19	11	n/a	2	$241M
2013	Jun 3, 2014	$7.3B	$0	18	9	n/a	n/a	n/a
2012	Mar 30, 2012	$2.3B	$0	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
2015	$444M	$534M	-16.9%	$2.3B	-42.0%	27	19	n/a	n/a

Relationships

Affiliated with (13)

→ EDGE ASSET MANAGEMENT, INC.Registered adviserother investment adviser, common control
factForm ADV
→ MORLEY CAPITAL MANAGEMENT, INC.Registered adviserother investment adviser, common control
factForm ADV
→ PRINCIPAL FINANCIAL ADVISORS, INC.Registered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ PRINCIPAL MANAGEMENT CORPRegistered adviserother investment adviser, common control
factForm ADV
→ POST ADVISORY GROUP, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ PRINCIPAL ASSET MANAGEMENTRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ PRINCIPAL REAL ESTATERegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ COLUMBUS CIRCLE INVESTORSRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ PRINCIPAL ORIGINRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ PRINCIPAL ENTERPRISE CAPITAL, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ FINISTERRE CAPITAL LLPRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ SPECTRUM ASSET MANAGEMENT, INC.Registered adviserother investment adviser, broker-dealer, bank, common control
factForm ADV

Advises (2)

→ LIONGATE COMMODITIES FUNDPrivate fundHedge Fund, IA
Mar 30, 2015 to presentfactForm ADV
→ LIONGATE SPC, ON BEHALF OF LIONGATE MULTI-STRATEGY FUNDPrivate fundHedge Fund, IA
Mar 30, 2015 to presentfactForm ADV

Owns (5)

← DILLARD, RANDALL, WAYNEOwnerPARTNER, ownership code B, individual
Mar 30, 2012 to presentfactForm ADV
← FUNK, BENJAMIN, JOSEPHOwnerPARTNER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← HOLLAND, JEFFOwnerPARTNER, ownership code B, individual
Mar 30, 2012 to presentfactForm ADV
← THORPE, CANDICEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2015 to presentfactForm ADV
← LIONGATE CAPITAL MANAGEMENT (UK) LIMITEDOwnerPARTNER (CORPORATE), ownership code A, foreign entity
Mar 30, 2012 to presentfactForm ADV

Controls (14)

← MCCAUGHAN, JAMES, PATRICKOwnerDIRECTOR, ownership code NA, individual
Mar 30, 2015 to presentfactForm ADV
← EVERETT, NORA, MARYOwnerDIRECTOR, ownership code NA, individual
Mar 30, 2015 to presentfactForm ADV
← SHUMWAY, ELLEN, WOwnerDIRECTOR, ownership code NA, individual
Mar 30, 2015 to presentfactForm ADV
← STUMPFF, TIMOTHY, EMILOwnerPRESIDENT - CEO, COO, CFO, ownership code NA, individual
Mar 30, 2015 to presentfactForm ADV
← LIONGATE CAPITAL MANAGEMENT (CAYMAN) LIMITEDOwnerSHAREHOLDER, ownership code E, foreign entity
Mar 30, 2012 to presentfactForm ADV
← LIONGATE LIMITEDOwnerSHAREHOLDER, ownership code E, foreign entity
Jun 3, 2014 to presentfactForm ADV
← PRINCIPAL FINANCIAL GROUP, INCOwnerSHAREHOLDER, ownership code E, foreign entity
Jun 3, 2014 to presentfactForm ADV
← PRINCIPAL FINANCIAL SERVICES I (UK) LLPOwnerSHAREHOLDER, ownership code E, domestic entity
Jun 3, 2014 to presentfactForm ADV
← PRINCIPAL FINANCIAL SERVICES II (UK) LTDOwnerSHAREHOLDER, ownership code E, domestic entity
Jun 3, 2014 to presentfactForm ADV
← PRINCIPAL FINANCIAL SERVICES III (UK) LTDOwnerSHAREHOLDER, ownership code E, domestic entity
Jun 3, 2014 to presentfactForm ADV
← PRINCIPAL FINANCIAL SERVICES VI (UK) LTDOwnerSHAREHOLDER, ownership code E, domestic entity
Jun 3, 2014 to presentfactForm ADV
← PRINCIPAL FINANCIAL SERVICES, INCOwnerMEMBER, ownership code E, foreign entity
Jun 3, 2014 to presentfactForm ADV
← PRINCIPAL GLOBAL FINANCIAL SERVICES (EUROPE) LIMITEDOwnerPARTNER (CORPORATE), ownership code D, foreign entity
Jun 3, 2014 to presentfactForm ADV
← PRINCIPAL GLOBAL FINANCIAL SERVICES (EUROPE) LTDOwnerSHAREHOLDER, ownership code D, foreign entity
Jun 3, 2014 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:15688f70-a986-0c40-397a-abded166c823
First observed: Mar 30, 2012
Last observed: Jul 7, 2016 124 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.

LIONGATE CAPITAL MANAGEMENT LLP

CRD 138837

LONDON

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:15688f70-a986-0c40-397a-abded166c823

Data as of Jul 7, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:18 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

LIONGATE SPC, ON BEHALF OF LIONGATE MULTI-STRATEGY FUND

Hedge Fund

$196M

Jul 7, 2016

Mar 30, 2015

reported

n/a

LIONGATE COMMODITIES FUND

Hedge Fund

$11.5M

Jul 7, 2016

Mar 30, 2015

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

EVERETT, NORA, MARY

Director

yes

05/2013

Mar 30, 2015

Jul 7, 2016

LIONGATE CAPITAL MANAGEMENT (CAYMAN) LIMITED

Shareholder

yes

09/2003

Mar 30, 2012

Jul 7, 2016

LIONGATE LIMITED

Shareholder

yes

02/2013

Jun 3, 2014

Jul 7, 2016

LIONGATE LIMITED

Shareholder

yes

02/2013

Jun 3, 2014

Jul 7, 2016

MCCAUGHAN, JAMES, PATRICK

Director

yes

05/2013

Mar 30, 2015

Jul 7, 2016

PRINCIPAL FINANCIAL GROUP, INC

Shareholder

yes

04/2001

Jun 3, 2014

Jul 7, 2016

PRINCIPAL FINANCIAL SERVICES I (UK) LLP

Shareholder

yes

07/2012

Jun 3, 2014

Jul 7, 2016

PRINCIPAL FINANCIAL SERVICES I (US) LLC

Partner

yes

07/2012

Jun 3, 2014

Jul 7, 2016

PRINCIPAL FINANCIAL SERVICES II (UK) LTD

Shareholder

yes

09/2012

Jun 3, 2014

Jul 7, 2016

PRINCIPAL FINANCIAL SERVICES III (UK) LTD

Shareholder

yes

03/2013

Jun 3, 2014

Jul 7, 2016

PRINCIPAL FINANCIAL SERVICES VI (UK) LTD

Shareholder

yes

03/2013

Jun 3, 2014

Jul 7, 2016

PRINCIPAL FINANCIAL SERVICES, INC

Member

yes

07/2012

Jun 3, 2014

Jul 7, 2016

PRINCIPAL GLOBAL FINANCIAL SERVICES (EUROPE) LIMITED

PARTNER (CORPORATE)

yes

05/2013

Jun 3, 2014

Jul 7, 2016

PRINCIPAL GLOBAL FINANCIAL SERVICES (EUROPE) LTD

Shareholder

yes

05/2013

Jun 3, 2014

Jul 7, 2016

SHUMWAY, ELLEN, W

Director

yes

05/2013

Mar 30, 2015

Jul 7, 2016

STUMPFF, TIMOTHY, EMIL

PRESIDENT - CEO, COO, CFO

yes

10/2014

Mar 30, 2015

Jul 7, 2016

DILLARD, RANDALL, WAYNE

Partner

09/2003

Mar 30, 2012

Jul 7, 2016

FUNK, BENJAMIN, JOSEPH

Partner

08/2009

Mar 30, 2012

Jul 7, 2016

HOLLAND, JEFF

Partner

09/2003

Mar 30, 2012

Jul 7, 2016

LIONGATE CAPITAL MANAGEMENT (UK) LIMITED

PARTNER (CORPORATE)

09/2003

Mar 30, 2012

Jul 7, 2016

THORPE, CANDICE

CHIEF COMPLIANCE OFFICER

10/2014

Mar 30, 2015

Jul 7, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PRINCIPAL GLOBAL INVESTORS, LLC

n/a

Other adviser

$428B

yes

n/a

PRINCIPAL MANAGEMENT CORP

n/a

Former SEC adviser

$183B

yes

n/a

PRINCIPAL REAL ESTATE INVESTORS LLC

n/a

Institutional manager

$106B

yes

n/a

EDGE ASSET MANAGEMENT, INC.

n/a

Former SEC adviser

$33B

yes

n/a

SPECTRUM ASSET MANAGEMENT, INC.

n/a

Former SEC adviser

$24B

yes

n/a

PRINCIPAL SECURITIES, INC.

n/a

Bd affiliated wealth

$17B

yes

n/a

MORLEY CAPITAL MANAGEMENT, INC.

n/a

Former SEC adviser

$17B

yes

n/a

POST ADVISORY GROUP, LLC

n/a

Other adviser

$13B

yes

n/a

PRINCIPAL FINANCIAL ADVISORS, INC.

n/a

Former SEC adviser

$9.0B

yes

n/a

ORIGIN ASSET MANAGEMENT LLP

n/a

Former SEC adviser

$4.6B

yes

n/a

FINISTERRE CAPITAL LLP

n/a

Former SEC adviser

$3.2B

yes

n/a

COLUMBUS CIRCLE INVESTORS

n/a

Former SEC adviser

$2.3B

yes

n/a

DELAWARE CHARTER GUARANTEE & TRUST COMPANY

n/a

yes

n/a

LIONGATE CAPITAL MANAGEMENT (CAYMAN) LIMITED

n/a

yes

n/a

LIONGATE CAPITAL MANAGEMENT LIMITED

n/a

yes

n/a

PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED

n/a

yes

n/a

PRINCIPAL BANK

n/a

yes

n/a

PRINCIPAL ENTERPRISE CAPITAL, LLC

n/a

Former SEC adviser

n/a

yes

n/a

PRINCIPAL FUNDS DISTRIBUTOR, INC.

n/a

yes

n/a

PRINCIPAL GLOBAL INVESTORS (EUROPE) LTD

n/a

yes

n/a

PRINCIPAL LIFE INSURANCE COMPANY

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

n/a

GEORGE TOWN, RAND CAYMAN

n/a

Cayman Islands

n/a

SENAPATI BAPAT RD, PUNE

n/a

India

n/a

Sliema

n/a

Malta

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Sep 18, 2015

$444M

n/a

$207M

2014

Mar 30, 2015

$534M

n/a

$241M

2013

Jun 3, 2014

$7.3B

n/a

2012

Mar 30, 2012

$2.3B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$444M

$534M

-16.9%

$2.3B

-42.0%

n/a