DFX Intelligence

Data Factory

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

SIXTY WALL STREET MANAGEMENT COMPANY, LLC

CRD 109035

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:159d0e8f-934e-e8fe-2ca4-1e3d7b2c4920

Data as of Jun 8, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Jun 8, 2015
15 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: $1.3MItem 5.F on the latest filing (2015-06-08); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.3M
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: 10
Advisory employees: 2
Accounts: 1
Custody, client assets: $1.3M
SEC number: 801-50703
CRD: 109035
Filings on the tape: 15
First filed: Mar 30, 2012
Latest filed: Jun 8, 2015
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
CAPELLA, ANA	MANAGING DIRECTOR	Na	yes	01/2011	Mar 30, 2012	Jun 8, 2015
FLANAGAN, BRIAN, P	Cfo	Na	yes	02/2013	Mar 28, 2013	Jun 8, 2015
J.P. MORGAN INVESTMENT PARTNERS, L.P.	MANAGING MEMBER	E	yes	11/2000	Mar 30, 2012	Jun 8, 2015
JPMP CAPITAL, LLC (F/K/A J.P. MORGAN CAPITAL CORPORATION)	Owner	F	yes	11/2000	Mar 30, 2012	Jun 8, 2015
SMITH, RICHARD, WARREN	President	Na	yes	01/2013	Mar 28, 2013	Jun 8, 2015
COLE, ROBERT, J	CHIEF COMPLIANCE OFFICER	Na	no	01/2015	Jan 16, 2015	Jun 8, 2015
J.P. MORGAN CHASE & CO. INC.	Owner	E	no	12/2000	Mar 30, 2012	Jun 8, 2015

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
J.P. MORGAN INVESTMENT MANAGEMENT INC.	n/a	Asset manager	$3519B	N	yes	n/a
J.P. MORGAN SECURITIES LLC	n/a	Wirehouse	$430B	N	yes	n/a
J.P. MORGAN PARTNERS, LLC	n/a	Former SEC adviser	$38.9M	N	yes	n/a
JPMORGAN CHASE BANK N.A.	n/a	n/a	n/a	N	yes	NY
SIXTY WALL STREET MANAGEMENT CO., LP	n/a	n/a	n/a	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
2014	Mar 27, 2015	$1.3M	$1.3M	10	2	n/a	n/a	n/a
2013	Mar 25, 2014	$44.9M	$44.9M	11	2	n/a	n/a	n/a
2012	Apr 1, 2013	$47.9M	$47.9M	3	3	n/a	n/a	n/a
2011	Mar 30, 2012	$68.2M	$68.2M	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
2014	$1.3M	$44.9M	-97.1%	$68.2M	-73.3%	10	11	n/a	n/a

Relationships

Affiliated with (5)

→ J.P. MORGAN INVESTMENT MANAGEMENT INC.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ JPMORGAN PARTNERSRegistered adviserother investment adviser, common control
factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserother investment adviser, broker-dealer, trust company, CPO/CTA, common control
factForm ADV
← J.P. MORGAN LATIN AMERICA MANAGEMENT COMPANY, LLC.Registered adviserother investment adviser, common control
factForm ADV
← SIXTY WALL STREET GP CORPORATIONRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Controls (5)

← CAPELLA, ANAOwnerMANAGING DIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← SMITH, RICHARD, WARRENOwnerPRESIDENT, ownership code NA, individual
Mar 28, 2013 to presentfactForm ADV
← FLANAGAN, BRIAN, POwnerCFO, ownership code NA, individual
Mar 28, 2013 to presentfactForm ADV
← J.P. MORGAN INVESTMENT PARTNERS, L.P.OwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← JPMP CAPITAL, LLC (F/K/A J.P. MORGAN CAPITAL CORPORATION)OwnerOWNER, ownership code F, domestic entity
Mar 30, 2012 to presentfactForm ADV

Owns (2)

← COLE, ROBERT, JOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 16, 2015 to presentfactForm ADV
← J.P. MORGAN CHASE & CO. INC.OwnerOWNER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:159d0e8f-934e-e8fe-2ca4-1e3d7b2c4920
First observed: Mar 30, 2012
Last observed: Jun 8, 2015 137 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.

SIXTY WALL STREET MANAGEMENT COMPANY, LLC

CRD 109035

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:159d0e8f-934e-e8fe-2ca4-1e3d7b2c4920

Data as of Jun 8, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:31 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CAPELLA, ANA

MANAGING DIRECTOR

yes

01/2011

Mar 30, 2012

Jun 8, 2015

FLANAGAN, BRIAN, P

Cfo

yes

02/2013

Mar 28, 2013

Jun 8, 2015

J.P. MORGAN INVESTMENT PARTNERS, L.P.

MANAGING MEMBER

yes

11/2000

Mar 30, 2012

Jun 8, 2015

JPMP CAPITAL, LLC (F/K/A J.P. MORGAN CAPITAL CORPORATION)

Owner

yes

11/2000

Mar 30, 2012

Jun 8, 2015

SMITH, RICHARD, WARREN

President

yes

01/2013

Mar 28, 2013

Jun 8, 2015

COLE, ROBERT, J

CHIEF COMPLIANCE OFFICER

01/2015

Jan 16, 2015

Jun 8, 2015

J.P. MORGAN CHASE & CO. INC.

Owner

12/2000

Mar 30, 2012

Jun 8, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

J.P. MORGAN INVESTMENT MANAGEMENT INC.

n/a

Asset manager

$3519B

yes

n/a

J.P. MORGAN SECURITIES LLC

n/a

Wirehouse

$430B

yes

n/a

J.P. MORGAN PARTNERS, LLC

n/a

Former SEC adviser

$38.9M

yes

n/a

JPMORGAN CHASE BANK N.A.

n/a

yes

SIXTY WALL STREET MANAGEMENT CO., LP

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 27, 2015

$1.3M

n/a

2013

Mar 25, 2014

$44.9M

n/a

2012

Apr 1, 2013

$47.9M

n/a

2011

Mar 30, 2012

$68.2M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$1.3M

$44.9M

-97.1%

$68.2M

-73.3%

n/a