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

YORK REGISTERED HOLDINGS, L.P.

CRD 165783

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:169227f6-ad32-b289-e3ec-0f996db098f1

Data as of Mar 26, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 11
On other graphs: 0
Observed: Oct 30, 2012 to Mar 26, 2021
17 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: $36.6MItem 5.F on the latest filing (2021-03-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $36.6M
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: 159
Advisory employees: 48
Offices: 4Schedule D 1.F, beyond the principal office
Accounts: 1
SEC number: 801-77336
CRD: 165783
Filings on the tape: 17
First filed: Oct 30, 2012
Latest filed: Mar 26, 2021
Organised: Limited Partnership, 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
DINAN, JAMES, GERARD	CHAIRMAN AND CHIEF EXECUTIVE OFFICER	C	yes	10/1991	Oct 30, 2012	Mar 26, 2021
FOSINA, JOHN, JOSEPH	CHIEF FINANCIAL OFFICER	Na	yes	04/2010	Oct 30, 2012	Mar 26, 2021
JACOBS, JONATHAN, ZALMAN	PORTFOLIO MANAGER, PARTNER	Na	yes	01/2009	Oct 30, 2012	Mar 26, 2021
RAFIQ, AKBAR, ABDUL	Partner	Na	yes	01/2015	Mar 31, 2015	Mar 26, 2021
ROMANO, NATHAN, PAUL	PRESIDENT & CHIEF OPERATING OFFICER	Na	yes	07/2018	Mar 27, 2019	Mar 26, 2021
SWANSON, RICHARD, PAUL	CHIEF LEGAL OFFICER	Na	yes	06/2019	Oct 30, 2012	Mar 26, 2021
TRAFICANTE, BRIAN, STEVEN	GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	Na	yes	05/2019	Mar 23, 2020	Mar 26, 2021
VRATTOS, WILLIAM, CHARLES	CHIEF INVESTMENT OFFICER	B	yes	01/2019	Oct 30, 2012	Mar 26, 2021
YAMAGUCHI, MASAHIKO	PORTFOLIO MANAGER, PARTNER	Na	yes	12/2013	Mar 31, 2014	Mar 26, 2021
YORK CAPITAL MANAGEMENT	GENERAL PARTNER	Na	yes	11/2012	Nov 16, 2012	Mar 26, 2021
AURAND, CHRISTOPHE, NFN	FORMER PARTNER	A	no	01/2021	Oct 30, 2012	Mar 26, 2021
CREDIT SUISSE MANAGER HOLDINGS LIMITED	PASSIVE INVESTOR	C	no	01/2016	Jan 13, 2021	Mar 26, 2021
SCHWARTZ, DANIEL, ALEXANDER	FORMER PARTNER	A	no	01/2019	Oct 30, 2012	Mar 26, 2021
YCM MASTER HOLDINGS II, L.P.	LIMITED PARTNER	Na	no	11/2012	Nov 16, 2012	Mar 26, 2021

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
YORK CAPITAL MANAGEMENT GLOBAL ADVISORS, LLC	n/a	Asset manager	$3.3B	Y	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
HONG KONG	n/a	Hong Kong	10	no
London	n/a	United Kingdom	7	no
LUXEMBOURG CITY	n/a	Luxembourg	2	no
Miami	FL	United States	1	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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Mar 26, 2021	$36.6M	$36.6M	159	48	4	n/a	n/a
2019	Mar 23, 2020	$73.1M	$73.1M	199	74	4	n/a	n/a
2018	May 2, 2019	$154M	$154M	199	74	4	n/a	n/a
2017	Mar 22, 2018	$200M	$200M	185	65	4	n/a	n/a
2016	Mar 27, 2017	$186M	$186M	192	50	n/a	n/a	n/a
2015	Mar 16, 2016	$417M	$417M	200	50	n/a	n/a	n/a
2014	Mar 31, 2015	$400M	$400M	197	50	n/a	n/a	n/a
2013	Mar 31, 2014	$295M	$295M	180	50	n/a	n/a	n/a
2012	Mar 7, 2013	$74.3M	$74.3M	175	50	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
2020	$36.6M	$73.1M	-49.9%	$200M	-43.2%	159	199	4	4

Relationships

Affiliated with (1)

→ YORK CAPITAL MANAGEMENTRegistered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV

Controls (10)

← DINAN, JAMES, GERARDOwnerCHAIRMAN AND CHIEF EXECUTIVE OFFICER, ownership code C, individual
Oct 30, 2012 to presentfactForm ADV
← YORK CAPITAL MANAGEMENTOwnerGENERAL PARTNER, ownership code NA, domestic entity
Nov 16, 2012 to presentfactForm ADV
← VRATTOS, WILLIAM, CHARLESOwnerCHIEF INVESTMENT OFFICER, ownership code B, individual
Oct 30, 2012 to presentfactForm ADV
← ROMANO, NATHAN, PAULOwnerPRESIDENT & CHIEF OPERATING OFFICER, ownership code NA, individual
Mar 27, 2019 to presentfactForm ADV
← FOSINA, JOHN, JOSEPHOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Oct 30, 2012 to presentfactForm ADV
← JACOBS, JONATHAN, ZALMANOwnerPORTFOLIO MANAGER, PARTNER, ownership code NA, individual
Oct 30, 2012 to presentfactForm ADV
← SWANSON, RICHARD, PAULOwnerCHIEF LEGAL OFFICER, ownership code NA, individual
Oct 30, 2012 to presentfactForm ADV
← YAMAGUCHI, MASAHIKOOwnerPORTFOLIO MANAGER, PARTNER, ownership code NA, individual
Mar 31, 2014 to presentfactForm ADV
← RAFIQ, AKBAR, ABDULOwnerPARTNER, ownership code NA, individual
Mar 31, 2015 to presentfactForm ADV
← TRAFICANTE, BRIAN, STEVENOwnerGENERAL COUNSEL & CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 23, 2020 to presentfactForm ADV

Owns (4)

← SCHWARTZ, DANIEL, ALEXANDEROwnerFORMER PARTNER, ownership code A, individual
Oct 30, 2012 to presentfactForm ADV
← AURAND, CHRISTOPHE, NFNOwnerFORMER PARTNER, ownership code A, individual
Oct 30, 2012 to presentfactForm ADV
← CREDIT SUISSE MANAGER HOLDINGS LIMITEDOwnerPASSIVE INVESTOR, ownership code C, domestic entity
Jan 13, 2021 to presentfactForm ADV
← YCM MASTER HOLDINGS II, L.P.OwnerLIMITED PARTNER, ownership code NA, domestic entity
Nov 16, 2012 to presentfactForm ADV

Dated events

Occurred
Jan 13, 2021
Control person left
Matthew Jeremy Blank (Portfolio Manager, Partner) no longer on Schedule A of York Registered Holdings, L.P. (listed 2020-03-23, absent 2021-01-13)
Form ADVobserved 4 days ago
Occurred
Jan 13, 2021
Control person left
David Mark Schein (Chief Compliance Officer) no longer on Schedule A of York Registered Holdings, L.P. (listed 2020-03-23, absent 2021-01-13)
Form ADVobserved 4 days ago
Occurred
Jan 13, 2021
Control person left
Louise Jeanne Manischewitz (Portfolio Manager, Partner) no longer on Schedule A of York Registered Holdings, L.P. (listed 2020-03-23, absent 2021-01-13)
Form ADVobserved 4 days ago
Occurred
Jan 13, 2021
Control person left
Whalen Matthew Bonanno (Partner) no longer on Schedule A of York Registered Holdings, L.P. (listed 2020-03-23, absent 2021-01-13)
Form ADVobserved 4 days ago
Occurred
Jan 13, 2021
Control person left
John Fraser Maingay (Partner) no longer on Schedule A of York Registered Holdings, L.P. (listed 2020-03-23, absent 2021-01-13)
Form ADVobserved 4 days ago
Occurred
Mar 23, 2020
Control person joined
Steven Brian Traficante (General Counsel) appeared on Schedule A of York Registered Holdings, L.P.
Form ADVobserved 4 days ago
Occurred
Mar 23, 2020
Control person left
Marc Herman Christian Reyntjens (Portfolio Manager, Partner) no longer on Schedule A of York Registered Holdings, L.P. (listed 2019-05-02, absent 2020-03-23)
Form ADVobserved 4 days ago
Occurred
Mar 23, 2020
Control person left
Mark David Damast (Portfolio Manager, Partner) no longer on Schedule A of York Registered Holdings, L.P. (listed 2019-05-02, absent 2020-03-23)
Form ADVobserved 4 days ago
Occurred
Mar 27, 2019
Control person left
Alexander Daniel Schwartz (Chief Investment Officer) no longer on Schedule A of York Registered Holdings, L.P. (listed 2018-03-22, absent 2019-03-27)
Form ADVobserved 4 days ago
Occurred
Mar 27, 2019
Control person joined
Paul Nathan Romano (Chief Operating Officer) appeared on Schedule A of York Registered Holdings, L.P.
Form ADVobserved 4 days ago
Occurred
Oct 30, 2012
First Form ADV filing
York Registered Holdings, L.P. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:169227f6-ad32-b289-e3ec-0f996db098f1
First observed: Oct 30, 2012
Last observed: Mar 26, 2021 66 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.

YORK REGISTERED HOLDINGS, L.P.

CRD 165783

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:169227f6-ad32-b289-e3ec-0f996db098f1

Data as of Mar 26, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:53 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DINAN, JAMES, GERARD

CHAIRMAN AND CHIEF EXECUTIVE OFFICER

yes

10/1991

Oct 30, 2012

Mar 26, 2021

FOSINA, JOHN, JOSEPH

CHIEF FINANCIAL OFFICER

yes

04/2010

Oct 30, 2012

Mar 26, 2021

JACOBS, JONATHAN, ZALMAN

PORTFOLIO MANAGER, PARTNER

yes

01/2009

Oct 30, 2012

Mar 26, 2021

RAFIQ, AKBAR, ABDUL

Partner

yes

01/2015

Mar 31, 2015

Mar 26, 2021

ROMANO, NATHAN, PAUL

PRESIDENT & CHIEF OPERATING OFFICER

yes

07/2018

Mar 27, 2019

Mar 26, 2021

SWANSON, RICHARD, PAUL

CHIEF LEGAL OFFICER

yes

06/2019

Oct 30, 2012

Mar 26, 2021

TRAFICANTE, BRIAN, STEVEN

GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER

yes

05/2019

Mar 23, 2020

Mar 26, 2021

VRATTOS, WILLIAM, CHARLES

CHIEF INVESTMENT OFFICER

yes

01/2019

Oct 30, 2012

Mar 26, 2021

YAMAGUCHI, MASAHIKO

PORTFOLIO MANAGER, PARTNER

yes

12/2013

Mar 31, 2014

Mar 26, 2021

YORK CAPITAL MANAGEMENT

GENERAL PARTNER

yes

11/2012

Nov 16, 2012

Mar 26, 2021

AURAND, CHRISTOPHE, NFN

FORMER PARTNER

01/2021

Oct 30, 2012

Mar 26, 2021

CREDIT SUISSE MANAGER HOLDINGS LIMITED

PASSIVE INVESTOR

01/2016

Jan 13, 2021

Mar 26, 2021

SCHWARTZ, DANIEL, ALEXANDER

FORMER PARTNER

01/2019

Oct 30, 2012

Mar 26, 2021

YCM MASTER HOLDINGS II, L.P.

LIMITED PARTNER

11/2012

Nov 16, 2012

Mar 26, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

YORK CAPITAL MANAGEMENT GLOBAL ADVISORS, LLC

n/a

Asset manager

$3.3B

yes

n/a

City

State

Country

Employees

Also broker-dealer

HONG KONG

n/a

Hong Kong

London

n/a

United Kingdom

LUXEMBOURG CITY

n/a

Luxembourg

Miami

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 26, 2021

$36.6M

159

n/a

2019

Mar 23, 2020

$73.1M

199

n/a

2018

May 2, 2019

$154M

199

n/a

2017

Mar 22, 2018

$200M

185

n/a

2016

Mar 27, 2017

$186M

192

n/a

2015

Mar 16, 2016

$417M

200

n/a

2014

Mar 31, 2015

$400M

197

n/a

2013

Mar 31, 2014

$295M

180

n/a

2012

Mar 7, 2013

$74.3M

175

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$36.6M

$73.1M

-49.9%

$200M

-43.2%

159

199