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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

ROBERTSON STEPHENS ASSET MANAGEMENT

ROBERTSON STEPHENS ASSET MANAGEMENT LLC, CRD 285089

SAN FRANCISCO, 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:19bd38fc-9845-141e-89e6-60ea44defe25

Data as of Aug 17, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 1
On other graphs: 0
Observed: Aug 25, 2016 to Aug 17, 2017
6 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: $0Item 5.F on the latest filing (2017-08-17); 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
Advisors on IAPD: 0
Employees: 5
Advisory employees: 3
Accounts: 0
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $0gross asset value as reported per fund; never fund size
Custody, client assets: $0
SEC number: 801-108338
CRD: 285089
Filings on the tape: 6
First filed: Aug 25, 2016
Latest filed: Aug 17, 2017
Organised: Limited Liability Company, Delaware

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
ROBERTSON STEPHENS LIQUIDITY FUND	Other Private Fund	$0	Aug 17, 2017	0	Aug 25, 2016	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
CODDINGTON, JEFFREY, MICHAEL	Cfo	Na	yes	08/2017	Aug 17, 2017	Aug 17, 2017
NAKAO, ROBIN, LEA	MANAGING MEMBER	F	yes	07/2013	Sep 7, 2016	Aug 17, 2017
PIAZZA, JOSEPH, JOHN	MANAGING MEMBER	F	yes	07/2013	Sep 7, 2016	Aug 17, 2017
RILEY, WARREN, BURTON	MANAGING MEMBER	F	yes	02/2017	Mar 20, 2017	Aug 17, 2017
RILEY, WARREN, BURTON	MANAGING MEMBER	Na	yes	02/2017	Mar 20, 2017	Aug 17, 2017
ROBERTSON STEPHENS LLC	Owner	E	yes	08/2016	Aug 25, 2016	Aug 17, 2017
Bttf	UNIT HOLDER	C	no	07/2013	Aug 25, 2016	Aug 17, 2017
BTTF II	UNIT HOLDER	F	no	08/2016	Aug 25, 2016	Aug 17, 2017
BTTF II	Owner	Na	no	08/2016	Aug 25, 2016	Aug 17, 2017
LINDNER, ANTHONY, MICHAEL	Cco	Na	no	08/2017	Aug 4, 2017	Aug 17, 2017

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
ROBERTSON STEPHENS ADVISORS LLC	n/a	Former SEC adviser	$469M	N	yes	n/a
ROBERTSON STEPHENS SECURITIES LLC	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
2016	Mar 20, 2017	$0	$0	5	3	n/a	1	$0

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
2016	$0	n/a	n/a	n/a	n/a	5	n/a	n/a	n/a

Relationships

Affiliated with (2)

← ROBERTSON STEPHENS ADVISORSRegistered adviserother investment adviser, common control
factForm ADV
→ ROBERTSON STEPHENS ADVISORSRegistered adviserother investment adviser, common control
factForm ADV

Advises (1)

→ ROBERTSON STEPHENS LIQUIDITY FUNDPrivate fundOther Private Fund, IA
Aug 25, 2016 to presentfactForm ADV

Controls (5)

← NAKAO, ROBIN, LEAOwnerMANAGING MEMBER, ownership code F, individual
Sep 7, 2016 to presentfactForm ADV
← RILEY, WARREN, BURTONOwnerMANAGING MEMBER, ownership code F, individual
Mar 20, 2017 to presentfactForm ADV
← PIAZZA, JOSEPH, JOHNOwnerMANAGING MEMBER, ownership code F, individual
Sep 7, 2016 to presentfactForm ADV
← CODDINGTON, JEFFREY, MICHAELOwnerCFO, ownership code NA, individual
Aug 17, 2017 to presentfactForm ADV
← ROBERTSON STEPHENS LLCOwnerOWNER, ownership code E, domestic entity
Aug 25, 2016 to presentfactForm ADV

Owns (3)

← LINDNER, ANTHONY, MICHAELOwnerCCO, ownership code NA, individual
Aug 4, 2017 to presentfactForm ADV
← BTTFOwnerUNIT HOLDER, ownership code C, domestic entity
Aug 25, 2016 to presentfactForm ADV
← BTTF IIOwnerUNIT HOLDER, ownership code F, domestic entity
Aug 25, 2016 to presentfactForm ADV

Dated events

Occurred
Aug 25, 2016
First Form ADV filing
Robertson Stephens Asset Management filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:19bd38fc-9845-141e-89e6-60ea44defe25
First observed: Aug 25, 2016
Last observed: Aug 17, 2017 110 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.

ROBERTSON STEPHENS ASSET MANAGEMENT

ROBERTSON STEPHENS ASSET MANAGEMENT LLC, CRD 285089

SAN FRANCISCO, 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:19bd38fc-9845-141e-89e6-60ea44defe25

Data as of Aug 17, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:52 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

ROBERTSON STEPHENS LIQUIDITY FUND

Other Private Fund

Aug 17, 2017

Aug 25, 2016

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CODDINGTON, JEFFREY, MICHAEL

Cfo

yes

08/2017

Aug 17, 2017

NAKAO, ROBIN, LEA

MANAGING MEMBER

yes

07/2013

Sep 7, 2016

Aug 17, 2017

PIAZZA, JOSEPH, JOHN

MANAGING MEMBER

yes

07/2013

Sep 7, 2016

Aug 17, 2017

RILEY, WARREN, BURTON

MANAGING MEMBER

yes

02/2017

Mar 20, 2017

Aug 17, 2017

RILEY, WARREN, BURTON

MANAGING MEMBER

yes

02/2017

Mar 20, 2017

Aug 17, 2017

ROBERTSON STEPHENS LLC

Owner

yes

08/2016

Aug 25, 2016

Aug 17, 2017

Bttf

UNIT HOLDER

07/2013

Aug 25, 2016

Aug 17, 2017

BTTF II

UNIT HOLDER

08/2016

Aug 25, 2016

Aug 17, 2017

BTTF II

Owner

08/2016

Aug 25, 2016

Aug 17, 2017

LINDNER, ANTHONY, MICHAEL

Cco

08/2017

Aug 4, 2017

Aug 17, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ROBERTSON STEPHENS ADVISORS LLC

n/a

Former SEC adviser

$469M

yes

n/a

ROBERTSON STEPHENS SECURITIES LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 20, 2017

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

n/a