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

LANCASTER POLLARD INVESTMENT ADVISORY GROUP

LANCASTER POLLARD ASSET MANAGEMENT LLC, CRD 112008

COLUMBUS, OH

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:1ba46326-d226-6d54-fa49-ebed4f083a5d

Data as of Sep 29, 2015 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 35
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Sep 29, 2015
11 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: $169MItem 5.F on the latest filing (2015-09-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $55.7M
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: 5
Advisory employees: 5
Accounts: 17
SEC number: 801-55556
CRD: 112008
Filings on the tape: 11
First filed: Mar 29, 2012
Latest filed: Sep 29, 2015
Organised: Limited Liability Company, Ohio

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
CAREY, JAMES, DAWSON	MANAGING MEMBER	E	yes	12/2008	Oct 30, 2013	Sep 29, 2015
CD TRIDENT V, LLC	GENERAL PARTNER	F	yes	10/2011	Oct 30, 2013	Sep 29, 2015
CD TRIDENT V, LLC	GENERAL PARTNER	F	yes	12/2008	Oct 30, 2013	Sep 29, 2015
COURSON, WILLIAM, MICHAEL	President	Na	yes	06/2006	Mar 29, 2012	Sep 29, 2015
DAVIS, CHARLES, ARTHUR	MANAGING MEMBER	E	yes	12/2008	Oct 30, 2013	Sep 29, 2015
DW TRIDENT V, LLC	GENERAL PARTNER	F	yes	10/2011	Oct 30, 2013	Sep 29, 2015
DW TRIDENT V, LLC	GENERAL PARTNER	F	yes	12/2008	Oct 30, 2013	Sep 29, 2015
GREEN, THOMAS, ROLAND	Manager	F	yes	09/2013	Mar 29, 2012	Sep 29, 2015
GREEN, THOMAS, ROLAND	Manager	Na	yes	09/2013	Mar 29, 2012	Sep 29, 2015
GREEN, THOMAS, ROLAND	Shareholder	D	yes	09/2013	Mar 29, 2012	Sep 29, 2015
JC TRIDENT V, LLC	GENERAL PARTNER	F	yes	10/2011	Oct 30, 2013	Sep 29, 2015
JC TRIDENT V, LLC	GENERAL PARTNER	F	yes	12/2008	Oct 30, 2013	Sep 29, 2015
KHAN, AGHA, SHUJAAT	Manager	F	yes	09/2013	Oct 30, 2013	Sep 29, 2015
LANCASTER POLLARD HOLDINGS, LLC	Member	E	yes	06/2006	Sep 27, 2013	Sep 29, 2015
LEVEY, STEPHEN, ASHE	Manager	F	yes	09/2013	Oct 30, 2013	Sep 29, 2015
NZ TRIDENT V, LLC	GENERAL PARTNER	F	yes	10/2011	Oct 30, 2013	Sep 29, 2015
NZ TRIDENT V, LLC	GENERAL PARTNER	F	yes	12/2008	Oct 30, 2013	Sep 29, 2015
POLLARD, THOMAS, BRIAN	Manager	Na	yes	09/2013	Mar 29, 2012	Sep 29, 2015
POLLARD, THOMAS, BRIAN	Shareholder	D	yes	09/2013	Mar 29, 2012	Sep 29, 2015
POLLARD, THOMAS, BRIAN	Manager	F	yes	09/2013	Mar 29, 2012	Sep 29, 2015
THREE LG, INC.	Member	C	yes	09/2013	Sep 27, 2013	Sep 29, 2015
TRIDENT CAPITAL V-PF, L.P.	GENERAL PARTNER	F	yes	10/2011	Oct 30, 2013	Sep 29, 2015
TRIDENT CAPITAL V, L.P.	GENERAL PARTNER	F	yes	12/2008	Oct 30, 2013	Sep 29, 2015
TRIDENT LANCASTER HOLDINGS INC.	Member	C	yes	06/2013	Oct 30, 2013	Sep 29, 2015
TRIDENT LANCASTER HOLDINGS, LLC	Member	D	yes	09/2013	Oct 30, 2013	Sep 29, 2015
TRIDENT V PARALLEL FUND, L.P.	Shareholder	E	yes	06/2013	Oct 30, 2013	Sep 29, 2015
TRIDENT V, L.P.	MANAGING MEMBER	D	yes	06/2013	Oct 30, 2013	Sep 29, 2015
WERMUTH, DAVID, JAY	MANAGING MEMBER	E	yes	12/2008	Oct 30, 2013	Sep 29, 2015
ZERBIB, NICOLAS, DAVID	MANAGING MEMBER	E	yes	12/2008	Oct 30, 2013	Sep 29, 2015
WASSON, TIMOTHY, D	CHIEF COMPLIANCE OFFICER	Na	no	03/2014	Mar 28, 2014	Sep 29, 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
LANCASTER POLLARD & CO., LLC	n/a	n/a	n/a	Y	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 19, 2015	$169M	$55.7M	5	5	n/a	n/a	n/a
2013	Mar 28, 2014	$316M	$208M	5	4	n/a	n/a	n/a
2012	Mar 25, 2013	$396M	$116M	4	4	n/a	n/a	n/a
2011	Mar 29, 2012	$355M	$124M	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	$169M	$316M	-46.4%	$355M	-21.9%	5	5	n/a	n/a

Relationships

Controls (20)

← COURSON, WILLIAM, MICHAELOwnerPRESIDENT, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← POLLARD, THOMAS, BRIANOwnerMANAGER, ownership code F, individual
Mar 29, 2012 to presentfactForm ADV
← CAREY, JAMES, DAWSONOwnerMANAGING MEMBER, ownership code E, individual
Oct 30, 2013 to presentfactForm ADV
← GREEN, THOMAS, ROLANDOwnerMANAGER, ownership code F, individual
Mar 29, 2012 to presentfactForm ADV
← KHAN, AGHA, SHUJAATOwnerMANAGER, ownership code F, individual
Oct 30, 2013 to presentfactForm ADV
← ZERBIB, NICOLAS, DAVIDOwnerMANAGING MEMBER, ownership code E, individual
Oct 30, 2013 to presentfactForm ADV
← WERMUTH, DAVID, JAYOwnerMANAGING MEMBER, ownership code E, individual
Oct 30, 2013 to presentfactForm ADV
← LEVEY, STEPHEN, ASHEOwnerMANAGER, ownership code F, individual
Oct 30, 2013 to presentfactForm ADV
← DAVIS, CHARLES, ARTHUROwnerMANAGING MEMBER, ownership code E, individual
Oct 30, 2013 to presentfactForm ADV
← CD TRIDENT V, LLCOwnerGENERAL PARTNER, ownership code F, domestic entity
Oct 30, 2013 to presentfactForm ADV
← DW TRIDENT V, LLCOwnerGENERAL PARTNER, ownership code F, domestic entity
Oct 30, 2013 to presentfactForm ADV
← JC TRIDENT V, LLCOwnerGENERAL PARTNER, ownership code F, domestic entity
Oct 30, 2013 to presentfactForm ADV
← LANCASTER POLLARD HOLDINGS, LLCOwnerMEMBER, ownership code E, domestic entity
Sep 27, 2013 to presentfactForm ADV
← NZ TRIDENT V, LLCOwnerGENERAL PARTNER, ownership code F, domestic entity
Oct 30, 2013 to presentfactForm ADV
← THREE LG, INC.OwnerMEMBER, ownership code C, domestic entity
Sep 27, 2013 to presentfactForm ADV
← TRIDENT CAPITAL V, L.P.OwnerGENERAL PARTNER, ownership code F, foreign entity
Oct 30, 2013 to presentfactForm ADV
← TRIDENT CAPITAL V-PF, L.P.OwnerGENERAL PARTNER, ownership code F, foreign entity
Oct 30, 2013 to presentfactForm ADV
← TRIDENT LANCASTER HOLDINGS INC.OwnerMEMBER, ownership code C, domestic entity
Oct 30, 2013 to presentfactForm ADV
← TRIDENT V PARALLEL FUND, L.P.OwnerSHAREHOLDER, ownership code E, foreign entity
Oct 30, 2013 to presentfactForm ADV
← TRIDENT V, L.P.OwnerMANAGING MEMBER, ownership code D, foreign entity
Oct 30, 2013 to presentfactForm ADV

Owns (1)

← WASSON, TIMOTHY, DOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2014 to presentfactForm ADV

Registered with (5)

← WILLIAM MICHAEL COURSONAdvisorregistration: previous registration
Apr 2, 2013 to Dec 8, 2015factForm ADV
← JAMES LESTER ROSS IIAdvisorregistration: previous registration
Jan 28, 2014 to Dec 1, 2015factForm ADV
← Robert HutchinsonAdvisorregistration: previous registration
Jun 12, 2014 to Sep 3, 2015factForm ADV
← MARSHALL MARRACCINIAdvisorregistration: previous registration
Jul 18, 2011 to Apr 12, 2012factForm ADV
← Scott KremerAdvisorregistration: previous registration
Jun 28, 2010 to Feb 9, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1ba46326-d226-6d54-fa49-ebed4f083a5d
First observed: Mar 29, 2012
Last observed: Sep 29, 2015 133 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.

LANCASTER POLLARD INVESTMENT ADVISORY GROUP

LANCASTER POLLARD ASSET MANAGEMENT LLC, CRD 112008

COLUMBUS, OH

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:1ba46326-d226-6d54-fa49-ebed4f083a5d

Data as of Sep 29, 2015 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:52 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CAREY, JAMES, DAWSON

MANAGING MEMBER

yes

12/2008

Oct 30, 2013

Sep 29, 2015

CD TRIDENT V, LLC

GENERAL PARTNER

yes

10/2011

Oct 30, 2013

Sep 29, 2015

CD TRIDENT V, LLC

GENERAL PARTNER

yes

12/2008

Oct 30, 2013

Sep 29, 2015

COURSON, WILLIAM, MICHAEL

President

yes

06/2006

Mar 29, 2012

Sep 29, 2015

DAVIS, CHARLES, ARTHUR

MANAGING MEMBER

yes

12/2008

Oct 30, 2013

Sep 29, 2015

DW TRIDENT V, LLC

GENERAL PARTNER

yes

10/2011

Oct 30, 2013

Sep 29, 2015

DW TRIDENT V, LLC

GENERAL PARTNER

yes

12/2008

Oct 30, 2013

Sep 29, 2015

GREEN, THOMAS, ROLAND

Manager

yes

09/2013

Mar 29, 2012

Sep 29, 2015

GREEN, THOMAS, ROLAND

Manager

yes

09/2013

Mar 29, 2012

Sep 29, 2015

GREEN, THOMAS, ROLAND

Shareholder

yes

09/2013

Mar 29, 2012

Sep 29, 2015

JC TRIDENT V, LLC

GENERAL PARTNER

yes

10/2011

Oct 30, 2013

Sep 29, 2015

JC TRIDENT V, LLC

GENERAL PARTNER

yes

12/2008

Oct 30, 2013

Sep 29, 2015

KHAN, AGHA, SHUJAAT

Manager

yes

09/2013

Oct 30, 2013

Sep 29, 2015

LANCASTER POLLARD HOLDINGS, LLC

Member

yes

06/2006

Sep 27, 2013

Sep 29, 2015

LEVEY, STEPHEN, ASHE

Manager

yes

09/2013

Oct 30, 2013

Sep 29, 2015

NZ TRIDENT V, LLC

GENERAL PARTNER

yes

10/2011

Oct 30, 2013

Sep 29, 2015

NZ TRIDENT V, LLC

GENERAL PARTNER

yes

12/2008

Oct 30, 2013

Sep 29, 2015

POLLARD, THOMAS, BRIAN

Manager

yes

09/2013

Mar 29, 2012

Sep 29, 2015

POLLARD, THOMAS, BRIAN

Shareholder

yes

09/2013

Mar 29, 2012

Sep 29, 2015

POLLARD, THOMAS, BRIAN

Manager

yes

09/2013

Mar 29, 2012

Sep 29, 2015

THREE LG, INC.

Member

yes

09/2013

Sep 27, 2013

Sep 29, 2015

TRIDENT CAPITAL V-PF, L.P.

GENERAL PARTNER

yes

10/2011

Oct 30, 2013

Sep 29, 2015

TRIDENT CAPITAL V, L.P.

GENERAL PARTNER

yes

12/2008

Oct 30, 2013

Sep 29, 2015

TRIDENT LANCASTER HOLDINGS INC.

Member

yes

06/2013

Oct 30, 2013

Sep 29, 2015

TRIDENT LANCASTER HOLDINGS, LLC

Member

yes

09/2013

Oct 30, 2013

Sep 29, 2015

TRIDENT V PARALLEL FUND, L.P.

Shareholder

yes

06/2013

Oct 30, 2013

Sep 29, 2015

TRIDENT V, L.P.

MANAGING MEMBER

yes

06/2013

Oct 30, 2013

Sep 29, 2015

WERMUTH, DAVID, JAY

MANAGING MEMBER

yes

12/2008

Oct 30, 2013

Sep 29, 2015

ZERBIB, NICOLAS, DAVID

MANAGING MEMBER

yes

12/2008

Oct 30, 2013

Sep 29, 2015

WASSON, TIMOTHY, D

CHIEF COMPLIANCE OFFICER

03/2014

Mar 28, 2014

Sep 29, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

LANCASTER POLLARD & CO., LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 19, 2015

$169M

$55.7M

n/a

2013

Mar 28, 2014

$316M

$208M

n/a

2012

Mar 25, 2013

$396M

$116M

n/a

2011

Mar 29, 2012

$355M

$124M

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

$169M

$316M

-46.4%

$355M

-21.9%

n/a