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

LOEB KING CAPITAL MANAGEMENT (D/B/A)

CARL M. LOEB ADVISORY PARTNERS L.P., CRD 152601

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:1bc9243f-e758-19af-ffa0-d10404dfd1c9

Data as of Jun 17, 2014 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 1
On other graphs: 0
Observed: Dec 23, 2011 to Jun 17, 2014
8 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: $119MItem 5.F on the latest filing (2014-06-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $119M
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: 12
Accounts: 2
SEC number: 801-78423
CRD: 152601
Filings on the tape: 8
First filed: Dec 23, 2011
Latest filed: Jun 17, 2014
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
CARL M. LOEB & CO. LLC	LIMITED PARTNER	D	yes	03/2010	Dec 23, 2011	Jun 17, 2014
CARL M. LOEB MANAGEMENT HOLDING LLC	GENERAL PARTNER	Na	yes	12/2009	Dec 23, 2011	Jun 17, 2014
GROSSMAN, JAMIE, IVAN	CHIEF OPERATING OFFICER	Na	yes	08/2013	Dec 12, 2013	Jun 17, 2014
HAMPSON, DAVID, SCOTT	CHIEF FINANCIAL OFFICER	Na	yes	12/2009	Aug 2, 2013	Jun 17, 2014
KEMPNER, THOMAS, LENOX	CHAIRMAN OF THE BOARD OF MANAGERS	D	yes	05/2007	Dec 23, 2011	Jun 17, 2014
KEMPNER, THOMAS, LENOX	Chairman	Na	yes	12/2009	Dec 23, 2011	Jun 17, 2014
KING, GIDEON, JEREMY	GENERAL PARTNER	E	yes	03/2010	Dec 23, 2011	Jun 17, 2014
KING, GIDEON, JEREMY	Ceo	Na	yes	12/2009	Dec 23, 2011	Jun 17, 2014
LB PARTNERS, L.P.	LIMITED PARTNER	C	yes	03/2010	Dec 23, 2011	Jun 17, 2014
SCHWARTZ, ROBERT, SCOTT	GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER	Na	yes	08/2012	Sep 6, 2012	Jun 17, 2014

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
LOEB OFFSHORE MANAGEMENT LP	n/a	Former SEC adviser	$744M	N	yes	n/a
LOEB ARBITRAGE MANAGEMENT LP	n/a	Former SEC adviser	$697M	N	yes	n/a
LOEB PARTNERS CORPORATION	n/a	Former SEC adviser	$455M	N	yes	n/a
LOEB PARTNERS MANAGEMENT INC	n/a	Former SEC adviser	$24.4M	N	yes	n/a
LOEB ASIA PARTNERS LLC	n/a	n/a	n/a	N	yes	n/a
LOEB HOLDING CORPORATION	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; showing 2 of 3

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Mar 28, 2014	$119M	$119M	27	12	n/a	n/a	n/a
2011	May 3, 2012	n/a	n/a	n/a	0	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
2013	$119M	n/a	n/a	n/a	n/a	27	n/a	n/a	n/a

Relationships

Affiliated with (6)

← LOEB KING CAPITAL MANAGEMENT (D/B/A)Registered adviserother investment adviser, bank, common control
factForm ADV
← LOEB KING CAPITAL MANAGEMENT (D/B/A)Registered adviserother investment adviser, bank, common control
factForm ADV
→ LOEB PARTNERS MANAGEMENT INCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ LOEB PARTNERS CORPORATIONRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ LOEB KING CAPITAL MANAGEMENT (D/B/A)Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ LOEB KING CAPITAL MANAGEMENT (D/B/A)Registered adviserother investment adviser, bank, common control
factForm ADV

Controls (8)

← SCHWARTZ, ROBERT, SCOTTOwnerGENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 6, 2012 to presentfactForm ADV
← HAMPSON, DAVID, SCOTTOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Aug 2, 2013 to presentfactForm ADV
← KING, GIDEON, JEREMYOwnerGENERAL PARTNER, ownership code E, individual
Dec 23, 2011 to presentfactForm ADV
← KEMPNER, THOMAS, LENOXOwnerCHAIRMAN OF THE BOARD OF MANAGERS, ownership code D, individual
Dec 23, 2011 to presentfactForm ADV
← GROSSMAN, JAMIE, IVANOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Dec 12, 2013 to presentfactForm ADV
← CARL M. LOEB & CO. LLCOwnerLIMITED PARTNER, ownership code D, domestic entity
Dec 23, 2011 to presentfactForm ADV
← CARL M. LOEB MANAGEMENT HOLDING LLCOwnerGENERAL PARTNER, ownership code NA, domestic entity
Dec 23, 2011 to presentfactForm ADV
← LB PARTNERS, L.P.OwnerLIMITED PARTNER, ownership code C, domestic entity
Dec 23, 2011 to presentfactForm ADV

Dated events

Occurred
Aug 2, 2013
First Form ADV filing
Carl M. Loeb Advisory Partners L.P. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1bc9243f-e758-19af-ffa0-d10404dfd1c9
First observed: Dec 23, 2011
Last observed: Jun 17, 2014 149 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.

LOEB KING CAPITAL MANAGEMENT (D/B/A)

CARL M. LOEB ADVISORY PARTNERS L.P., CRD 152601

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:1bc9243f-e758-19af-ffa0-d10404dfd1c9

Data as of Jun 17, 2014 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:04 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CARL M. LOEB & CO. LLC

LIMITED PARTNER

yes

03/2010

Dec 23, 2011

Jun 17, 2014

CARL M. LOEB MANAGEMENT HOLDING LLC

GENERAL PARTNER

yes

12/2009

Dec 23, 2011

Jun 17, 2014

GROSSMAN, JAMIE, IVAN

CHIEF OPERATING OFFICER

yes

08/2013

Dec 12, 2013

Jun 17, 2014

HAMPSON, DAVID, SCOTT

CHIEF FINANCIAL OFFICER

yes

12/2009

Aug 2, 2013

Jun 17, 2014

KEMPNER, THOMAS, LENOX

CHAIRMAN OF THE BOARD OF MANAGERS

yes

05/2007

Dec 23, 2011

Jun 17, 2014

KEMPNER, THOMAS, LENOX

Chairman

yes

12/2009

Dec 23, 2011

Jun 17, 2014

KING, GIDEON, JEREMY

GENERAL PARTNER

yes

03/2010

Dec 23, 2011

Jun 17, 2014

KING, GIDEON, JEREMY

Ceo

yes

12/2009

Dec 23, 2011

Jun 17, 2014

LB PARTNERS, L.P.

LIMITED PARTNER

yes

03/2010

Dec 23, 2011

Jun 17, 2014

SCHWARTZ, ROBERT, SCOTT

GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER

yes

08/2012

Sep 6, 2012

Jun 17, 2014

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

LOEB OFFSHORE MANAGEMENT LP

n/a

Former SEC adviser

$744M

yes

n/a

LOEB ARBITRAGE MANAGEMENT LP

n/a

Former SEC adviser

$697M

yes

n/a

LOEB PARTNERS CORPORATION

n/a

Former SEC adviser

$455M

yes

n/a

LOEB PARTNERS MANAGEMENT INC

n/a

Former SEC adviser

$24.4M

yes

n/a

LOEB ASIA PARTNERS LLC

n/a

yes

n/a

LOEB HOLDING CORPORATION

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Mar 28, 2014

$119M

n/a

2011

May 3, 2012

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

$119M

n/a