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

TRICADIA CDO MANAGEMENT, LLC

CRD 128838

NEW YORK, NY

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Search this name across graphsid dfx:ria:20f1b1de-fd91-40f3-45f1-0168e0eff94a

Data as of Apr 12, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Apr 12, 2017
10 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: $61.6MItem 5.F on the latest filing (2017-04-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $61.6M
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: 5
Advisory employees: 3
Accounts: 2
Private funds: 2Schedule D 7.B(1)
Private fund GAV: $61.6Mgross asset value as reported per fund; never fund size
SEC number: 801-62492
CRD: 128838
Filings on the tape: 10
First filed: Mar 30, 2012
Latest filed: Apr 12, 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
TRICADIA CDO 2006-5, LTD.	Securitized Asset Fund	$204M	Jul 6, 2012	12	Mar 30, 2012	dropped	n/a
TABS 2005-2 OAKVILLE LIMITED	Securitized Asset Fund	$10.8M	Mar 29, 2016	10	Mar 30, 2012	reported	n/a
TABS 2005-4, LTD.	Securitized Asset Fund	$9.4M	Apr 12, 2017	8	Mar 30, 2012	reported	n/a
TRICADIA CDO 2003-1, LTD.	Securitized Asset Fund	$5.1M	Jul 29, 2015	15	Mar 30, 2012	dropped	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
BARNES, MICHAEL, GENE	MANAGING MEMBER OF TRICADIA HOLDINGS GP, LLC	D	yes	07/2007	Mar 30, 2012	Apr 12, 2017
BARNES, MICHAEL, GENE	Principal	Na	yes	07/2003	Mar 30, 2012	Apr 12, 2017
INAYATULLAH, ARIF	MANAGING MEMBER OF TRICADIA HOLDINGS GP, LLC	C	yes	07/2007	Mar 30, 2012	Apr 12, 2017
INAYATULLAH, ARIF	Principal	Na	yes	07/2003	Mar 30, 2012	Apr 12, 2017
MCKEE, JAMES, ERNEST	GENERAL COUNSEL	Na	yes	02/2008	Mar 30, 2012	Apr 12, 2017
SCHINDER, ANDREW, KEITH	CHIEF COMPLIANCE OFFICER	Na	yes	03/2017	Mar 30, 2017	Apr 12, 2017
TRICADIA HOLDINGS GP, LLC	GENERAL PARTNER OF TRICADIA HOLDINGS, L.P.	F	yes	07/2007	Mar 30, 2012	Apr 12, 2017
TRICADIA HOLDINGS, L.P.	PARENT ENTITY	E	yes	07/2007	Mar 30, 2012	Apr 12, 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
TRICADIA CAPITAL MANAGEMENT, LLC	n/a	Institutional manager	$2.3B	N	yes	n/a
TIPTREE ASSET MANAGEMENT COMPANY, LLC	n/a	Former SEC adviser	$76.3M	N	yes	n/a
FORTEGRA FINANCIAL CORPORATION	n/a	n/a	n/a	N	yes	n/a
MUNI CAPITAL MANAGEMENT, LLC	n/a	n/a	n/a	N	yes	n/a
SCOPES II GP, LLC	n/a	n/a	n/a	N	yes	n/a
TELOS ASSET MANAGEMENT LLC	n/a	n/a	n/a	N	yes	n/a
TRICADIA CAPITAL, LLC	n/a	n/a	n/a	N	yes	n/a
TRICADIA CONVEXITY GP, LLC	n/a	n/a	n/a	N	yes	n/a
TRICADIA DISTRESSED AND SPECIAL SITUATIONS GP, LLC	n/a	n/a	n/a	N	yes	n/a
TRICADIA DISTRESSED AND SPECIAL SITUATIONS II GP, LLC	n/a	n/a	n/a	N	yes	n/a
TRICADIA EUROPE LLP	n/a	n/a	n/a	N	yes	n/a
TRICADIA FINANCIALS GP, 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 30, 2017	$59.0M	$59.0M	5	3	n/a	2	$59.0M
2015	Mar 29, 2016	$72.1M	$72.1M	6	6	n/a	3	$72.1M
2014	Mar 30, 2015	$99.4M	$99.4M	8	4	n/a	4	$99.4M
2013	Mar 28, 2014	$113M	$113M	7	4	n/a	4	$113M
2012	Mar 28, 2013	$189M	$189M	8	6	n/a	4	$189M
2011	Mar 30, 2012	$1.5B	$1.5B	n/a	n/a	n/a	8	$1.4B

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	$61.6M	$72.1M	-14.5%	$113M	-18.3%	5	6	n/a	n/a

Relationships

Affiliated with (2)

→ TIPTREE ADVISORS, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ TIPTREE ASSET MANAGEMENT COMPANY, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Advises (4)

→ TABS 2005-4, LTD.Private fundSecuritized Asset Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ TABS 2005-2 OAKVILLE LIMITEDPrivate fundSecuritized Asset Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ TRICADIA CDO 2003-1, LTD.Private fundSecuritized Asset Fund, IA, no longer reported
Mar 30, 2012 to Jul 29, 2015factForm ADV
→ TRICADIA CDO 2006-5, LTD.Private fundSecuritized Asset Fund, IA, no longer reported
Mar 30, 2012 to Jul 6, 2012factForm ADV

Controls (6)

← INAYATULLAH, ARIFOwnerMANAGING MEMBER OF TRICADIA HOLDINGS GP, LLC, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← BARNES, MICHAEL, GENEOwnerMANAGING MEMBER OF TRICADIA HOLDINGS GP, LLC, ownership code D, individual
Mar 30, 2012 to presentfactForm ADV
← MCKEE, JAMES, ERNESTOwnerGENERAL COUNSEL, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← SCHINDER, ANDREW, KEITHOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2017 to presentfactForm ADV
← TRICADIA HOLDINGS GP, LLCOwnerGENERAL PARTNER OF TRICADIA HOLDINGS, L.P., ownership code F, domestic entity
Mar 30, 2012 to presentfactForm ADV
← TRICADIA HOLDINGS, L.P.OwnerPARENT ENTITY, 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:20f1b1de-fd91-40f3-45f1-0168e0eff94a
First observed: Mar 30, 2012
Last observed: Apr 12, 2017 114 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.

TRICADIA CDO MANAGEMENT, LLC

CRD 128838

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:20f1b1de-fd91-40f3-45f1-0168e0eff94a

Data as of Apr 12, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:17 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

TRICADIA CDO 2006-5, LTD.

Securitized Asset Fund

$204M

Jul 6, 2012

Mar 30, 2012

dropped

n/a

TABS 2005-2 OAKVILLE LIMITED

Securitized Asset Fund

$10.8M

Mar 29, 2016

Mar 30, 2012

reported

n/a

TABS 2005-4, LTD.

Securitized Asset Fund

$9.4M

Apr 12, 2017

Mar 30, 2012

reported

n/a

TRICADIA CDO 2003-1, LTD.

Securitized Asset Fund

$5.1M

Jul 29, 2015

Mar 30, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BARNES, MICHAEL, GENE

MANAGING MEMBER OF TRICADIA HOLDINGS GP, LLC

yes

07/2007

Mar 30, 2012

Apr 12, 2017

BARNES, MICHAEL, GENE

Principal

yes

07/2003

Mar 30, 2012

Apr 12, 2017

INAYATULLAH, ARIF

MANAGING MEMBER OF TRICADIA HOLDINGS GP, LLC

yes

07/2007

Mar 30, 2012

Apr 12, 2017

INAYATULLAH, ARIF

Principal

yes

07/2003

Mar 30, 2012

Apr 12, 2017

MCKEE, JAMES, ERNEST

GENERAL COUNSEL

yes

02/2008

Mar 30, 2012

Apr 12, 2017

SCHINDER, ANDREW, KEITH

CHIEF COMPLIANCE OFFICER

yes

03/2017

Mar 30, 2017

Apr 12, 2017

TRICADIA HOLDINGS GP, LLC

GENERAL PARTNER OF TRICADIA HOLDINGS, L.P.

yes

07/2007

Mar 30, 2012

Apr 12, 2017

TRICADIA HOLDINGS, L.P.

PARENT ENTITY

yes

07/2007

Mar 30, 2012

Apr 12, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

TRICADIA CAPITAL MANAGEMENT, LLC

n/a

Institutional manager

$2.3B

yes

n/a

TIPTREE ASSET MANAGEMENT COMPANY, LLC

n/a

Former SEC adviser

$76.3M

yes

n/a

FORTEGRA FINANCIAL CORPORATION

n/a

yes

n/a

MUNI CAPITAL MANAGEMENT, LLC

n/a

yes

n/a

SCOPES II GP, LLC

n/a

yes

n/a

TELOS ASSET MANAGEMENT LLC

n/a

yes

n/a

TRICADIA CAPITAL, LLC

n/a

yes

n/a

TRICADIA CONVEXITY GP, LLC

n/a

yes

n/a

TRICADIA DISTRESSED AND SPECIAL SITUATIONS GP, LLC

n/a

yes

n/a

TRICADIA DISTRESSED AND SPECIAL SITUATIONS II GP, LLC

n/a

yes

n/a

TRICADIA EUROPE LLP

n/a

yes

n/a

TRICADIA FINANCIALS GP, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 30, 2017

$59.0M

n/a

$59.0M

2015

Mar 29, 2016

$72.1M

n/a

$72.1M

2014

Mar 30, 2015

$99.4M

n/a

$99.4M

2013

Mar 28, 2014

$113M

n/a

$113M

2012

Mar 28, 2013

$189M

n/a

$189M

2011

Mar 30, 2012

$1.5B

n/a

$1.4B

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$61.6M

$72.1M

-14.5%

$113M

-18.3%

n/a