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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

MCF CAPITAL MANAGEMENT LLC

CRD 158808

CHICAGO, IL

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:21c28b40-3af5-b0da-be36-7fe2278b6321

Data as of May 10, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 0
On other graphs: 1
Observed: Jan 20, 2012 to May 10, 2016
24 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

MCF Capital Management LLC

Private equity manager · shared crd

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: $2.2BItem 5.F on the latest filing (2016-05-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.2B
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: 91
Advisory employees: 72
Accounts: 15
Private funds: 14Schedule D 7.B(1)
Private fund GAV: $2.0Bgross asset value as reported per fund; never fund size
Custody, client assets: $405M
SEC number: 801-73076
CRD: 158808
Filings on the tape: 24
First filed: Jan 20, 2012
Latest filed: May 10, 2016
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
MCF CLO I LLC	Securitized Asset Fund	$322M	May 20, 2013	2	Feb 20, 2013	dropped	n/a
MCF CLO II LLC	Securitized Asset Fund	$297M	May 20, 2013	3	Feb 20, 2013	dropped	n/a
MCF CLO V WAREHOUSE LLC	Hedge Fund	$134M	Jan 4, 2016	2	May 20, 2015	reported	n/a
OFS CAPITAL WM, LLC	Hedge Fund	$127M	May 20, 2015	1	Jan 20, 2012	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
HARTE, FRANCIS, MICHAEL	ELECTED MANAGER AND MEMBER OF THE AUDIT COMMITTEE	Na	yes	07/2014	Jul 15, 2014	May 10, 2016
HENDRY, THOMAS, ALEXANDER	ELECTED MANAGER AND CHAIRMAN OF AUDIT COMMITTEE	Na	yes	02/2014	Mar 31, 2014	May 10, 2016
KELSEY, MONICA, ELAINE	CHIEF FINANCIAL OFFICER AND MANAGING DIRECTOR	Na	yes	01/2012	Jan 20, 2012	May 10, 2016
MADISON CAPITAL FUNDING LLC	SOLE MEMBER/DIRECT & SOLE INTEREST OWNER	E	yes	08/2009	Jan 20, 2012	May 10, 2016
MALLOY, ANTHONY, RAMSEY	CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND AUDIT COMMITTEE MEMBER	Na	yes	01/2012	Jan 20, 2012	May 10, 2016
MCALEER, TARA, M	CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR	Na	yes	01/2012	Jan 20, 2012	May 10, 2016
NEW YORK INSURANCE AND ANNUITY CORPORATION	Member	C	yes	12/2015	Jan 4, 2016	May 10, 2016
NEW YORK LIFE INSURANCE COMPANY	Member	D	yes	12/2015	Jan 20, 2012	May 10, 2016
WADE, HUGH, JOSEPH	CHIEF EXECUTIVE OFFICER, SENIOR MANAGING DIRECTOR AND ELECTED MANAGER	Na	yes	01/2014	Jan 20, 2012	May 10, 2016

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
NYL INVESTORS LLC	n/a	Institutional manager	$329B	N	yes	n/a
MACKAY SHIELDS LLC	n/a	Other adviser	$160B	N	yes	n/a
NEW YORK LIFE INVESTMENT MANAGEMENT LLC	n/a	Asset manager	$121B	N	yes	n/a
CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC	n/a	Former SEC adviser	$14B	N	yes	n/a
GOLDPOINT PARTNERS LLC	n/a	Former SEC adviser	$14B	N	yes	n/a
INDEXIQ ADVISORS LLC	n/a	Former SEC adviser	$10B	N	yes	n/a
PRIVATE ADVISORS LLC	n/a	Former SEC adviser	$5.2B	N	yes	n/a
INSTITUTIONAL CAPITAL LLC	n/a	Former SEC adviser	$19.6M	N	yes	n/a
MADISON AVENUE LOAN FUND GP LLC	n/a	n/a	n/a	N	yes	n/a
MADISON CAPITAL FUNDING LLC	n/a	n/a	n/a	Y	yes	n/a
MCF CO-INVESTMENT GP LLC	n/a	n/a	n/a	N	yes	n/a
MCF CO-INVESTMENT GP LP	n/a	n/a	n/a	N	yes	n/a
MONTPELIER GP LLC	n/a	n/a	n/a	N	yes	n/a
NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION	n/a	n/a	n/a	Y	yes	n/a
NEW YORK LIFE INSURANCE COMPANY	n/a	n/a	n/a	Y	no	n/a
NYLIFE DISTRIBUTORS 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
2015	Mar 30, 2016	$2.2B	$2.2B	91	72	n/a	14	$2.0B
2014	Mar 26, 2015	$2.2B	$2.0B	85	66	n/a	13	$1.9B
2013	Mar 31, 2014	$1.9B	$1.7B	77	57	n/a	12	$1.5B
2012	Apr 1, 2013	$1.1B	$857M	75	54	n/a	8	$1.1B

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
2015	$2.2B	$2.2B	2.3%	$1.1B	26.1%	91	85	n/a	n/a

Relationships

Affiliated with (10)

← CORNERSTONE CAPITAL MANAGEMENTRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← CORNERSTONERegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ INSTITUTIONAL CAPITAL LLCRegistered adviserother investment adviser, common control
factForm ADV
→ MACKAY SHIELDS LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ PRIVATE ADVISORS LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ NEW YORK LIFE INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ GOLDPOINT PARTNERS LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ INDEXIQ ADVISORS LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ CORNERSTONE CAPITAL MANAGEMENTRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ NYL INVESTORS LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Controls (9)

← HENDRY, THOMAS, ALEXANDEROwnerELECTED MANAGER AND CHAIRMAN OF AUDIT COMMITTEE, ownership code NA, individual
Mar 31, 2014 to presentfactForm ADV
← HARTE, FRANCIS, MICHAELOwnerELECTED MANAGER AND MEMBER OF THE AUDIT COMMITTEE, ownership code NA, individual
Jul 15, 2014 to presentfactForm ADV
← MALLOY, ANTHONY, RAMSEYOwnerCHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND AUDIT COMMITTEE MEMBER, ownership code NA, individual
Jan 20, 2012 to presentfactForm ADV
← WADE, HUGH, JOSEPHOwnerCHIEF EXECUTIVE OFFICER, SENIOR MANAGING DIRECTOR AND ELECTED MANAGER, ownership code NA, individual
Jan 20, 2012 to presentfactForm ADV
← MCALEER, TARA, MOwnerCHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR, ownership code NA, individual
Jan 20, 2012 to presentfactForm ADV
← KELSEY, MONICA, ELAINEOwnerCHIEF FINANCIAL OFFICER AND MANAGING DIRECTOR, ownership code NA, individual
Jan 20, 2012 to presentfactForm ADV
← MADISON CAPITAL FUNDING LLCOwnerSOLE MEMBER/DIRECT & SOLE INTEREST OWNER, ownership code E, domestic entity
Jan 20, 2012 to presentfactForm ADV
← NEW YORK INSURANCE AND ANNUITY CORPORATIONOwnerMEMBER, ownership code C, domestic entity
Jan 4, 2016 to presentfactForm ADV
← NEW YORK LIFE INSURANCE COMPANYOwnerMEMBER, ownership code D, domestic entity
Jan 20, 2012 to presentfactForm ADV

Advises (4)

→ MCF CLO V WAREHOUSE LLCPrivate fundHedge Fund, IA
May 20, 2015 to presentfactForm ADV
→ OFS CAPITAL WM, LLCPrivate fundHedge Fund, IA
Jan 20, 2012 to presentfactForm ADV
→ MCF CLO I LLCPrivate fundSecuritized Asset Fund, IA, no longer reported
Feb 20, 2013 to May 20, 2013factForm ADV
→ MCF CLO II LLCPrivate fundSecuritized Asset Fund, IA, no longer reported
Feb 20, 2013 to May 20, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:21c28b40-3af5-b0da-be36-7fe2278b6321
First observed: Jan 20, 2012
Last observed: May 10, 2016 126 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.

MCF CAPITAL MANAGEMENT LLC

CRD 158808

CHICAGO, IL

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:21c28b40-3af5-b0da-be36-7fe2278b6321

Data as of May 10, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:11 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

MCF CLO I LLC

Securitized Asset Fund

$322M

May 20, 2013

Feb 20, 2013

dropped

n/a

MCF CLO II LLC

Securitized Asset Fund

$297M

May 20, 2013

Feb 20, 2013

dropped

n/a

MCF CLO V WAREHOUSE LLC

Hedge Fund

$134M

Jan 4, 2016

May 20, 2015

reported

n/a

OFS CAPITAL WM, LLC

Hedge Fund

$127M

May 20, 2015

Jan 20, 2012

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HARTE, FRANCIS, MICHAEL

ELECTED MANAGER AND MEMBER OF THE AUDIT COMMITTEE

yes

07/2014

Jul 15, 2014

May 10, 2016

HENDRY, THOMAS, ALEXANDER

ELECTED MANAGER AND CHAIRMAN OF AUDIT COMMITTEE

yes

02/2014

Mar 31, 2014

May 10, 2016

KELSEY, MONICA, ELAINE

CHIEF FINANCIAL OFFICER AND MANAGING DIRECTOR

yes

01/2012

Jan 20, 2012

May 10, 2016

MADISON CAPITAL FUNDING LLC

SOLE MEMBER/DIRECT & SOLE INTEREST OWNER

yes

08/2009

Jan 20, 2012

May 10, 2016

MALLOY, ANTHONY, RAMSEY

CHAIRMAN OF THE BOARD AND ELECTED MANAGER, AND AUDIT COMMITTEE MEMBER

yes

01/2012

Jan 20, 2012

May 10, 2016

MCALEER, TARA, M

CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR

yes

01/2012

Jan 20, 2012

May 10, 2016

NEW YORK INSURANCE AND ANNUITY CORPORATION

Member

yes

12/2015

Jan 4, 2016

May 10, 2016

NEW YORK LIFE INSURANCE COMPANY

Member

yes

12/2015

Jan 20, 2012

May 10, 2016

WADE, HUGH, JOSEPH

CHIEF EXECUTIVE OFFICER, SENIOR MANAGING DIRECTOR AND ELECTED MANAGER

yes

01/2014

Jan 20, 2012

May 10, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

NYL INVESTORS LLC

n/a

Institutional manager

$329B

yes

n/a

MACKAY SHIELDS LLC

n/a

Other adviser

$160B

yes

n/a

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

n/a

Asset manager

$121B

yes

n/a

CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC

n/a

Former SEC adviser

$14B

yes

n/a

GOLDPOINT PARTNERS LLC

n/a

Former SEC adviser

$14B

yes

n/a

INDEXIQ ADVISORS LLC

n/a

Former SEC adviser

$10B

yes

n/a

PRIVATE ADVISORS LLC

n/a

Former SEC adviser

$5.2B

yes

n/a

INSTITUTIONAL CAPITAL LLC

n/a

Former SEC adviser

$19.6M

yes

n/a

MADISON AVENUE LOAN FUND GP LLC

n/a

yes

n/a

MADISON CAPITAL FUNDING LLC

n/a

yes

n/a

MCF CO-INVESTMENT GP LLC

n/a

yes

n/a

MCF CO-INVESTMENT GP LP

n/a

yes

n/a

MONTPELIER GP LLC

n/a

yes

n/a

NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION

n/a

yes

n/a

NEW YORK LIFE INSURANCE COMPANY

n/a

NYLIFE DISTRIBUTORS LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 30, 2016

$2.2B

n/a

$2.0B

2014

Mar 26, 2015

$2.2B

$2.0B

n/a

$1.9B

2013

Mar 31, 2014

$1.9B

$1.7B

n/a

$1.5B

2012

Apr 1, 2013

$1.1B

$857M

n/a

$1.1B

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$2.2B

2.3%

$1.1B

26.1%

n/a