DFX Intelligence

Data Factory

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

FUNDAMENTAL CAPITAL MANAGEMENT, LLC

FUNDAMENTAL CAPITAL MANAGEMENT LLC, CRD 130096

PASADENA, CA

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Search this name across graphsid dfx:ria:229fbfa2-c2a6-bfdd-d53d-e3dd1bd4abb5

Data as of Sep 13, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 1
Observed: Mar 28, 2012 to Sep 13, 2012
6 observations

Across DFX

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

Private Creditidentity

FUNDAMENTAL CAPITAL MANAGEMENT, LLC

Private credit 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: $60.7MItem 5.F on the latest filing (2012-09-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $60.7M
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
Accounts: 2
Private funds: 2Schedule D 7.B(1)
Private fund GAV: $62.4Mgross asset value as reported per fund; never fund size
Custody, client assets: $60.7M
SEC number: 801-70862
CRD: 130096
Filings on the tape: 6
First filed: Mar 28, 2012
Latest filed: Sep 13, 2012
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
FUNDAMENTAL LP	Hedge Fund	$42.6M	Sep 13, 2012	67	Mar 28, 2012	reported	021-80211
FUNDAMENTAL CREDIT LP	Hedge Fund	$19.8M	Sep 13, 2012	29	Mar 28, 2012	reported	021-130854

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
KRIEGER, JOHN, WOODROW	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	E	yes	12/2003	Mar 28, 2012	Sep 13, 2012

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
HARBORVIEW CAPITAL MANAGEMENT, LLC	n/a	Former SEC adviser	$6.2M	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
2011	Mar 28, 2012	$60.7M	$60.7M	n/a	n/a	n/a	2	$62.4M

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
2011	$60.7M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (2)

→ HARBORVIEW CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
← HARBORVIEW CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Advises (2)

→ FUNDAMENTAL LPPrivate fundHedge Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ FUNDAMENTAL CREDIT LPPrivate fundHedge Fund, IA
Mar 28, 2012 to presentfactForm ADV

Controls (1)

← KRIEGER, JOHN, WOODROWOwnerMANAGING MEMBER/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 28, 2012 to presentfactForm ADV

Registered with (1)

← Alexander Henry HagstromAdvisorregistration: previous registration
May 15, 2017 to Apr 25, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:229fbfa2-c2a6-bfdd-d53d-e3dd1bd4abb5
First observed: Mar 28, 2012
Last observed: Sep 13, 2012 170 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.

FUNDAMENTAL CAPITAL MANAGEMENT, LLC

FUNDAMENTAL CAPITAL MANAGEMENT LLC, CRD 130096

PASADENA, 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:229fbfa2-c2a6-bfdd-d53d-e3dd1bd4abb5

Data as of Sep 13, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:42 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

FUNDAMENTAL LP

Hedge Fund

$42.6M

Sep 13, 2012

Mar 28, 2012

reported

021-80211

FUNDAMENTAL CREDIT LP

Hedge Fund

$19.8M

Sep 13, 2012

Mar 28, 2012

reported

021-130854

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KRIEGER, JOHN, WOODROW

MANAGING MEMBER/CHIEF COMPLIANCE OFFICER

yes

12/2003

Mar 28, 2012

Sep 13, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

HARBORVIEW CAPITAL MANAGEMENT, LLC

n/a

Former SEC adviser

$6.2M

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 28, 2012

$60.7M

n/a

$62.4M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$60.7M

n/a