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

BALTER CAPITAL MANAGEMENT LLC

CRD 143880

BOSTON, MA

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Search this name across graphsid dfx:ria:2a558a7c-3a41-a30f-3af0-03743f674f4d

Data as of Jun 11, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 1
On other graphs: 1
Observed: Mar 22, 2012 to Jun 11, 2019
18 observations

Across DFX

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

Private Creditidentity

BALTER 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: $695MItem 5.F on the latest filing (2019-06-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $379M
Private client RAUM: $156MderivedItem 5.D individuals plus high net worth individuals
Private client share: 22%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 22
High net worth clients: 14
SEC number: 801-67874
CRD: 143880
Filings on the tape: 18
First filed: Mar 22, 2012
Latest filed: Jun 11, 2019
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
BALTER '40 ACT CAPITAL ALTERNATIVES, L.P.	Hedge Fund	$30.2M	Apr 30, 2018	2	Mar 27, 2014	dropped	021-207492
BCM DISCOVERY FUND LP	Hedge Fund	$23.9M	Apr 30, 2018	39	Mar 22, 2012	dropped	021-128505
BCM DISCOVERY OFFSHORE FUND LTD	Hedge Fund	$16.9M	Apr 30, 2018	12	Mar 22, 2012	dropped	021-105598
BCM CREDIT OPPORTUNITIES OFFSHORE FUND LP	Hedge Fund	$14.0M	Apr 30, 2018	8	Mar 22, 2012	dropped	021-141613
BCM CREDIT OPPORTUNITIES FUND LP	Hedge Fund	$14.0M	Apr 30, 2018	19	Mar 22, 2012	dropped	021-129531
DEXTER BALTER TE FUND LLC	Hedge Fund	$10.6M	Apr 30, 2018	1	Mar 22, 2012	dropped	021-167154
DEXTER BALTER FUND LLC	Hedge Fund	$7.7M	Apr 30, 2018	1	Mar 22, 2012	dropped	021-167146
SERIES A, A SERIES OF BALTER '40 ACT CAPITAL ALTERNATIVES, L.P.	Hedge Fund	$0	Dec 8, 2017	0	Mar 27, 2014	dropped	021-207490

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
BALTER, BRADLEY, ROSS	MANAGING MEMBER AND CHIEF EXECUTIVE OFFICER	D	yes	03/2007	Mar 22, 2012	Jun 11, 2019
WARNER, JAY, CLARK	MEMBER AND CHIEF OPERATING OFFICER	B	yes	03/2007	Mar 22, 2012	Jun 11, 2019
Gompper, Rebecca, Elise	CHIEF COMPLIANCE OFFICER	Na	no	11/2017	Dec 8, 2017	Jun 11, 2019

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
INVENOMIC CAPITAL MANAGEMENT LP	n/a	Asset manager	$3.4B	Y	no	n/a
BALTER LIQUID ALTERNATIVES, LLC	n/a	Former SEC adviser	$321M	Y	yes	n/a
MIDWOOD CAPITAL MANAGEMENT LLC	n/a	Former SEC adviser	$28.4M	N	no	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
2018	Mar 28, 2019	$744M	$325M	12	4	0	n/a	n/a
2017	Mar 29, 2018	$1.1B	$519M	13	4	0	7	$115M
2016	Mar 30, 2017	$1.3B	$550M	16	16	n/a	8	$181M
2015	Mar 28, 2016	$1.3B	$521M	14	13	n/a	8	$198M
2014	Mar 31, 2015	$1.3B	$371M	10	5	n/a	8	$209M
2013	Mar 27, 2014	$1.3B	$352M	7	5	n/a	8	$221M
2012	Mar 21, 2013	$1.0B	$186M	7	5	n/a	6	$198M
2011	Mar 22, 2012	$780M	$174M	n/a	n/a	n/a	6	$173M

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
2018	$695M	$1.1B	-38.9%	$1.3B	-18.9%	12	13	0	0

Relationships

Affiliated with (4)

→ MIDWOOD CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser
factForm ADV
→ BALTER LIQUID ALTERNATIVES, LLCRegistered adviserother investment adviser, control, common control
factForm ADV
→ INVENOMIC CAPITAL MANAGEMENT LPRegistered adviserother investment adviser, control
factForm ADV
← BALTER LIQUID ALTERNATIVES, LLCRegistered adviserother investment adviser, control, common control
factForm ADV

Controls (2)

← BALTER, BRADLEY, ROSSOwnerMANAGING MEMBER AND CHIEF EXECUTIVE OFFICER, ownership code D, individual
Mar 22, 2012 to presentfactForm ADV
← WARNER, JAY, CLARKOwnerMEMBER AND CHIEF OPERATING OFFICER, ownership code B, individual
Mar 22, 2012 to presentfactForm ADV

Owns (1)

← Gompper, Rebecca, EliseOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 8, 2017 to presentfactForm ADV

Advises (8)

→ BCM DISCOVERY OFFSHORE FUND LTDPrivate fundHedge Fund, IA, no longer reported
Mar 22, 2012 to Apr 30, 2018factForm ADV
→ BCM CREDIT OPPORTUNITIES FUND LPPrivate fundHedge Fund, IA, no longer reported
Mar 22, 2012 to Apr 30, 2018factForm ADV
→ BCM DISCOVERY FUND LPPrivate fundHedge Fund, IA, no longer reported
Mar 22, 2012 to Apr 30, 2018factForm ADV
→ BALTER '40 ACT CAPITAL ALTERNATIVES, L.P.Private fundHedge Fund, IA, no longer reported
Mar 27, 2014 to Apr 30, 2018factForm ADV
→ DEXTER BALTER FUND LLCPrivate fundHedge Fund, IA, no longer reported
Mar 22, 2012 to Apr 30, 2018factForm ADV
→ BCM CREDIT OPPORTUNITIES OFFSHORE FUND LPPrivate fundHedge Fund, IA, no longer reported
Mar 22, 2012 to Apr 30, 2018factForm ADV
→ DEXTER BALTER TE FUND LLCPrivate fundHedge Fund, IA, no longer reported
Mar 22, 2012 to Apr 30, 2018factForm ADV
→ SERIES A, A SERIES OF BALTER '40 ACT CAPITAL ALTERNATIVES, L.P.Private fundHedge Fund, IA, no longer reported
Mar 27, 2014 to Dec 8, 2017factForm ADV

Dated events

Occurred
Mar 28, 2019
Regulatory AUM changed
Balter Capital Management Llc reported RAUM $743.9M, down 35% from $1.1B (2018-04-30 to 2019-03-28)
Form ADVobserved 5 days ago
$-396M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2a558a7c-3a41-a30f-3af0-03743f674f4d
First observed: Mar 22, 2012
Last observed: Jun 11, 2019 88 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.

BALTER CAPITAL MANAGEMENT LLC

CRD 143880

BOSTON, MA

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:2a558a7c-3a41-a30f-3af0-03743f674f4d

Data as of Jun 11, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:15 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

BALTER '40 ACT CAPITAL ALTERNATIVES, L.P.

Hedge Fund

$30.2M

Apr 30, 2018

Mar 27, 2014

dropped

021-207492

BCM DISCOVERY FUND LP

Hedge Fund

$23.9M

Apr 30, 2018

Mar 22, 2012

dropped

021-128505

BCM DISCOVERY OFFSHORE FUND LTD

Hedge Fund

$16.9M

Apr 30, 2018

Mar 22, 2012

dropped

021-105598

BCM CREDIT OPPORTUNITIES OFFSHORE FUND LP

Hedge Fund

$14.0M

Apr 30, 2018

Mar 22, 2012

dropped

021-141613

BCM CREDIT OPPORTUNITIES FUND LP

Hedge Fund

$14.0M

Apr 30, 2018

Mar 22, 2012

dropped

021-129531

DEXTER BALTER TE FUND LLC

Hedge Fund

$10.6M

Apr 30, 2018

Mar 22, 2012

dropped

021-167154

DEXTER BALTER FUND LLC

Hedge Fund

$7.7M

Apr 30, 2018

Mar 22, 2012

dropped

021-167146

SERIES A, A SERIES OF BALTER '40 ACT CAPITAL ALTERNATIVES, L.P.

Hedge Fund

Dec 8, 2017

Mar 27, 2014

dropped

021-207490

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BALTER, BRADLEY, ROSS

MANAGING MEMBER AND CHIEF EXECUTIVE OFFICER

yes

03/2007

Mar 22, 2012

Jun 11, 2019

WARNER, JAY, CLARK

MEMBER AND CHIEF OPERATING OFFICER

yes

03/2007

Mar 22, 2012

Jun 11, 2019

Gompper, Rebecca, Elise

CHIEF COMPLIANCE OFFICER

11/2017

Dec 8, 2017

Jun 11, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

INVENOMIC CAPITAL MANAGEMENT LP

n/a

Asset manager

$3.4B

n/a

BALTER LIQUID ALTERNATIVES, LLC

n/a

Former SEC adviser

$321M

yes

n/a

MIDWOOD CAPITAL MANAGEMENT LLC

n/a

Former SEC adviser

$28.4M

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 28, 2019

$744M

$325M

n/a

2017

Mar 29, 2018

$1.1B

$519M

$115M

2016

Mar 30, 2017

$1.3B

$550M

n/a

$181M

2015

Mar 28, 2016

$1.3B

$521M

n/a

$198M

2014

Mar 31, 2015

$1.3B

$371M

n/a

$209M

2013

Mar 27, 2014

$1.3B

$352M

n/a

$221M

2012

Mar 21, 2013

$1.0B

$186M

n/a

$198M

2011

Mar 22, 2012

$780M

$174M

n/a

$173M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$695M

$1.1B

-38.9%

$1.3B

-18.9%