DFX Intelligence

Data Factory

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

LAKE UNION CAPITAL MANAGEMENT, LLC

CRD 127542

SEATTLE, WA

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:2b16b129-eebe-6b72-9e4e-35f4605c572b

Data as of Apr 30, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 23, 2011 to Apr 30, 2013
5 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: $54.5MItem 5.F on the latest filing (2013-04-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $54.5M
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: 4
Advisory employees: 3
Accounts: 2
Private funds: 2Schedule D 7.B(1)
Private fund GAV: $54.5Mgross asset value as reported per fund; never fund size
Custody, client assets: $54.5M
SEC number: 801-66733
CRD: 127542
Filings on the tape: 5
First filed: Nov 23, 2011
Latest filed: Apr 30, 2013
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
LAKE UNION CAPITAL FUND, LP	Hedge Fund	$40.9M	Apr 30, 2013	1	Nov 23, 2011	reported	021-70738
LAKE UNION CAPITAL TE FUND, LP	Hedge Fund	$13.6M	Apr 30, 2013	1	Nov 23, 2011	reported	021-166707

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
BOSCH, AMBER, LEE	CHIEF COMPLIANCE OFFICER	Na	yes	04/2006	Nov 23, 2011	Apr 30, 2013
SELF, MICHAEL, ROBERT	MANAGING MEMBER	E	yes	06/2003	Nov 23, 2011	Apr 30, 2013

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
2012	Mar 20, 2013	$60.1M	$60.1M	5	4	n/a	2	$60.1M
2011	Mar 29, 2012	$78.3M	$78.3M	n/a	n/a	n/a	2	$78.3M

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
2012	$54.5M	$78.3M	-30.4%	n/a	n/a	4	n/a	n/a	n/a

Relationships

Advises (2)

→ LAKE UNION CAPITAL FUND, LPPrivate fundHedge Fund, IA
Nov 23, 2011 to presentfactForm ADV
→ LAKE UNION CAPITAL TE FUND, LPPrivate fundHedge Fund, IA
Nov 23, 2011 to presentfactForm ADV

Controls (2)

← SELF, MICHAEL, ROBERTOwnerMANAGING MEMBER, ownership code E, individual
Nov 23, 2011 to presentfactForm ADV
← BOSCH, AMBER, LEEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 23, 2011 to presentfactForm ADV

Registered with (1)

← MICHAEL ROBERT SELFAdvisorregistration: previous registration
Sep 11, 2003 to May 16, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2b16b129-eebe-6b72-9e4e-35f4605c572b
First observed: Nov 23, 2011
Last observed: Apr 30, 2013 163 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.

LAKE UNION CAPITAL MANAGEMENT, LLC

CRD 127542

SEATTLE, WA

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:2b16b129-eebe-6b72-9e4e-35f4605c572b

Data as of Apr 30, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:09 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

LAKE UNION CAPITAL FUND, LP

Hedge Fund

$40.9M

Apr 30, 2013

Nov 23, 2011

reported

021-70738

LAKE UNION CAPITAL TE FUND, LP

Hedge Fund

$13.6M

Apr 30, 2013

Nov 23, 2011

reported

021-166707

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BOSCH, AMBER, LEE

CHIEF COMPLIANCE OFFICER

yes

04/2006

Nov 23, 2011

Apr 30, 2013

SELF, MICHAEL, ROBERT

MANAGING MEMBER

yes

06/2003

Nov 23, 2011

Apr 30, 2013

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Mar 20, 2013

$60.1M

n/a

$60.1M

2011

Mar 29, 2012

$78.3M

n/a

$78.3M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$54.5M

$78.3M

-30.4%

n/a