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

TABERNA CAPITAL MANAGEMENT, LLC

CRD 134353

PHILADELPHIA, PA

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Search this name across graphsid dfx:ria:2dd18303-0bfd-e9e4-167f-731e089312da

Data as of Oct 20, 2014 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Oct 20, 2014
6 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: $1.5BItem 5.F on the latest filing (2014-10-20); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.5B
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: 5
Accounts: 3
Private funds: 3Schedule D 7.B(1)
Private fund GAV: $1.3Bgross asset value as reported per fund; never fund size
SEC number: 801-68923
CRD: 134353
Filings on the tape: 6
First filed: Mar 30, 2012
Latest filed: Oct 20, 2014
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
TABERNA PREFERRED FUNDING I, LTD	Securitized Asset Fund	$480M	Oct 20, 2014	1	Mar 30, 2012	reported	n/a
TABERNA PREFERRED FUNDING VIII, LTD.	Securitized Asset Fund	$436M	Oct 20, 2014	1	Mar 30, 2012	reported	n/a
TABERNA PREFERRED FUNDING IX, LTD	Securitized Asset Fund	$398M	Oct 20, 2014	1	Mar 30, 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
FRAPPIER, KENNETH, RAYMOND	MANAGER, EVP OF PORTFOLIO AND RISK MANAGEMENT	Na	yes	05/2011	Mar 30, 2012	Oct 20, 2014
LAREN, ANDERS, FREDERICK	CHIEF COMPLIANCE OFFICER	Na	yes	12/2012	Dec 20, 2012	Oct 20, 2014
RAIT FINANCIAL TRUST	SOLE COMMON SHAREHOLDER	E	yes	12/2006	Mar 30, 2012	Oct 20, 2014
SEBRA, JAMES, JOSEPH	MANAGER, TREASURER, CHIEF FINANCIAL OFFICER	Na	yes	05/2012	Apr 1, 2013	Oct 20, 2014
TABERNA REALTY FINANCE TRUST	NON-MANAGING MEMBER	E	yes	12/2006	Mar 30, 2012	Oct 20, 2014

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
INDEPENDENCE REALTY SECURITIES, LLC.	n/a	n/a	n/a	N	yes	n/a
INDEPENDENCE REALTY TRUST, INC.	n/a	n/a	n/a	N	yes	n/a
RAIT FINANCIAL TRUST	n/a	n/a	n/a	Y	no	n/a
TABERNA REALTY FINANCE TRUST	n/a	n/a	n/a	Y	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
2013	Mar 31, 2014	$1.5B	$1.5B	5	5	n/a	3	$1.3B
2012	Apr 1, 2013	$1.6B	$1.6B	6	5	n/a	3	$1.4B
2011	Mar 30, 2012	$1.7B	$1.7B	n/a	n/a	n/a	3	$1.7B

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
2013	$1.5B	$1.6B	-8.2%	n/a	n/a	5	6	n/a	n/a

Relationships

Advises (3)

→ TABERNA PREFERRED FUNDING VIII, LTD.Private fundSecuritized Asset Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ TABERNA PREFERRED FUNDING I, LTDPrivate fundSecuritized Asset Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ TABERNA PREFERRED FUNDING IX, LTDPrivate fundSecuritized Asset Fund, IA
Mar 30, 2012 to presentfactForm ADV

Controls (5)

← SEBRA, JAMES, JOSEPHOwnerMANAGER, TREASURER, CHIEF FINANCIAL OFFICER, ownership code NA, individual
Apr 1, 2013 to presentfactForm ADV
← FRAPPIER, KENNETH, RAYMONDOwnerMANAGER, EVP OF PORTFOLIO AND RISK MANAGEMENT, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← LAREN, ANDERS, FREDERICKOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 20, 2012 to presentfactForm ADV
← RAIT FINANCIAL TRUSTOwnerSOLE COMMON SHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← TABERNA REALTY FINANCE TRUSTOwnerNON-MANAGING MEMBER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Affiliated with (2)

← RAIT PARTNERSHIP, LPRegistered adviserother investment adviser, common control
factForm ADV
← INDEPENDENCE REALTY ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2dd18303-0bfd-e9e4-167f-731e089312da
First observed: Mar 30, 2012
Last observed: Oct 20, 2014 145 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.

TABERNA CAPITAL MANAGEMENT, LLC

CRD 134353

PHILADELPHIA, PA

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:2dd18303-0bfd-e9e4-167f-731e089312da

Data as of Oct 20, 2014 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:04 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

TABERNA PREFERRED FUNDING I, LTD

Securitized Asset Fund

$480M

Oct 20, 2014

Mar 30, 2012

reported

n/a

TABERNA PREFERRED FUNDING VIII, LTD.

Securitized Asset Fund

$436M

Oct 20, 2014

Mar 30, 2012

reported

n/a

TABERNA PREFERRED FUNDING IX, LTD

Securitized Asset Fund

$398M

Oct 20, 2014

Mar 30, 2012

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FRAPPIER, KENNETH, RAYMOND

MANAGER, EVP OF PORTFOLIO AND RISK MANAGEMENT

yes

05/2011

Mar 30, 2012

Oct 20, 2014

LAREN, ANDERS, FREDERICK

CHIEF COMPLIANCE OFFICER

yes

12/2012

Dec 20, 2012

Oct 20, 2014

RAIT FINANCIAL TRUST

SOLE COMMON SHAREHOLDER

yes

12/2006

Mar 30, 2012

Oct 20, 2014

SEBRA, JAMES, JOSEPH

MANAGER, TREASURER, CHIEF FINANCIAL OFFICER

yes

05/2012

Apr 1, 2013

Oct 20, 2014

TABERNA REALTY FINANCE TRUST

NON-MANAGING MEMBER

yes

12/2006

Mar 30, 2012

Oct 20, 2014

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

INDEPENDENCE REALTY SECURITIES, LLC.

n/a

yes

n/a

INDEPENDENCE REALTY TRUST, INC.

n/a

yes

n/a

RAIT FINANCIAL TRUST

n/a

TABERNA REALTY FINANCE TRUST

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Mar 31, 2014

$1.5B

n/a

$1.3B

2012

Apr 1, 2013

$1.6B

n/a

$1.4B

2011

Mar 30, 2012

$1.7B

n/a

$1.7B

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

$1.5B

$1.6B

-8.2%

n/a