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

NEWMARK CAPITAL LLC

CRD 269902

NEW YORK, NY

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Search this name across graphsid dfx:ria:2e14d64c-93c2-9fe9-69bb-4fc1a3c56a92

Data as of Mar 20, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: Oct 13, 2015 to Mar 20, 2018
4 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: $735MItem 5.F on the latest filing (2018-03-20); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $735M
Private client RAUM: $21.4MderivedItem 5.D individuals plus high net worth individuals
Private client share: 3%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11
Advisory employees: 7
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 102
Individual clients: 92
High net worth clients: 6
Private funds: 4Schedule D 7.B(1)
Private fund GAV: $714Mgross asset value as reported per fund; never fund size
SEC number: 801-106814
CRD: 269902
Filings on the tape: 4
First filed: Oct 13, 2015
Latest filed: Mar 20, 2018
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
NEWMARK CAPITAL FUNDING 2014-2 CLO LTD.	Securitized Asset Fund	$382M	Mar 20, 2018	7	Mar 25, 2015	reported	n/a
NEWMARK CAPITAL FUNDING 2013-1 CLO LTD.	Securitized Asset Fund	$332M	Mar 20, 2018	7	Mar 28, 2014	reported	n/a
NEWMARK CAPITAL FUNDING 2014-2 CLO LLC	Securitized Asset Fund	$0	Mar 20, 2018	7	Mar 25, 2015	reported	n/a
NEWMARK CAPITAL FUNDING 2013-1 CLO LLC	Securitized Asset Fund	$0	Mar 20, 2018	7	Mar 28, 2014	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
FELDMAN, DAVID	EQUITY PORTFOLIO MANAGER	Na	yes	10/2016	Mar 30, 2016	Mar 20, 2018
GOLD, MARK, LAZAR	MEMBER, CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER	D	yes	02/2013	Oct 13, 2015	Mar 20, 2018
Gold, Sandy, B.	Trustee	F	yes	01/2012	Oct 13, 2015	Mar 20, 2018
NBB 2012 TRUST	Member	C	yes	02/2013	Oct 13, 2015	Mar 20, 2018

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
HILLMARK CAPITAL MANAGEMENT, L.P.	n/a	Former SEC adviser	$171M	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
2017	Mar 20, 2018	$735M	$735M	11	7	1	4	$714M
2016	Mar 31, 2017	$798M	$798M	11	8	n/a	4	$777M
2015	Mar 30, 2016	$825M	$800M	11	8	n/a	4	$788M

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
2017	$735M	$798M	-7.9%	n/a	n/a	11	11	1	n/a

Relationships

Affiliated with (2)

→ HILLMARK CAPITAL MANAGEMENT, L.P.Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← HILLMARK CAPITAL MANAGEMENT, L.P.Registered adviserother investment adviser, common control
factForm ADV

Advises (4)

→ NEWMARK CAPITAL FUNDING 2013-1 CLO LTD.Private fundSecuritized Asset Fund, IA
Mar 28, 2014 to presentfactForm ADV
→ NEWMARK CAPITAL FUNDING 2014-2 CLO LLCPrivate fundSecuritized Asset Fund, IA
Mar 25, 2015 to presentfactForm ADV
→ NEWMARK CAPITAL FUNDING 2013-1 CLO LLCPrivate fundSecuritized Asset Fund, IA
Mar 28, 2014 to presentfactForm ADV
→ NEWMARK CAPITAL FUNDING 2014-2 CLO LTD.Private fundSecuritized Asset Fund, IA
Mar 25, 2015 to presentfactForm ADV

Controls (4)

← GOLD, MARK, LAZAROwnerMEMBER, CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, ownership code D, individual
Oct 13, 2015 to presentfactForm ADV
← FELDMAN, DAVIDOwnerEQUITY PORTFOLIO MANAGER, ownership code NA, individual
Mar 30, 2016 to presentfactForm ADV
← Gold, Sandy, B.OwnerTRUSTEE, ownership code F, individual
Oct 13, 2015 to presentfactForm ADV
← NBB 2012 TRUSTOwnerMEMBER, ownership code C, domestic entity
Oct 13, 2015 to presentfactForm ADV

Dated events

Occurred
Oct 13, 2015
First Form ADV filing
Newmark Capital Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2e14d64c-93c2-9fe9-69bb-4fc1a3c56a92
First observed: Oct 13, 2015
Last observed: Mar 20, 2018 103 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.

NEWMARK CAPITAL LLC

CRD 269902

NEW YORK, NY

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:2e14d64c-93c2-9fe9-69bb-4fc1a3c56a92

Data as of Mar 20, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:11 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

NEWMARK CAPITAL FUNDING 2014-2 CLO LTD.

Securitized Asset Fund

$382M

Mar 20, 2018

Mar 25, 2015

reported

n/a

NEWMARK CAPITAL FUNDING 2013-1 CLO LTD.

Securitized Asset Fund

$332M

Mar 20, 2018

Mar 28, 2014

reported

n/a

NEWMARK CAPITAL FUNDING 2014-2 CLO LLC

Securitized Asset Fund

Mar 20, 2018

Mar 25, 2015

reported

n/a

NEWMARK CAPITAL FUNDING 2013-1 CLO LLC

Securitized Asset Fund

Mar 20, 2018

Mar 28, 2014

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FELDMAN, DAVID

EQUITY PORTFOLIO MANAGER

yes

10/2016

Mar 30, 2016

Mar 20, 2018

GOLD, MARK, LAZAR

MEMBER, CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER

yes

02/2013

Oct 13, 2015

Mar 20, 2018

Gold, Sandy, B.

Trustee

yes

01/2012

Oct 13, 2015

Mar 20, 2018

NBB 2012 TRUST

Member

yes

02/2013

Oct 13, 2015

Mar 20, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

HILLMARK CAPITAL MANAGEMENT, L.P.

n/a

Former SEC adviser

$171M

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 20, 2018

$735M

$714M

2016

Mar 31, 2017

$798M

n/a

$777M

2015

Mar 30, 2016

$825M

$800M

n/a

$788M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$735M

$798M

-7.9%

n/a