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CRD 171419
AUSTIN, TX
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| RICK JOHN FRATUS | n/a | Austin, TX | 12 | 20 | n/a | no |
| KURT FAULHABER | n/a | Austin, TX | 9 | 12 | n/a | no |
| Jerry Michael Mahon | n/a | Austin, TX | 7 | 10 | n/a | no |
| Miguel Fabra-Crespo | n/a | Austin, TX | 7 | 11 | n/a | no |
| Ashley Elizabeth Arndt | n/a | Austin, TX | 7 | 10 | n/a | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| THRESHOLD TIMBER L.P. | Private Equity Fund | $395M | Oct 9, 2024 | 10 | Sep 30, 2022 | reported | 021-91861 |
| STAFFORD GLOBAL PRIVATE EQUITY IV | Private Equity Fund | $95.3M | Jun 6, 2023 | 14 | Nov 2, 2021 | dropped | n/a |
| STAFFORD SUSTAINABLE SECONDARIES FUND III, L.P. | Private Equity Fund | $91.6M | Oct 9, 2024 | 8 | May 28, 2019 | reported | 021-317411 |
| HORECA CLEAN TECH II | Private Equity Fund | $82.9M | Dec 22, 2023 | 1 | Nov 2, 2021 | reported | n/a |
| STAFFORD EUROPEAN PRIVATE EQUITY V CV | Private Equity Fund | $67.1M | Jun 6, 2023 | 14 | Nov 2, 2021 | dropped | n/a |
| STAFFORD HO'OULU FUND, L.P. | Private Equity Fund | $63.4M | Oct 9, 2024 | 2 | Oct 2, 2023 | reported | 021-467908 |
| INTERPOLIS PENSIOENEN PRIVATE EQUITY FUND II | Private Equity Fund | $62.5M | Dec 22, 2023 | 9 | Nov 2, 2021 | reported | n/a |
| HORECA CLEAN TECH LP | Private Equity Fund | $58.3M | Dec 22, 2023 | 1 | Nov 2, 2021 | reported | n/a |
| STAFFORD INFRASTRUCTURE SECONDARIES FUND V (US) LP | Private Equity Fund | $58.1M | Oct 9, 2024 | 2 | Oct 2, 2023 | reported | 021-479651 |
| STAFFORD PILINA PRIVATE EQUITY FUND, L.P. | Private Equity Fund | $55.9M | Oct 9, 2024 | 1 | Nov 2, 2021 | reported | 021-380700 |
| STAFFORD HITIP FUND II, L.P. | Private Equity Fund | $40.2M | Oct 9, 2024 | 2 | Mar 15, 2017 | reported | 021-281052 |
| STAFFORD HITIP FUND III, L.P. | Private Equity Fund | $38.3M | Oct 9, 2024 | 2 | Nov 2, 2021 | reported | 021-356884 |
| CLEAN TECH PRIVATE EQUITY II LP | Private Equity Fund | $26.0M | Oct 9, 2024 | 4 | Nov 2, 2021 | reported | n/a |
| STAFFORD VENTURES FUND II, LP | Private Equity Fund | $25.3M | Oct 9, 2024 | 22 | Mar 28, 2012 | reported | 021-103993 |
| STAFFORD NM FUND I, LP | Private Equity Fund | $23.1M | Nov 22, 2019 | 2 | Mar 28, 2012 | dropped | 021-86031 |
| CLEAN TECH PRIVATE EQUITY III PRIMARIES LP | Private Equity Fund | $20.8M | Oct 9, 2024 | 12 | Nov 2, 2021 | reported | n/a |
| CLEAN TECH PRIVATE EQUITY II CO-INVESTMENTS LP | Private Equity Fund | $19.7M | Dec 22, 2023 | 2 | Nov 2, 2021 | reported | n/a |
| STAFFORD SUSTAINABLE CAPITAL FUND II, LP | Private Equity Fund | $19.4M | Oct 9, 2024 | 9 | Mar 28, 2012 | reported | 021-159858 |
| STAFFORD HITIP FUND I, LP | Private Equity Fund | $10.4M | Oct 9, 2024 | 1 | Mar 28, 2012 | reported | n/a |
| CLEAN TECH PRIVATE EQUITY III SECONDARIES LP | Private Equity Fund | $9.2M | Oct 9, 2024 | 15 | Nov 2, 2021 | reported | n/a |
| STAFFORD NM FUND II, LP | Private Equity Fund | $9.2M | Nov 22, 2019 | 1 | Mar 28, 2012 | dropped | 021-118055 |
| STAFFORD VENTURES FUND I, LP | Private Equity Fund | $7.9M | Oct 9, 2024 | 23 | Mar 28, 2012 | reported | 021-53098 |
| INTERPOLIS PENSIOENEN PRIVATE EQUITY FUND I | Private Equity Fund | $4.0M | Nov 4, 2021 | 3 | Nov 2, 2021 | dropped | n/a |
| STAFFORD SUSTAINABLE CAPITAL OFFSHORE FUND, LP | Private Equity Fund | $2.4M | Oct 9, 2024 | 12 | Mar 28, 2012 | reported | 021-98245 |
| NEPTUNE AQUACULTURE PE FUND LP | Private Equity Fund | $1.5M | Oct 9, 2024 | 2 | Apr 1, 2020 | reported | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| Carbonatto, Genevieve, Marie Marguerite | Beneficiary | D | yes | 08/2012 | Mar 24, 2016 | Oct 9, 2024 |
| Carbonatto, Genevieve, Marie Marguerite | Director | E | yes | 08/2012 | Mar 24, 2016 | Oct 9, 2024 |
| FRATUS, RICK, JOHN | Director | Na | yes | 07/2014 | Jan 19, 2017 | Oct 9, 2024 |
| Lindsay, David, Boyd | Director | Na | yes | 09/2023 | Oct 2, 2023 | Oct 9, 2024 |
| NORMAN FAMILY TRUST | Shareholder | C | yes | 11/2018 | Mar 24, 2016 | Oct 9, 2024 |
| NORMAN, GEOFFREY, ROBERT | Beneficiary | D | yes | 08/2012 | May 8, 2014 | Oct 9, 2024 |
| STAFFORD CAPITAL PARTNERS HOLDING PTY LIMITED | Shareholder | E | yes | 11/2018 | Feb 22, 2019 | Oct 9, 2024 |
| STAFFORD CAPITAL PARTNERS PTY LIMITED | Shareholder | E | yes | 10/2010 | Feb 22, 2019 | Oct 9, 2024 |
| Whiteley, Angus | Director | Na | yes | 10/2013 | Jan 19, 2017 | Oct 9, 2024 |
| NMAE PTY LIMITED | Trustee | E | no | 08/2012 | Mar 24, 2016 | Oct 9, 2024 |
| Sherliker, Victoria, Louise | CHIEF COMPLIANCE OFFICER | Na | no | 07/2023 | Oct 2, 2023 | Oct 9, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| STAFFORD CAPITAL PARTNERS LIMITED | n/a | Asset manager | $6.7B | N | yes | n/a |
| CLEAN TECH PRIVATE EQUITY III LLC | n/a | n/a | n/a | N | yes | n/a |
| NEPTUNE AQUACULTURE PE FUND (GP) LIMITED | n/a | n/a | n/a | N | yes | n/a |
| STAFFORD CAPITAL PARTNERS BV | n/a | n/a | n/a | N | yes | n/a |
| STAFFORD CAPITAL PARTNERS PTY LIMITED | n/a | n/a | n/a | Y | no | n/a |
| STAFFORD HEI GP LLC | n/a | n/a | n/a | N | yes | n/a |
| STAFFORD HITIP GP II LLC | n/a | n/a | n/a | Y | yes | n/a |
| STAFFORD HITIP GP III LLC | n/a | n/a | n/a | N | yes | n/a |
| STAFFORD HITIP GP, LLC | n/a | n/a | n/a | Y | yes | n/a |
| STAFFORD HO'OULU FUND GP, L.P. | n/a | n/a | n/a | Y | yes | n/a |
| STAFFORD INFRASTRUCTURE SECONDARIES FUND V GP LLC | n/a | n/a | n/a | Y | yes | n/a |
| STAFFORD NM GP, LLC | n/a | n/a | n/a | Y | yes | n/a |
| STAFFORD SUSTAINABLE CAPITAL GP II, LLC | n/a | n/a | n/a | Y | yes | n/a |
| STAFFORD SUSTAINABLE CAPITAL GP, LLC | n/a | n/a | n/a | Y | yes | n/a |
| STAFFORD SUSTAINABLE SECONDARIES FUND III GP, LLC | n/a | n/a | n/a | N | yes | n/a |
| STAFFORD THRESHOLD TIMBER GP LLC | n/a | n/a | n/a | N | yes | n/a |
| STAFFORD VENTURES GP, LLC | n/a | n/a | n/a | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Portland | Or | United States | 1 | no |
| London | n/a | United Kingdom | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2024 | Sep 23, 2024 | $1.9B | $1.8B | 15 | 15 | 3 | 18 | $867M |
| 2023 | Oct 2, 2023 | $1.6B | $1.6B | 17 | 14 | 5 | 22 | $1.5B |
| 2022 | Sep 30, 2022 | $1.5B | $1.5B | 19 | 12 | 3 | 22 | $1.4B |
| 2021 | Nov 2, 2021 | $1.1B | $1.1B | 17 | 10 | 3 | 23 | $1.1B |
| 2020 | Oct 1, 2020 | $391M | $391M | 16 | 13 | 3 | 8 | $252M |
| 2019 | Sep 27, 2019 | $413M | $413M | 16 | 13 | 4 | 10 | $284M |
| 2018 | Sep 28, 2018 | $436M | $436M | 10 | 8 | 4 | 9 | $280M |
| 2017 | Aug 28, 2017 | $421M | $421M | 9 | 8 | n/a | 9 | $301M |
| 2016 | Mar 15, 2017 | $345M | $345M | 9 | 8 | n/a | 9 | $208M |
| 2015 | Mar 24, 2016 | $371M | $371M | 9 | 8 | n/a | 8 | $311M |
| 2014 | Feb 3, 2015 | $330M | $330M | 8 | 7 | n/a | 8 | $329M |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 1 | -1 | 14.3% | 0 | 0 | 0 | 0 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $1.7B | $1.6B | 5.8% | $1.1B | 14.6% | 15 | 17 | 3 | 5 |