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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

CITIGROUP FIRST INVESTMENT MANAGEMENT AMERICAS LLC

CRD 158051

NEW YORK, NY

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Search this name across graphsid dfx:ria:38ca1213-7817-a6cf-c13c-0df077dfc368

Data as of Mar 29, 2016 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 29, 2016
7 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 6
Advisory employees: 1
SEC number: 801-72542
CRD: 158051
Filings on the tape: 7
First filed: Mar 30, 2012
Latest filed: Mar 29, 2016
Organised: Limited Liability Company, Delaware

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
CITIGROUP FINANCIAL PRODUCTS INC.	SOLE MEMBER	E	yes	04/2011	Mar 30, 2012	Mar 29, 2016
CITIGROUP GLOBAL MARKETS HOLDINGS INC.	100% SHAREHOLDER	E	yes	09/1998	Mar 30, 2012	Mar 29, 2016
CITIGROUP INC.	100% SHAREHOLDER	E	yes	11/1997	Mar 30, 2012	Mar 29, 2016
HOGAN, PATRICIA, LYNN	PRESIDENT AND DIRECTOR	Na	yes	04/2011	Mar 30, 2012	Mar 29, 2016
ARNOLD, EDWARD, RAYMOND	CHIEF COMPLIANCE OFFICER	Na	no	11/2013	Dec 19, 2013	Mar 29, 2016
BAUDE, CHRISTIAN, LAURENT	PORTFOLIO MANAGER	Na	no	06/2013	Jun 28, 2013	Mar 29, 2016
BENDERNAGEL, DONALD	SECRETARY AND GENERAL COUNSEL	Na	no	04/2011	Mar 30, 2012	Mar 29, 2016
SPADAFORA, VICTOR, C	Treasurer	Na	no	06/2013	Jun 28, 2013	Mar 29, 2016

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page; showing 40 of 68

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CITIGROUP GLOBAL MARKETS INC.	n/a	Bd affiliated wealth	$56B	N	yes	n/a
CITI PRIVATE ADVISORY, LLC	n/a	Former SEC adviser	$18B	N	yes	n/a
CITIGROUP ALTERNATIVE INVESTMENTS LLC	n/a	Asset manager	$127M	N	yes	n/a
AAMBG REINSURANCE, INC.	n/a	n/a	n/a	N	yes	n/a
AO KB "CITIBANK"	n/a	n/a	n/a	N	yes	n/a
AUTOMATED TRADING DESK FINANCIAL SERVICES, LLC	n/a	n/a	n/a	N	yes	n/a
BANAMEX USA	n/a	n/a	n/a	N	yes	n/a
BANK HANDLOWY W WARSZAWIE S.A. (POLAND)	n/a	n/a	n/a	N	yes	n/a
CEFOF GP I CORP.	n/a	n/a	n/a	N	yes	n/a
CELFOF GP CORP.	n/a	n/a	n/a	N	yes	n/a
CHESAPEAKE TITLE REINSURANCE COMPANY, INC.	n/a	n/a	n/a	N	yes	n/a
CITI MENKUL DEGERLER ANONIM SIRKETI	n/a	n/a	n/a	N	yes	n/a
CITI VALORES, ASESORA DE INVERSION Y CASA DE BOLSA, C.A.	n/a	n/a	n/a	N	yes	n/a
CITIBANK (HONG KONG) LIMITED	n/a	n/a	n/a	N	yes	n/a
CITIBANK (SWITZERLAND) A.G.	n/a	n/a	n/a	N	yes	n/a
CITIBANK CANADA INVESTMENT FUNDS LIMITED	n/a	n/a	n/a	N	yes	n/a
CITIBANK ESPANA, S.A. (SPAIN)	n/a	n/a	n/a	N	yes	n/a
CITIBANK MORTGAGE REINSURANCE, INC.	n/a	n/a	n/a	N	yes	n/a
CITIBANK, N.A.	n/a	n/a	n/a	N	yes	n/a
CITICORP CAPITAL PHILIPPINES, INC	n/a	n/a	n/a	N	yes	n/a
CITICORP FINANCIAL SERVICES AND INSURANCE BROKERAGE PHILIPPINES, INC	n/a	n/a	n/a	N	yes	n/a
CITICORP INSURANCE USA, INC.	n/a	n/a	n/a	N	yes	n/a
CITICORP INTERNATIONAL LIMITED	n/a	n/a	n/a	N	yes	n/a
CITICORP PERU S.A. SOCIEDAD AGENTE DE BOLSA	n/a	n/a	n/a	N	yes	n/a
CITICORP SECURITIES INVESTMENT CONSULTING INC.	n/a	n/a	n/a	N	yes	n/a
CITICORP SECURITIES SERVICES, INC.	n/a	n/a	n/a	N	yes	n/a
CITICORP TRUST DELAWARE, N.A.	n/a	n/a	n/a	N	yes	n/a
CITICORP TRUST SOUTH DAKOTA	n/a	n/a	n/a	N	yes	n/a
CITIGROUP CAPITAL PARTNERS I GP I CORP.	n/a	n/a	n/a	N	yes	n/a
CITIGROUP CAPITAL PARTNERS I GP II CORP.	n/a	n/a	n/a	N	yes	n/a
CITIGROUP CHILE S.A.	n/a	n/a	n/a	N	yes	n/a
CITIGROUP DERIVATIVES MARKETS INC.	n/a	n/a	n/a	N	yes	n/a
CITIGROUP FIRST INVESTMENT MANAGEMENT AUSTRALIA LIMITED	n/a	n/a	n/a	N	yes	n/a
CITIGROUP FIRST INVESTMENT MANAGEMENT LIMITED	n/a	n/a	n/a	N	yes	n/a
CITIGROUP GLOBAL MARKETS ASIA LIMITED	n/a	n/a	n/a	N	yes	n/a
CITIGROUP GLOBAL MARKETS AUSTRALIA PTY LIMITED	n/a	n/a	n/a	N	yes	n/a
CITIGROUP GLOBAL MARKETS BRASIL, CORRETORA DE CAMBIO TITULOS E VALORES MOBILIARIOS S.A.	n/a	n/a	n/a	N	yes	n/a
CITIGROUP GLOBAL MARKETS CANADA INC.	n/a	n/a	n/a	N	yes	n/a
CITIGROUP GLOBAL MARKETS DEUTSCHLAND AG	n/a	n/a	n/a	N	yes	n/a
CITIGROUP GLOBAL MARKETS INDIA PRIVATE LIMITED	n/a	n/a	n/a	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
2015	Mar 29, 2016	n/a	n/a	6	1	n/a	n/a	n/a
2014	Mar 31, 2015	$10.8M	$10.8M	9	3	n/a	n/a	n/a
2013	Mar 31, 2014	n/a	n/a	10	7	n/a	n/a	n/a
2012	Apr 1, 2013	n/a	n/a	10	7	n/a	n/a	n/a
2011	Mar 30, 2012	n/a	n/a	n/a	n/a	n/a	n/a	n/a

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
2015	n/a	$10.8M	n/a	n/a	n/a	6	9	n/a	n/a

Relationships

Affiliated with (3)

→ CITIGROUP ALTERNATIVE INVESTMENTS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ CITI PRIVATE ADVISORY, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserother investment adviser, broker-dealer, trust company, common control
factForm ADV

Owns (4)

← SPADAFORA, VICTOR, COwnerTREASURER, ownership code NA, individual
Jun 28, 2013 to presentfactForm ADV
← ARNOLD, EDWARD, RAYMONDOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 19, 2013 to presentfactForm ADV
← BAUDE, CHRISTIAN, LAURENTOwnerPORTFOLIO MANAGER, ownership code NA, individual
Jun 28, 2013 to presentfactForm ADV
← BENDERNAGEL, DONALDOwnerSECRETARY AND GENERAL COUNSEL, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV

Controls (4)

← HOGAN, PATRICIA, LYNNOwnerPRESIDENT AND DIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← CITIGROUP FINANCIAL PRODUCTS INC.OwnerSOLE MEMBER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← CITIGROUP GLOBAL MARKETS HOLDINGS INC.Owner100% SHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← CITIGROUP INC.Owner100% SHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:38ca1213-7817-a6cf-c13c-0df077dfc368
First observed: Mar 30, 2012
Last observed: Mar 29, 2016 127 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.

CITIGROUP FIRST INVESTMENT MANAGEMENT AMERICAS LLC

CRD 158051

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:38ca1213-7817-a6cf-c13c-0df077dfc368

Data as of Mar 29, 2016 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:26 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CITIGROUP FINANCIAL PRODUCTS INC.

SOLE MEMBER

yes

04/2011

Mar 30, 2012

Mar 29, 2016

CITIGROUP GLOBAL MARKETS HOLDINGS INC.

100% SHAREHOLDER

yes

09/1998

Mar 30, 2012

Mar 29, 2016

CITIGROUP INC.

100% SHAREHOLDER

yes

11/1997

Mar 30, 2012

Mar 29, 2016

HOGAN, PATRICIA, LYNN

PRESIDENT AND DIRECTOR

yes

04/2011

Mar 30, 2012

Mar 29, 2016

ARNOLD, EDWARD, RAYMOND

CHIEF COMPLIANCE OFFICER

11/2013

Dec 19, 2013

Mar 29, 2016

BAUDE, CHRISTIAN, LAURENT

PORTFOLIO MANAGER

06/2013

Jun 28, 2013

Mar 29, 2016

BENDERNAGEL, DONALD

SECRETARY AND GENERAL COUNSEL

04/2011

Mar 30, 2012

Mar 29, 2016

SPADAFORA, VICTOR, C

Treasurer

06/2013

Jun 28, 2013

Mar 29, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CITIGROUP GLOBAL MARKETS INC.

n/a

Bd affiliated wealth

$56B

yes

n/a

CITI PRIVATE ADVISORY, LLC

n/a

Former SEC adviser

$18B

yes

n/a

CITIGROUP ALTERNATIVE INVESTMENTS LLC

n/a

Asset manager

$127M

yes

n/a

AAMBG REINSURANCE, INC.

n/a

yes

n/a

AO KB "CITIBANK"

n/a

yes

n/a

AUTOMATED TRADING DESK FINANCIAL SERVICES, LLC

n/a

yes

n/a

BANAMEX USA

n/a

yes

n/a

BANK HANDLOWY W WARSZAWIE S.A. (POLAND)

n/a

yes

n/a

CEFOF GP I CORP.

n/a

yes

n/a

CELFOF GP CORP.

n/a

yes

n/a

CHESAPEAKE TITLE REINSURANCE COMPANY, INC.

n/a

yes

n/a

CITI MENKUL DEGERLER ANONIM SIRKETI

n/a

yes

n/a

CITI VALORES, ASESORA DE INVERSION Y CASA DE BOLSA, C.A.

n/a

yes

n/a

CITIBANK (HONG KONG) LIMITED

n/a

yes

n/a

CITIBANK (SWITZERLAND) A.G.

n/a

yes

n/a

CITIBANK CANADA INVESTMENT FUNDS LIMITED

n/a

yes

n/a

CITIBANK ESPANA, S.A. (SPAIN)

n/a

yes

n/a

CITIBANK MORTGAGE REINSURANCE, INC.

n/a

yes

n/a

CITIBANK, N.A.

n/a

yes

n/a

CITICORP CAPITAL PHILIPPINES, INC

n/a

yes

n/a

CITICORP FINANCIAL SERVICES AND INSURANCE BROKERAGE PHILIPPINES, INC

n/a

yes

n/a

CITICORP INSURANCE USA, INC.

n/a

yes

n/a

CITICORP INTERNATIONAL LIMITED

n/a

yes

n/a

CITICORP PERU S.A. SOCIEDAD AGENTE DE BOLSA

n/a

yes

n/a

CITICORP SECURITIES INVESTMENT CONSULTING INC.

n/a

yes

n/a

CITICORP SECURITIES SERVICES, INC.

n/a

yes

n/a

CITICORP TRUST DELAWARE, N.A.

n/a

yes

n/a

CITICORP TRUST SOUTH DAKOTA

n/a

yes

n/a

CITIGROUP CAPITAL PARTNERS I GP I CORP.

n/a

yes

n/a

CITIGROUP CAPITAL PARTNERS I GP II CORP.

n/a

yes

n/a

CITIGROUP CHILE S.A.

n/a

yes

n/a

CITIGROUP DERIVATIVES MARKETS INC.

n/a

yes

n/a

CITIGROUP FIRST INVESTMENT MANAGEMENT AUSTRALIA LIMITED

n/a

yes

n/a

CITIGROUP FIRST INVESTMENT MANAGEMENT LIMITED

n/a

yes

n/a

CITIGROUP GLOBAL MARKETS ASIA LIMITED

n/a

yes

n/a

CITIGROUP GLOBAL MARKETS AUSTRALIA PTY LIMITED

n/a

yes

n/a

CITIGROUP GLOBAL MARKETS BRASIL, CORRETORA DE CAMBIO TITULOS E VALORES MOBILIARIOS S.A.

n/a

yes

n/a

CITIGROUP GLOBAL MARKETS CANADA INC.

n/a

yes

n/a

CITIGROUP GLOBAL MARKETS DEUTSCHLAND AG

n/a

yes

n/a

CITIGROUP GLOBAL MARKETS INDIA PRIVATE LIMITED

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 29, 2016

n/a

2014

Mar 31, 2015

$10.8M

n/a

2013

Mar 31, 2014

n/a

2012

Apr 1, 2013

n/a

2011

Mar 30, 2012

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

n/a

$10.8M

n/a