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

LEHMAN BROTHERS PRIVATE FUND MANAGEMENT, LP

CRD 124969

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:39a8363e-7fd2-5635-d0ee-5d01bc0b55b2

Data as of Mar 18, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 18, 2020
17 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: $20.7MItem 5.F on the latest filing (2020-03-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $20.7M
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: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1
Custody, client assets: $10.2M
SEC number: 801-61812
CRD: 124969
Filings on the tape: 17
First filed: Mar 30, 2012
Latest filed: Mar 18, 2020
Organised: Limited Partnership, 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
LEHMAN BROTHERS HOLDINGS INC.	SOLE MEMBER	E	yes	10/2003	Mar 30, 2012	Mar 18, 2020
LEHMAN BROTHERS HOLDINGS INC.	SOLE MEMBER	E	yes	10/2003	Mar 30, 2012	Mar 18, 2020
LEHMAN BROTHERS HOLDINGS INC. PLAN TRUST	SOLE SHAREHOLDER	E	yes	03/2012	Feb 28, 2013	Mar 18, 2020
LEHMAN BROTHERS PRIVATE FUND MANAGEMENT GP, LLC	GENERAL PARTNER	Na	yes	10/2003	Feb 28, 2013	Mar 18, 2020
LEHMAN BROTHERS PRIVATE FUNDS INVESTMENT COMPANY GP, LLC	SOLE MEMBER	E	yes	10/2003	Mar 30, 2012	Mar 18, 2020
LEHMAN BROTHERS PRIVATE FUNDS INVESTMENT COMPANY LP, LLC	LIMITED PARTNER	E	yes	10/2003	Feb 28, 2013	Mar 18, 2020
MCCARTHY, BRIAN, RAYMOND	VICE PRESIDENT OF THE GENERAL PARTNER, DIRECTOR OF THE GENERAL PARTNER, CCO	Na	no	06/2016	Jan 16, 2014	Mar 18, 2020

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
LEHMAN BROTHERS PRIVATE EQUITY ADVISERS LLC	n/a	Former SEC adviser	$51.0M	N	yes	n/a
LEHMAN BROTHERS PRIVATE FUND ADVISERS, LP	n/a	Former SEC adviser	$20.7M	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
2019	Mar 18, 2020	$20.7M	$20.7M	1	1	0	n/a	n/a
2018	Mar 26, 2019	$23.3M	$23.3M	1	1	0	n/a	n/a
2017	Mar 28, 2018	$39.2M	$39.2M	1	1	0	n/a	n/a
2016	Mar 22, 2017	$73.3M	$73.3M	1	1	n/a	n/a	n/a
2015	Mar 24, 2016	$93.0M	$93.0M	2	2	n/a	n/a	n/a
2014	Mar 31, 2015	$213M	$213M	2	2	n/a	n/a	n/a
2013	Feb 28, 2014	$241M	$241M	2	2	n/a	n/a	n/a
2012	Feb 28, 2013	$249M	$249M	6	3	n/a	n/a	n/a
2011	Mar 30, 2012	$277M	$277M	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
2019	$20.7M	$23.3M	-11.0%	$73.3M	-34.3%	1	1	0	0

Relationships

Affiliated with (4)

← LEHMAN BROTHERS PRIVATE EQUITY ADVISERS LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ LEHMAN BROTHERS PRIVATE EQUITY ADVISERS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ LEHMAN BROTHERS PRIVATE FUND ADVISERS, LPRegistered adviserother investment adviser, common control
factForm ADV
← LEHMAN BROTHERS PRIVATE FUND ADVISERS, LPRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Owns (1)

← MCCARTHY, BRIAN, RAYMONDOwnerVICE PRESIDENT OF THE GENERAL PARTNER, DIRECTOR OF THE GENERAL PARTNER, CCO, ownership code NA, individual
Jan 16, 2014 to presentfactForm ADV

Controls (5)

← LEHMAN BROTHERS HOLDINGS INC.OwnerSOLE MEMBER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← LEHMAN BROTHERS HOLDINGS INC. PLAN TRUSTOwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Feb 28, 2013 to presentfactForm ADV
← LEHMAN BROTHERS PRIVATE FUND MANAGEMENT GP, LLCOwnerGENERAL PARTNER, ownership code NA, domestic entity
Feb 28, 2013 to presentfactForm ADV
← LEHMAN BROTHERS PRIVATE FUNDS INVESTMENT COMPANY GP, LLCOwnerSOLE MEMBER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← LEHMAN BROTHERS PRIVATE FUNDS INVESTMENT COMPANY LP, LLCOwnerLIMITED PARTNER, ownership code E, domestic entity
Feb 28, 2013 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:39a8363e-7fd2-5635-d0ee-5d01bc0b55b2
First observed: Mar 30, 2012
Last observed: Mar 18, 2020 79 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.

LEHMAN BROTHERS PRIVATE FUND MANAGEMENT, LP

CRD 124969

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:39a8363e-7fd2-5635-d0ee-5d01bc0b55b2

Data as of Mar 18, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:35 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LEHMAN BROTHERS HOLDINGS INC.

SOLE MEMBER

yes

10/2003

Mar 30, 2012

Mar 18, 2020

LEHMAN BROTHERS HOLDINGS INC.

SOLE MEMBER

yes

10/2003

Mar 30, 2012

Mar 18, 2020

LEHMAN BROTHERS HOLDINGS INC. PLAN TRUST

SOLE SHAREHOLDER

yes

03/2012

Feb 28, 2013

Mar 18, 2020

LEHMAN BROTHERS PRIVATE FUND MANAGEMENT GP, LLC

GENERAL PARTNER

yes

10/2003

Feb 28, 2013

Mar 18, 2020

LEHMAN BROTHERS PRIVATE FUNDS INVESTMENT COMPANY GP, LLC

SOLE MEMBER

yes

10/2003

Mar 30, 2012

Mar 18, 2020

LEHMAN BROTHERS PRIVATE FUNDS INVESTMENT COMPANY LP, LLC

LIMITED PARTNER

yes

10/2003

Feb 28, 2013

Mar 18, 2020

MCCARTHY, BRIAN, RAYMOND

VICE PRESIDENT OF THE GENERAL PARTNER, DIRECTOR OF THE GENERAL PARTNER, CCO

06/2016

Jan 16, 2014

Mar 18, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

LEHMAN BROTHERS PRIVATE EQUITY ADVISERS LLC

n/a

Former SEC adviser

$51.0M

yes

n/a

LEHMAN BROTHERS PRIVATE FUND ADVISERS, LP

n/a

Former SEC adviser

$20.7M

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 18, 2020

$20.7M

n/a

2018

Mar 26, 2019

$23.3M

n/a

2017

Mar 28, 2018

$39.2M

n/a

2016

Mar 22, 2017

$73.3M

n/a

2015

Mar 24, 2016

$93.0M

n/a

2014

Mar 31, 2015

$213M

n/a

2013

Feb 28, 2014

$241M

n/a

2012

Feb 28, 2013

$249M

n/a

2011

Mar 30, 2012

$277M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$20.7M

$23.3M

-11.0%

$73.3M

-34.3%