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CRD 112664
NEW YORK, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| AR CAPITAL, LLC | MANAGING MEMBER | E | yes | 12/2009 | Jul 1, 2014 | Mar 20, 2015 |
| BDCA ADVISER, LLC | Member | E | yes | 07/2014 | Jul 1, 2014 | Mar 20, 2015 |
| GRUNEWALD, ROBERT, KARL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | Na | yes | 03/2015 | Mar 20, 2015 | Mar 20, 2015 |
| KAHANE, WILLIAM, MONROE | MANAGING MEMBER | F | yes | 08/2007 | Jul 1, 2014 | Mar 20, 2015 |
| SCHORSCH, NICHOLAS, SLOAN | MANAGING MEMBER | D | yes | 08/2007 | Jul 1, 2014 | Mar 20, 2015 |
| SCHWEIGER, FREDERIC, MARVIN | CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER | Na | yes | 03/2010 | Nov 18, 2011 | Mar 20, 2015 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| BDCA ADVISER, LLC | n/a | Former SEC adviser | $3.0B | Y | yes | n/a |
| METROPOLITAN WEALTH MANAGEMENT, LLC | n/a | Former SEC adviser | $213M | N | yes | n/a |
| NATIONAL FUND ADVISORS, LLC | n/a | Former SEC adviser | $71.7M | N | yes | n/a |
| AR CAPITAL, LLC | n/a | n/a | n/a | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| GREENWOOD VILLAGE | Co | United States | n/a | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2014 | Mar 20, 2015 | $70.0M | $70.0M | 7 | 2 | n/a | n/a | n/a |
| 2013 | Feb 26, 2014 | $75.6M | $75.6M | 8 | 2 | n/a | n/a | n/a |
| 2012 | Feb 19, 2013 | $74.0M | $74.0M | 9 | 2 | n/a | n/a | n/a |
| 2011 | Mar 14, 2012 | $76.9M | $76.9M | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2014 | $70.0M | $75.6M | -7.4% | $76.9M | -3.1% | 7 | 8 | n/a | n/a |