DFX Intelligence
Data Factory
Reading the graph
Reading the graph
CRD 132057
NORWALK, CT
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.
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| BARNEY FUND, L.P. | Hedge Fund | $97.6M | Jun 3, 2019 | 2 | Mar 30, 2012 | reported | 021-128159 |
| FIRST PRINCIPLE FUND, LTD. | Hedge Fund | $60.8M | Jun 3, 2019 | 13 | Mar 30, 2012 | reported | 021-107149 |
| GARNET ABSOLUTE RETURN FUND, LTD | Hedge Fund | $53.2M | Jun 3, 2019 | 16 | Mar 30, 2012 | reported | 021-83750 |
| EACM SMALL MANAGERS EQUITY FUND TRUST | Other Private Fund | $39.4M | May 16, 2012 | 1 | Mar 30, 2012 | dropped | n/a |
| EACM SMALL CAP VALUE EQUITY FUND | Other Private Fund | $12.9M | Oct 3, 2014 | 11 | Mar 30, 2012 | dropped | 021-128136 |
| CT LIQUIDATING SPV I, LTD. | Other Private Fund | $27,041 | Jun 3, 2019 | 11 | Mar 29, 2018 | reported | n/a |
| EACM EVENT-DRIVEN OFFSHORE FUND, LTD | Hedge Fund | $0 | Aug 9, 2017 | 1 | Mar 30, 2012 | dropped | 021-106603 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BNY MELLON IHC, LLC | Shareholder | E | yes | 04/2017 | Aug 9, 2017 | Jun 3, 2019 |
| BRISK, GREGORY, ALLAN | Manager | Na | yes | 07/2016 | Mar 31, 2017 | Jun 3, 2019 |
| GERMANO, MICHAEL, ANTHONY | CHIEF OPERATING OFFICER/MANAGER | Na | yes | 09/2018 | Oct 3, 2018 | Jun 3, 2019 |
| MAC INTYRE, JAMES, DESMOND | Manager | Na | yes | 07/2017 | Aug 9, 2017 | Jun 3, 2019 |
| MBC INVESTMENTS CORPORATION | Member | E | yes | 01/2016 | Nov 8, 2011 | Jun 3, 2019 |
| MILLER, JOHN, RANDOLPH | Manager | Na | yes | 07/2016 | Mar 31, 2017 | Jun 3, 2019 |
| THE BANK OF NEW YORK MELLON CORPORATION | Member | E | yes | 04/2017 | Nov 8, 2011 | Jun 3, 2019 |
| KIERNAN, NATHANIEL | CHIEF COMPLIANCE OFFICER | Na | no | 06/2019 | Jun 3, 2019 | Jun 3, 2019 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| MELLON INVESTMENTS CORPORATION | n/a | Asset manager | $874B | N | yes | n/a |
| BNY MELLON INVESTMENT ADVISER, INC. | n/a | Asset manager | $419B | N | yes | n/a |
| INSIGHT NORTH AMERICA LLC | n/a | Other adviser | $171B | N | yes | n/a |
| WALTER SCOTT & PARTNERS LIMITED | n/a | Other adviser | $67B | N | yes | n/a |
| NEWTON INVESTMENT MANAGEMENT (NORTH AMERICA) LTD | n/a | Asset manager | $42B | N | yes | n/a |
| LOCKWOOD ADVISORS INC | n/a | Bank affiliated wealth | $33B | N | yes | n/a |
| BNY MELLON ASSET MANAGEMENT JAPAN LIMITED | n/a | Former SEC adviser | $32B | N | yes | n/a |
| ALCENTRA LIMITED | n/a | Asset manager | $23B | N | yes | n/a |
| ALCENTRA NY, LLC | n/a | Asset manager | $14B | N | yes | n/a |
| BNY MELLON INVESTMENT MANAGEMENT CAYMAN LTD | n/a | Former SEC adviser | $10B | N | yes | n/a |
| MBSC SECURITIES CORPORATION | n/a | Other adviser | $8.4B | N | yes | n/a |
| INSIGHT INVESTMENT INTERNATIONAL LIMITED | n/a | Former SEC adviser | $3.0B | N | yes | n/a |
| ARX INVESTIMENTOS LTDA | n/a | Former SEC adviser | $1.9B | N | yes | n/a |
| BNY INVESTMENT STRATEGY AND SOLUTIONS GROUP, LLC | n/a | Former SEC adviser | $853M | N | yes | n/a |
| MELLON INVESTMENTS (UK) LIMITED | n/a | Former SEC adviser | $232M | N | yes | n/a |
| BNY MELLON INVESTMENT MANAGEMENT SINGAPORE PTE. LIMITED | n/a | Former SEC adviser | $78.5M | N | yes | n/a |
| MELLON HEDGE ADVISORS, LLC | n/a | Former SEC adviser | $0 | N | yes | n/a |
| BNY MELLON ALOCACAO DE PATRIMONIO LTDA | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON ASSET MANAGEMENT CANADA LTD. | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON BANCO S.A. | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON CAPITAL MARKETS EMEA LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON CAPITAL MARKETS, LLC | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON FUND MANAGEMENT (LUXEMBOURG) S.A. | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON FUND MANAGERS LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON GLOBAL MANAGEMENT LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON INTERNATIONAL MANAGEMENT LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON INVESTMENT MANAGEMENT AUSTRALIA LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON INVESTMENT MANAGEMENT EMEA LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON INVESTMENT MANAGEMENT HONG KONG LIMITED | n/a | Former SEC adviser | n/a | N | yes | n/a |
| BNY MELLON INVESTMENT MANAGEMENT KOREA LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON NATIONAL ASSOCIATION | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON SERVICOS FINANCEIROS DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) S.A. | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON TRUST COMPANY (IRELAND) LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON TRUST COMPANY OF ILLINOIS | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON TRUST OF DELAWARE | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON WEALTH MANAGEMENT, ADVISORY SERVICES, INC. | n/a | n/a | n/a | N | yes | n/a |
| CIBC MELLON GLOBAL SECURITIES SERVICES COMPANY | n/a | n/a | n/a | N | yes | n/a |
| CIBC MELLON TRUST COMPANY | n/a | n/a | n/a | N | yes | n/a |
| HEDGEMARK SECURITIES LLC | n/a | n/a | n/a | N | yes | n/a |
| INSIGHT INVESTMENT AUSTRALIA PTY LIMITED | n/a | n/a | n/a | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2018 | Mar 28, 2019 | $617M | $604M | 22 | 6 | 0 | 4 | $212M |
| 2017 | Mar 29, 2018 | $3.9B | $3.8B | 40 | 11 | 0 | 4 | $284M |
| 2016 | Mar 31, 2017 | $4.4B | $4.4B | 41 | 11 | n/a | 4 | $361M |
| 2015 | Mar 30, 2016 | $4.5B | $4.5B | 41 | 11 | n/a | 4 | $395M |
| 2014 | Mar 31, 2015 | $5.4B | $5.4B | 42 | 11 | n/a | 4 | $597M |
| 2013 | Mar 28, 2014 | $5.3B | $5.2B | 39 | 12 | n/a | 5 | $640M |
| 2012 | Mar 28, 2013 | $5.0B | $5.0B | 38 | 12 | n/a | 5 | $595M |
| 2011 | Mar 30, 2012 | $4.3B | $4.3B | n/a | n/a | n/a | 6 | $589M |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2018 | $617M | $3.9B | -84.1% | $4.5B | -48.4% | 22 | 40 | 0 | 0 |