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CRD 113224
FRANKLIN, TN
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 |
|---|---|---|---|---|---|---|
| SULLIVAN, ROBERT, JEREMIAH | MANAGING DIRECTOR, PRESIDENT, CHIEF INVESTMENT OFFICER | E | yes | 08/2000 | Jan 19, 2012 | Feb 4, 2019 |
| COMMONWEALTH CAPITAL MANAGEMENT LLC | Member | B | no | 06/2006 | Jan 19, 2012 | Feb 4, 2019 |
| JONES, DAVID, DWAIN | CHIEF COMPLIANCE OFFICER | Na | no | 03/2008 | Jan 19, 2012 | Feb 4, 2019 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| COMMONWEALTH CAPITAL MANAGEMENT LLC | n/a | Former SEC adviser | $12.9M | N | no | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2017 | Apr 2, 2018 | $26.0M | $26.0M | 2 | 1 | 0 | n/a | n/a |
| 2016 | Apr 3, 2017 | $54.8M | $54.8M | 2 | 1 | n/a | n/a | n/a |
| 2015 | Mar 28, 2016 | $43.8M | $43.8M | 3 | 1 | n/a | n/a | n/a |
| 2014 | Apr 9, 2015 | $133M | $133M | 10 | 6 | n/a | n/a | n/a |
| 2013 | Apr 4, 2014 | $178M | $178M | 10 | 6 | n/a | n/a | n/a |
| 2012 | Apr 3, 2013 | $184M | $184M | 8 | 5 | n/a | n/a | n/a |
| 2011 | Jan 19, 2012 | $160M | $160M | 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 |
|---|---|---|---|---|---|---|---|---|---|
| 2017 | $26.0M | $54.8M | -52.5% | $133M | -42.0% | 2 | 2 | 0 | n/a |