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

FRANCIS CAPITAL MANAGEMENT, LLC

CRD 130165

SANTA MONICA, CA

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:3ec6e451-0d2f-60d1-fb33-c28589c8461e

Data as of Sep 24, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: May 14, 2014 to Sep 24, 2015
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
Regulatory AUM: $75.7MItem 5.F on the latest filing (2015-09-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $75.7M
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: 3
Advisory employees: 1
Accounts: 4
Private funds: 2Schedule D 7.B(1)
Private fund GAV: $70.5Mgross asset value as reported per fund; never fund size
Custody, client assets: $70.5M
SEC number: 801-79772
CRD: 130165
Filings on the tape: 7
First filed: May 14, 2014
Latest filed: Sep 24, 2015
Organised: Limited Liability Company, California

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
CATALYSIS PARTNERS, LLC	Hedge Fund	$43.6M	Sep 24, 2015	49	May 14, 2014	reported	021-130671
CATALYSIS OFFSHORE, LTD.	Hedge Fund	$26.9M	Sep 24, 2015	4	May 14, 2014	reported	021-129500

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
FRANCIS, JOHN, PETER	PRESIDENT AND MANAGING MEMBER	E	yes	03/2000	May 14, 2014	Sep 24, 2015
BRADEN, JILL, KATHLEEN	CHIEF COMPLIANCE OFFICER & CHIEF FINANCIAL OFFICER	Na	no	02/2015	Mar 30, 2015	Sep 24, 2015

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
2014	Mar 30, 2015	$75.7M	$75.7M	4	2	n/a	2	$70.5M

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
2014	$75.7M	n/a	n/a	n/a	n/a	3	n/a	n/a	n/a

Relationships

Advises (2)

→ CATALYSIS PARTNERS, LLCPrivate fundHedge Fund, IA
May 14, 2014 to presentfactForm ADV
→ CATALYSIS OFFSHORE, LTD.Private fundHedge Fund, IA
May 14, 2014 to presentfactForm ADV

Controls (1)

← FRANCIS, JOHN, PETEROwnerPRESIDENT AND MANAGING MEMBER, ownership code E, individual
May 14, 2014 to presentfactForm ADV

Owns (1)

← BRADEN, JILL, KATHLEENOwnerCHIEF COMPLIANCE OFFICER & CHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 30, 2015 to presentfactForm ADV

Dated events

Occurred
May 14, 2014
First Form ADV filing
Francis Capital Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3ec6e451-0d2f-60d1-fb33-c28589c8461e
First observed: May 14, 2014
Last observed: Sep 24, 2015 133 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.

FRANCIS CAPITAL MANAGEMENT, LLC

CRD 130165

SANTA MONICA, CA

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:3ec6e451-0d2f-60d1-fb33-c28589c8461e

Data as of Sep 24, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:35 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

CATALYSIS PARTNERS, LLC

Hedge Fund

$43.6M

Sep 24, 2015

May 14, 2014

reported

021-130671

CATALYSIS OFFSHORE, LTD.

Hedge Fund

$26.9M

Sep 24, 2015

May 14, 2014

reported

021-129500

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FRANCIS, JOHN, PETER

PRESIDENT AND MANAGING MEMBER

yes

03/2000

May 14, 2014

Sep 24, 2015

BRADEN, JILL, KATHLEEN

CHIEF COMPLIANCE OFFICER & CHIEF FINANCIAL OFFICER

02/2015

Mar 30, 2015

Sep 24, 2015

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 30, 2015

$75.7M

n/a

$70.5M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$75.7M

n/a