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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

MERGANSER CAPITAL MANAGEMENT, INC.

CRD 148380

BOSTON, MA

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:43d02948-2fc9-31ed-0d53-42480e712ca2

Data as of Jul 11, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Mar 14, 2012 to Jul 11, 2013
3 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: $7.3BItem 5.F on the latest filing (2013-07-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $7.3B
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: 27
Advisory employees: 9
Accounts: 92
Private funds: 4Schedule D 7.B(1)
Private fund GAV: $182Mgross asset value as reported per fund; never fund size
Custody, client assets: $182M
SEC number: 801-69757
CRD: 148380
Filings on the tape: 3
First filed: Mar 14, 2012
Latest filed: Jul 11, 2013
Organised: Corporation, Delaware

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
MERGANSER INTERMEDIATE BOND FUND LLC	Other Private Fund	$0	Jul 11, 2013	0	Mar 14, 2012	reported	021-40570

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
ADDIS, JEFFREY, CHARLES	CHIEF COMPLIANCE OFFICER	Na	yes	09/2009	Mar 14, 2012	Jul 11, 2013
ANNALY CAPITAL MANAGEMENT, INC.	Owner	E	yes	09/2008	Mar 14, 2012	Jul 11, 2013
KELLY, DOUGLAS, A.	PRESIDENT & CO-CHIEF INVESTMENT OFFICER	Na	yes	11/2010	Mar 14, 2012	Jul 11, 2013
LYGHT, ROSE-MARIE	ANNALY SUPERVISORY COMMITTEE	Na	yes	09/2008	Mar 14, 2012	Jul 11, 2013
SMOCK, ANDREW, M	CO-CHIEF INVESTMENT OFFICER	Na	yes	11/2010	Mar 14, 2012	Jul 11, 2013
SZABO, ERIC, CHARLES	ANNALY SUPERVISORY COMMITEE	Na	yes	09/2008	Mar 6, 2013	Jul 11, 2013

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
FIXED INCOME DISCOUNT ADVISORY COMPANY	n/a	Former SEC adviser	$17B	N	yes	n/a
RCAP SECURITIES, INC.	n/a	n/a	n/a	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
2012	Mar 6, 2013	$7.3B	$7.3B	27	9	n/a	4	$182M
2011	Mar 14, 2012	$6.5B	$6.5B	n/a	n/a	n/a	3	$114M

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
2012	$7.3B	$6.5B	12.5%	n/a	n/a	27	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ FIXED INCOME DISCOUNT ADVISORY COMPANYRegistered adviserother investment adviser, common control
factForm ADV

Advises (1)

→ MERGANSER INTERMEDIATE BOND FUND LLCPrivate fundOther Private Fund, IA
Mar 14, 2012 to presentfactForm ADV

Controls (6)

← ADDIS, JEFFREY, CHARLESOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 14, 2012 to presentfactForm ADV
← SZABO, ERIC, CHARLESOwnerANNALY SUPERVISORY COMMITEE, ownership code NA, individual
Mar 6, 2013 to presentfactForm ADV
← KELLY, DOUGLAS, A.OwnerPRESIDENT & CO-CHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 14, 2012 to presentfactForm ADV
← LYGHT, ROSE-MARIEOwnerANNALY SUPERVISORY COMMITTEE, ownership code NA, individual
Mar 14, 2012 to presentfactForm ADV
← SMOCK, ANDREW, MOwnerCO-CHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 14, 2012 to presentfactForm ADV
← ANNALY CAPITAL MANAGEMENT, INC.OwnerOWNER, ownership code E, domestic entity
Mar 14, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:43d02948-2fc9-31ed-0d53-42480e712ca2
First observed: Mar 14, 2012
Last observed: Jul 11, 2013 160 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.

MERGANSER CAPITAL MANAGEMENT, INC.

CRD 148380

BOSTON, MA

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:43d02948-2fc9-31ed-0d53-42480e712ca2

Data as of Jul 11, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:38 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

MERGANSER INTERMEDIATE BOND FUND LLC

Other Private Fund

Jul 11, 2013

Mar 14, 2012

reported

021-40570

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ADDIS, JEFFREY, CHARLES

CHIEF COMPLIANCE OFFICER

yes

09/2009

Mar 14, 2012

Jul 11, 2013

ANNALY CAPITAL MANAGEMENT, INC.

Owner

yes

09/2008

Mar 14, 2012

Jul 11, 2013

KELLY, DOUGLAS, A.

PRESIDENT & CO-CHIEF INVESTMENT OFFICER

yes

11/2010

Mar 14, 2012

Jul 11, 2013

LYGHT, ROSE-MARIE

ANNALY SUPERVISORY COMMITTEE

yes

09/2008

Mar 14, 2012

Jul 11, 2013

SMOCK, ANDREW, M

CO-CHIEF INVESTMENT OFFICER

yes

11/2010

Mar 14, 2012

Jul 11, 2013

SZABO, ERIC, CHARLES

ANNALY SUPERVISORY COMMITEE

yes

09/2008

Mar 6, 2013

Jul 11, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

FIXED INCOME DISCOUNT ADVISORY COMPANY

n/a

Former SEC adviser

$17B

yes

n/a

RCAP SECURITIES, INC.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Mar 6, 2013

$7.3B

n/a

$182M

2011

Mar 14, 2012

$6.5B

n/a

$114M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$7.3B

$6.5B

12.5%

n/a