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CRD 172643
SAN FRANCISCO, CA
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 |
|---|---|---|---|---|---|---|
| BRENNAN, WILLIAM, SHAWN | PORTFOLIO MANAGER AND MEMBER | B | yes | 07/2014 | Sep 8, 2014 | Sep 26, 2014 |
| CHENG, WILSON, XINRONG | CHIEF FINANCIAL OFFICER / CHIEF COMPLIANCE OFFICER | Na | yes | 07/2014 | Sep 8, 2014 | Sep 26, 2014 |
| CLARK, JONATHON, SIDNEY DEBOHUN | CHIEF INVESTMENT OFFICER AND MEMBER | B | yes | 07/2014 | Sep 8, 2014 | Sep 26, 2014 |
| FITZMAURICE, MATTHEW, OCONNELL | CHIEF EXECUTIVE OFFICER AND MEMBER | B | yes | 07/2014 | Sep 8, 2014 | Sep 26, 2014 |
| MOOSA, ELIAS, ("NMN") | PORTFOLIO MANAGER AND MEMBER | B | yes | 07/2014 | Sep 8, 2014 | Sep 26, 2014 |
| NEUGER, WIN, JAY | CHAIRMAN/STRATEGIC PARTNER AND MEMBER | B | yes | 07/2014 | Sep 8, 2014 | Sep 26, 2014 |
| SCATURRO, PETER, KEVIN | Member | E | yes | 08/2013 | Sep 8, 2014 | Sep 26, 2014 |
| BLAYLOCK, RONALD, EDWARD | STRATEGIC PARTNER AND MEMBER | B | no | 07/2014 | Sep 8, 2014 | Sep 26, 2014 |
| COLGLAZIER, STEPHAN, ALLAN | PORTFOLIO MANAGER | Na | no | 07/2014 | Sep 8, 2014 | Sep 26, 2014 |
| PKS I HOLDINGS LLC | STRATEGIC PARTNER | Na | no | 07/2014 | Sep 8, 2014 | Sep 26, 2014 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| AWJ CAPITAL PARTNERS, LLC | n/a | Former SEC adviser | $57.2M | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Minneapolis | Mn | United States | n/a | no |
| Wayne | Pa | United States | n/a | no |