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

BLACKROCK KELSO CAPITAL ADVISORS LLC

CRD 135051

NEW YORK, NY

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:4f46cdfa-5977-bcf4-99b0-67bcf942d962

Data as of Nov 6, 2014 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Nov 6, 2014
11 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: $1.3BItem 5.F on the latest filing (2014-11-06); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.3B
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: 28
Advisory employees: 18
Accounts: 2
SEC number: 801-64260
CRD: 135051
Filings on the tape: 11
First filed: Mar 30, 2012
Latest filed: Nov 6, 2014
Organised: Limited Liability Company, Delaware

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
BLACKROCK ADVISORS, LLC	MEMBER- CLASS B INTERESTS	C	yes	04/2005	Mar 30, 2012	Nov 6, 2014
BLACKROCK CAPITAL HOLDINGS, INC.	SOLE SHAREHOLDER	E	yes	09/2006	Mar 30, 2012	Nov 6, 2014
BLACKROCK HOLDCO 2, INC.	SOLE SHAREHOLDER (PREFERRED)	D	yes	09/2006	Mar 30, 2012	Nov 6, 2014
BLACKROCK, INC.	SOLE SHAREHOLDER	E	yes	09/2006	Mar 30, 2012	Nov 6, 2014
FITZGERALD, MATTHEW	CHIEF COMPLIANCE OFFICER	Na	yes	11/2010	Mar 30, 2012	Nov 6, 2014
LAZAR, MICHAEL, BARRY	CHIEF OPERATING OFFICER AND MANAGING DIRECTOR	B	yes	04/2005	Mar 30, 2012	Nov 6, 2014
MAHER, JAMES, ROBERT	CHIEF EXECUTIVE OFFICER AND CHAIRMAN OF THE BOARD OF MANAGERS	B	yes	04/2005	Mar 30, 2012	Nov 6, 2014
PANKOVCIN, CORINNE	CHIEF FINANCIAL OFFICER	Na	yes	08/2011	Mar 30, 2012	Nov 6, 2014
PAREDES, LAURENCE, DENNIS	GENERAL COUNSEL	Na	yes	02/2009	Mar 30, 2012	Nov 6, 2014

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
BLACKROCK FINANCIAL MANAGEMENT, INC	n/a	Other adviser	$1595B	N	yes	n/a
BLACKROCK ADVISORS, LLC	n/a	Asset manager	$1096B	N	yes	n/a
BKCA MEZZANINE ADVISORS, LLC	n/a	Former SEC adviser	$11.3M	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
2013	May 5, 2014	$1.2B	$1.2B	29	16	n/a	n/a	n/a
2012	Mar 27, 2013	$1.1B	$1.1B	28	18	n/a	n/a	n/a
2011	Mar 30, 2012	$1.1B	$1.1B	n/a	n/a	n/a	n/a	n/a

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
2013	$1.3B	$1.1B	16.0%	n/a	n/a	28	28	n/a	n/a

Relationships

Affiliated with (4)

→ BLACKROCK ADVISORS, LLCRegistered adviserother investment adviser, bank, LP sponsor, common control
factForm ADV
→ BLACKROCK FINANCIAL MANAGEMENT, INCRegistered adviserother investment adviser, bank, LP sponsor, common control
factForm ADV
→ BKCA MEZZANINE ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← BLACKROCK KELSO CAPITAL CORPORATIONRegistered adviserother investment adviser
factForm ADV

Controls (9)

← BLACKROCK ADVISORS, LLCOwnerMEMBER- CLASS B INTERESTS, ownership code C, domestic entity
Mar 30, 2012 to presentfactForm ADV
← FITZGERALD, MATTHEWOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← LAZAR, MICHAEL, BARRYOwnerCHIEF OPERATING OFFICER AND MANAGING DIRECTOR, ownership code B, individual
Mar 30, 2012 to presentfactForm ADV
← PAREDES, LAURENCE, DENNISOwnerGENERAL COUNSEL, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← PANKOVCIN, CORINNEOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← MAHER, JAMES, ROBERTOwnerCHIEF EXECUTIVE OFFICER AND CHAIRMAN OF THE BOARD OF MANAGERS, ownership code B, individual
Mar 30, 2012 to presentfactForm ADV
← BLACKROCK CAPITAL HOLDINGS, INC.OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← BLACKROCK HOLDCO 2, INC.OwnerSOLE SHAREHOLDER (PREFERRED), ownership code D, domestic entity
Mar 30, 2012 to presentfactForm ADV
← BLACKROCK, INC.OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4f46cdfa-5977-bcf4-99b0-67bcf942d962
First observed: Mar 30, 2012
Last observed: Nov 6, 2014 144 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.

BLACKROCK KELSO CAPITAL ADVISORS LLC

CRD 135051

NEW YORK, NY

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:4f46cdfa-5977-bcf4-99b0-67bcf942d962

Data as of Nov 6, 2014 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:04 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BLACKROCK ADVISORS, LLC

MEMBER- CLASS B INTERESTS

yes

04/2005

Mar 30, 2012

Nov 6, 2014

BLACKROCK CAPITAL HOLDINGS, INC.

SOLE SHAREHOLDER

yes

09/2006

Mar 30, 2012

Nov 6, 2014

BLACKROCK HOLDCO 2, INC.

SOLE SHAREHOLDER (PREFERRED)

yes

09/2006

Mar 30, 2012

Nov 6, 2014

BLACKROCK, INC.

SOLE SHAREHOLDER

yes

09/2006

Mar 30, 2012

Nov 6, 2014

FITZGERALD, MATTHEW

CHIEF COMPLIANCE OFFICER

yes

11/2010

Mar 30, 2012

Nov 6, 2014

LAZAR, MICHAEL, BARRY

CHIEF OPERATING OFFICER AND MANAGING DIRECTOR

yes

04/2005

Mar 30, 2012

Nov 6, 2014

MAHER, JAMES, ROBERT

CHIEF EXECUTIVE OFFICER AND CHAIRMAN OF THE BOARD OF MANAGERS

yes

04/2005

Mar 30, 2012

Nov 6, 2014

PANKOVCIN, CORINNE

CHIEF FINANCIAL OFFICER

yes

08/2011

Mar 30, 2012

Nov 6, 2014

PAREDES, LAURENCE, DENNIS

GENERAL COUNSEL

yes

02/2009

Mar 30, 2012

Nov 6, 2014

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BLACKROCK FINANCIAL MANAGEMENT, INC

n/a

Other adviser

$1595B

yes

n/a

BLACKROCK ADVISORS, LLC

n/a

Asset manager

$1096B

yes

n/a

BKCA MEZZANINE ADVISORS, LLC

n/a

Former SEC adviser

$11.3M

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

May 5, 2014

$1.2B

n/a

2012

Mar 27, 2013

$1.1B

n/a

2011

Mar 30, 2012

$1.1B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

$1.3B

$1.1B

16.0%

n/a