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CRD 108523
LONDON
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 |
|---|---|---|---|---|---|---|
| BUTTERS, STEPHEN, JAMES | MANAGING MEMBER | F | yes | 12/2011 | Feb 24, 2012 | Aug 28, 2015 |
| BUTTERS, STEPHEN, JAMES | DIRECTOR OF APPLICANT / EXECUTIVE COMMITEE MEMBER OF DIRECT PARENT | Na | yes | 12/2011 | Feb 24, 2012 | Aug 28, 2015 |
| BUTTERS, STEPHEN, JAMES | MANAGING MEMBER | F | yes | 12/2011 | Feb 24, 2012 | Aug 28, 2015 |
| OECHSLE GROUP, LLC | MEMBER MANAGER | C | yes | 10/1998 | Feb 24, 2012 | Aug 28, 2015 |
| OECHSLE INTERNATIONAL ADVISORS, LLC | OWNER OF APPLICANT | E | yes | 09/1986 | Feb 24, 2012 | Aug 28, 2015 |
| OIA CLASS B, LLC | Member | C | yes | 12/2011 | Feb 24, 2012 | Aug 28, 2015 |
| ROCHE, LAWRENCE, SEAN | MANAGING MEMBER | F | yes | 10/1998 | Feb 24, 2012 | Aug 28, 2015 |
| ROCHE, LAWRENCE, SEAN | MANAGING MEMBER | D | yes | 12/2011 | Feb 24, 2012 | Aug 28, 2015 |
| ROCHE, LAWRENCE, SEAN | EXECUTIVE MANAGING PRINCIPAL OF DIRECT PARENT | Na | yes | 08/1986 | Feb 24, 2012 | Aug 28, 2015 |
| WALKER, WARREN, ROBBINS | MANAGING MEMBER | F | yes | 10/1998 | Feb 24, 2012 | Aug 28, 2015 |
| WALKER, WARREN, ROBBINS | CHIEF EXECUTIVE OFFICER / DIRECTOR OF APPLICANT / EXECUTIVE MANAGING PRINCIPAL OF DIRECT PARENT | Na | yes | 08/1986 | Feb 24, 2012 | Aug 28, 2015 |
| WALKER, WARREN, ROBBINS | MANAGING MEMBER | C | yes | 12/2011 | Feb 24, 2012 | Aug 28, 2015 |
| BIAGIOTTI, JOHN, FRANCIS | CFO OF DIRECT PARENT | Na | no | 09/1986 | Feb 24, 2012 | Aug 28, 2015 |
| STOWELL III, JOSEPH, FRANCIS | COMPLIANCE OFFICER / CHIEF COMPLIANCE OFFICER OF DIRECT PARENT | Na | no | 06/2004 | Feb 24, 2012 | Aug 28, 2015 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| OECHSLE INTERNATIONAL ADVISORS, LLC | n/a | Former SEC adviser | $4.4B | Y | yes | n/a |
| OIA ASIA LTD. | n/a | n/a | n/a | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2014 | Mar 17, 2015 | $378M | $378M | 5 | 4 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $411M | $411M | 5 | 4 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $692M | $692M | 4 | 3 | n/a | n/a | n/a |
| 2011 | Feb 24, 2012 | $595M | $595M | 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 |
|---|---|---|---|---|---|---|---|---|---|
| 2014 | $378M | $411M | -8.0% | $595M | -14.0% | 5 | 5 | n/a | n/a |