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CRD 106282
WILMINGTON, DE
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 |
|---|---|---|---|---|---|---|
| B••••• S••••••• J•••• | PORTFOLIO MANAGER/ANALYST, DIRECTOR | Na | yes | 12/2012 | Mar 27, 2013 | Mar 28, 2017 |
| B•••••• M•••••• E••••• | HEAD TRADER, DIRECT OWNER | Na | yes | 12/2004 | Mar 28, 2012 | Mar 28, 2017 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| K••••• I••••••••• I•• | n/a | Former SEC adviser | $453M | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2016 | Mar 28, 2017 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2016 | $1.5B | $3.6B | -56.8% | $4.9B | -32.0% | 24 | 24 | n/a | n/a |
| DIRECT OWNER |
| A |
| yes |
| 01/1997 |
| Mar 28, 2012 |
| Mar 28, 2017 |
| D•••••• B••••• D•••••••• | VICE PRESIDENT & TRUSTEE | Na | yes | 11/1996 | Mar 28, 2012 | Mar 28, 2017 |
| D•••••• F•••• B••••• | PRESIDENT, CHAIRMAN, TRUSTEE, DIRECT OWNER | D | yes | 11/1996 | Mar 28, 2012 | Mar 28, 2017 |
| D•••••• I••• F•••• B••••• | MANAGING DIRECTOR, DIRECT OWNER | A | yes | 01/1997 | Mar 28, 2012 | Mar 28, 2017 |
| F•••••• G••••••• X••••• | PORTFOLIO MANAGER/ANALYST, DIRECT OWNER | Na | yes | 01/2011 | Mar 28, 2012 | Mar 28, 2017 |
| L•••••••• J•••••••• D••••• | PORTFOLIO MANAGER/ANALYST, DIRECT OWNER | Na | yes | 12/2004 | Mar 28, 2012 | Mar 28, 2017 |
| M••••••••• M•••••••• L•••• | SECRETARY, DIRECT OWNER, TRUSTEE | Na | yes | 08/1997 | Mar 28, 2012 | Mar 28, 2017 |
| P•••••••• K•••••••• R• | CHIEF COMPLIANCE OFFICER | Na | yes | 07/2004 | Mar 28, 2012 | Mar 28, 2017 |
| R•••••••• C••••••• A•• | TREASURER, TRUSTEE | Na | yes | 01/2014 | Mar 31, 2014 | Mar 28, 2017 |
| R•••••• N••••• M•••• | CLIENT SERVICES, DIRECT OWNER | Na | yes | 03/2001 | Mar 28, 2012 | Mar 28, 2017 |
| S••••••• L••••••• S••••• | PORTFOLIO MANAGER/ANALYST, DIRECT OWNER | Na | yes | 04/2008 | Mar 28, 2012 | Mar 28, 2017 |
| S••••••• J••••••• O•••• | CLIENT SERVICES, DIRECT OWNER | Na | yes | 01/2003 | Mar 28, 2012 | Mar 28, 2017 |
| T•••••• S••••••• J••••• | PORTFOLIO MANAGER/ANALYST, DIRECT OWNER | Na | yes | 03/2001 | Mar 28, 2012 | Mar 28, 2017 |
| T••••••• G••••••• S•••• | PORTFOLIO MANAGER/ANALYST, DIRECT OWNER | Na | yes | 03/2001 | Mar 28, 2012 | Mar 28, 2017 |
| W•••••• D•••• F••• | PORTFOLIO MANAGER/ANALYST, DIRECT OWNER | A | yes | 03/2001 | Mar 28, 2012 | Mar 28, 2017 |
| $1.5B |
| $1.5B |
| 24 |
| 10 |
| n/a |
| n/a |
| n/a |
| 2015 | Mar 23, 2016 | $3.6B | $3.6B | 24 | 10 | n/a | n/a | n/a |
| 2014 | Mar 27, 2015 | $4.5B | $4.5B | 24 | 10 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $4.9B | $4.9B | 23 | 10 | n/a | n/a | n/a |
| 2012 | Mar 27, 2013 | $3.5B | $3.5B | 23 | 9 | n/a | n/a | n/a |
| 2011 | Mar 28, 2012 | $3.3B | $3.3B | n/a | n/a | n/a | n/a | n/a |