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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

HAVELI INVESTMENT MANAGEMENT LLC

CRD 316470

AUSTIN, TX

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:57dfecf6-b1af-8d11-5a4f-18480e45d027

Data as of Aug 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 7
On other graphs: 2
Observed: Dec 22, 2021 to Aug 17, 2026
14 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Haveli Investment Management LLC

Private equity manager · shared crd

Independent Sponsorsidentity

Haveli Investment Management LLC

Capital provider to sponsors · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=5.0
Regulatory AUM: $6.0BItem 5.F on the latest filing (2026-08-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $6.0B
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: 1
RAUM per advisor: $6.0Bderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 51
Advisory employees: 35
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 6
Private funds: 6Schedule D 7.B(1)
Custody, client assets: $0
Relying advisers: 3
SEC number: 801-123111
CRD: 316470
Filings on the tape: 14
First filed: Dec 22, 2021
Latest filed: Aug 17, 2026
Organised: Limited Liability Company, DE

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
ALEXANDER L CAPRETTA	n/a	AUSTIN, TX \| Austin, TX	4	12	n/a	no

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
HAVELI INVESTMENTS SOFTWARE FUND I, L.P.	Private Equity Fund	$1.6B	Mar 28, 2024	35	May 1, 2023	reported	021-481655
HAVELI VC GAMING FUND I, L.P.	Private Equity Fund	$687M	Mar 28, 2024	57	Mar 31, 2022	reported	021-441583
HAVELI INVESTMENTS SOFTWARE FUND CAYMAN I, L.P.	Private Equity Fund	$274M	Mar 28, 2024	11	May 1, 2023	reported	021-481656
HAVELI INVESTMENTS SOFTWARE FRIENDS AND FAMILY FUND I, L.P.	Private Equity Fund	$83.0M	Mar 28, 2024	57	May 1, 2023	reported	021-481657
HAVELI VC GAMING FRIENDS AND FAMILY FUND I, L.P.	Private Equity Fund	$65.4M	Mar 28, 2024	79	Mar 31, 2022	reported	021-441582

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
CAPPELLINI, NORA	SVP OF FINANCE & CONTROLLER	Na	yes	01/2022	Mar 28, 2024	Mar 28, 2024
HAVELI INVESTMENTS LP	SOLE MEMBER	E	yes	08/2021	Dec 22, 2021	Mar 28, 2024
KAZOKU HOLDINGS LLC	Owner	E	yes	02/2024	Feb 26, 2024	Mar 28, 2024
MATHEWS, JASON, LAMONT	CHIEF OPERATING OFFICER	Na	yes	12/2021	Dec 22, 2021	Mar 28, 2024
RICHARDSON, DELLA, PATRICE	CHIEF COMPLIANCE OFFICER AND DEPUTY GENERAL COUNSEL	Na	yes	12/2021	Dec 22, 2021	Mar 28, 2024
SANGREAL TRUST DATED 12/1/2009	SOLE MEMBER	E	yes	12/2022	Dec 22, 2021	Mar 28, 2024
SHETH, BRIAN, N	CHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER	Na	yes	12/2021	Dec 22, 2021	Mar 28, 2024
SHETH, BRIAN, N	Trustee	E	yes	12/2009	Dec 22, 2021	Mar 28, 2024

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
HAVELI INVESTMENTS SOFTWARE FUND I GP, LLC	n/a	n/a	n/a	N	yes	n/a
HAVELI VC GAMING FUND I GP, LLC	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	Private funds	Fund GAV
2025	Mar 31, 2026	$6.0B	$6.0B	51	35	6	n/a
2024	Mar 31, 2025	$4.5B	$4.5B	54	33	6	n/a
2023	Mar 28, 2024	$2.7B	$2.7B	45	34	5	$2.7B
2022	Mar 31, 2023	$597M	$597M	33	22	2	$596M
2021	Mar 31, 2022	$358M	$358M	16	6	2	$358M

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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
2025	$6.0B	$4.5B	34.0%	$597M	116.2%	51	54	0	0

Relationships

Advises (5)

→ HAVELI INVESTMENTS SOFTWARE FUND CAYMAN I, L.P.Private fundPrivate Equity Fund, IA
May 1, 2023 to presentfactForm ADV
→ HAVELI VC GAMING FUND I, L.P.Private fundPrivate Equity Fund, IA
Mar 31, 2022 to presentfactForm ADV
→ HAVELI INVESTMENTS SOFTWARE FRIENDS AND FAMILY FUND I, L.P.Private fundPrivate Equity Fund, IA
May 1, 2023 to presentfactForm ADV
→ HAVELI VC GAMING FRIENDS AND FAMILY FUND I, L.P.Private fundPrivate Equity Fund, IA
Mar 31, 2022 to presentfactForm ADV
→ HAVELI INVESTMENTS SOFTWARE FUND I, L.P.Private fundPrivate Equity Fund, IA
May 1, 2023 to presentfactForm ADV

Registered with (1)

← ALEXANDER L CAPRETTAAdvisorregistration: current employment
Apr 11, 2022 to presentfactForm ADV

Controls (7)

← SHETH, BRIAN, NOwnerTRUSTEE, ownership code E, individual
Dec 22, 2021 to Mar 28, 2024factForm ADV
← MATHEWS, JASON, LAMONTOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Dec 22, 2021 to Mar 28, 2024factForm ADV
← CAPPELLINI, NORAOwnerSVP OF FINANCE & CONTROLLER, ownership code NA, individual
Mar 28, 2024 to Mar 28, 2024factForm ADV
← RICHARDSON, DELLA, PATRICEOwnerCHIEF COMPLIANCE OFFICER AND DEPUTY GENERAL COUNSEL, ownership code NA, individual
Dec 22, 2021 to Mar 28, 2024factForm ADV
← HAVELI INVESTMENTS LPOwnerSOLE MEMBER, ownership code E, domestic entity
Dec 22, 2021 to Mar 28, 2024factForm ADV
← KAZOKU HOLDINGS LLCOwnerOWNER, ownership code E, domestic entity
Feb 26, 2024 to Mar 28, 2024factForm ADV
← SANGREAL TRUST DATED 12/1/2009OwnerSOLE MEMBER, ownership code E, domestic entity
Dec 22, 2021 to Mar 28, 2024factForm ADV

Dated events

Occurred
Mar 31, 2026
Regulatory AUM changed
Haveli Investment Management Llc reported RAUM $6.0B, up 34% from $4.5B (2025-03-31 to 2026-03-31)
Form ADVobserved 4 days ago
$1.5B
Occurred
Mar 31, 2025
Regulatory AUM changed
Haveli Investment Management Llc reported RAUM $4.5B, up 67% from $2.7B (2024-03-28 to 2025-03-31)
Form ADVobserved 4 days ago
$1.8B
Occurred
Mar 28, 2024
Control person left
H Ira Cohen (Managing Director) no longer on Schedule A of Haveli Investment Management Llc (listed 2024-02-26, absent 2024-03-28)
Form ADVobserved 4 days ago
Occurred
Mar 28, 2024
Control person joined
Nora Cappellini (Svp Of Finance & Controller) appeared on Schedule A of Haveli Investment Management Llc
Form ADVobserved 4 days ago
Occurred
May 1, 2023
Regulatory AUM changed
Haveli Investment Management Llc reported RAUM $2.4B, up 304% from $597.0M (2023-03-31 to 2023-05-01)
Form ADVobserved 4 days ago
$1.8B
Occurred
Mar 31, 2023
Regulatory AUM changed
Haveli Investment Management Llc reported RAUM $597.0M, up 67% from $358.3M (2022-11-17 to 2023-03-31)
Form ADVobserved 4 days ago
$239M
Occurred
Dec 22, 2021
First Form ADV filing
Haveli Investment Management Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:57dfecf6-b1af-8d11-5a4f-18480e45d027
First observed: Dec 22, 2021
Last observed: Aug 17, 2026 33 days 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.

HAVELI INVESTMENT MANAGEMENT LLC

CRD 316470

AUSTIN, TX

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:57dfecf6-b1af-8d11-5a4f-18480e45d027

Data as of Aug 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:17 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ALEXANDER L CAPRETTA

n/a

AUSTIN, TX | Austin, TX

n/a

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

HAVELI INVESTMENTS SOFTWARE FUND I, L.P.

Private Equity Fund

$1.6B

Mar 28, 2024

May 1, 2023

reported

021-481655

HAVELI VC GAMING FUND I, L.P.

Private Equity Fund

$687M

Mar 28, 2024

Mar 31, 2022

reported

021-441583

HAVELI INVESTMENTS SOFTWARE FUND CAYMAN I, L.P.

Private Equity Fund

$274M

Mar 28, 2024

May 1, 2023

reported

021-481656

HAVELI INVESTMENTS SOFTWARE FRIENDS AND FAMILY FUND I, L.P.

Private Equity Fund

$83.0M

Mar 28, 2024

May 1, 2023

reported

021-481657

HAVELI VC GAMING FRIENDS AND FAMILY FUND I, L.P.

Private Equity Fund

$65.4M

Mar 28, 2024

Mar 31, 2022

reported

021-441582

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CAPPELLINI, NORA

SVP OF FINANCE & CONTROLLER

yes

01/2022

Mar 28, 2024

HAVELI INVESTMENTS LP

SOLE MEMBER

yes

08/2021

Dec 22, 2021

Mar 28, 2024

KAZOKU HOLDINGS LLC

Owner

yes

02/2024

Feb 26, 2024

Mar 28, 2024

MATHEWS, JASON, LAMONT

CHIEF OPERATING OFFICER

yes

12/2021

Dec 22, 2021

Mar 28, 2024

RICHARDSON, DELLA, PATRICE

CHIEF COMPLIANCE OFFICER AND DEPUTY GENERAL COUNSEL

yes

12/2021

Dec 22, 2021

Mar 28, 2024

SANGREAL TRUST DATED 12/1/2009

SOLE MEMBER

yes

12/2022

Dec 22, 2021

Mar 28, 2024

SHETH, BRIAN, N

CHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER

yes

12/2021

Dec 22, 2021

Mar 28, 2024

SHETH, BRIAN, N

Trustee

yes

12/2009

Dec 22, 2021

Mar 28, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

HAVELI INVESTMENTS SOFTWARE FUND I GP, LLC

n/a

yes

n/a

HAVELI VC GAMING FUND I GP, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$6.0B

n/a

2024

Mar 31, 2025

$4.5B

n/a

2023

Mar 28, 2024

$2.7B

2022

Mar 31, 2023

$597M

$596M

2021

Mar 31, 2022

$358M

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$6.0B

$4.5B

34.0%

$597M

116.2%