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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

PACIFIC VIEW ASSET MANAGEMENT, LLC

CRD 161071

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:5c2249f4-5d4a-36a3-7d0d-a32aaafeeba0

Data as of Mar 22, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 2
On other graphs: 1
Observed: May 14, 2012 to Mar 22, 2019
21 observations

Across DFX

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

Venture Capitalidentity

Pacific View Asset Management, LLC

Venture manager · shared crd

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: $149MItem 5.F on the latest filing (2019-03-22); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $149M
Private client RAUM: $4.7MderivedItem 5.D individuals plus high net worth individuals
Private client share: 3%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 19
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 18
High net worth clients: 12
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $13.4Mgross asset value as reported per fund; never fund size
SEC number: 801-109947
CRD: 161071
Filings on the tape: 21
First filed: May 14, 2012
Latest filed: Mar 22, 2019
Organised: Limited Liability Company, Delaware

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
PVAM INTERNATIONAL SMALL CAP FUND, L.P.	Other Private Fund	$4.7M	Dec 26, 2013	13	May 24, 2013	dropped	021-197895
PVAM GLOBAL INNOVATIONS FUND, LLC	Hedge Fund	$834,751	Dec 6, 2018	1	Mar 8, 2017	reported	021-280234

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
CONDOR GP, LLC	GENERAL PARTNER	F	yes	04/2005	May 14, 2012	Mar 22, 2019
CONDOR TRADING LP	MANAGING MEMBER	C	yes	01/2012	May 14, 2012	Mar 22, 2019
DRUSKIN, STEVEN, ANDREW	CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER	Na	yes	04/2012	May 14, 2012	Mar 22, 2019
ASHTON, MICHAEL, L.	Member	A	no	01/2014	Dec 26, 2013	Mar 22, 2019
BOUCHERAT, JAMES, LINCOLN	Member	B	no	09/2014	Jan 27, 2017	Mar 22, 2019
ENDRES, BRIAN, KENNETH	CHIEF FINANCIAL OFFICER	Na	no	07/2012	May 24, 2013	Mar 22, 2019
LASALLE, DAVID, AARON	Member	B	no	09/2014	Jan 27, 2017	Mar 22, 2019

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
PACIFIC VIEW ASSET MANAGEMENT (UK) LLP	n/a	Former SEC adviser	$69.1M	Y	no	n/a
BTIG AUSTRALIA LIMITED	n/a	n/a	n/a	N	yes	n/a
BTIG HONG KONG LIMITED	n/a	n/a	n/a	N	yes	n/a
BTIG LIMITED	n/a	n/a	n/a	N	yes	n/a
BTIG SINGAPORE PTE LTD.	n/a	n/a	n/a	N	yes	n/a
BTIG, LLC	n/a	n/a	n/a	N	yes	n/a
PACIFIC VIEW VENTURES, LLC	n/a	n/a	n/a	Y	yes	n/a
PVAM ARGONAUT ADVISORS, LLC	n/a	n/a	n/a	Y	no	n/a
PVAM ARGONAUT MANAGEMENT, LLC	n/a	n/a	n/a	Y	no	n/a
PVAM LIMITED	n/a	n/a	n/a	Y	no	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
2018	Mar 22, 2019	$149M	$149M	19	5	0	1	$13.4M
2017	Mar 28, 2018	$201M	$201M	23	6	2	2	$14.8M
2012	Mar 27, 2013	$3.1M	$3.1M	17	4	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
2018	$149M	$201M	-25.9%	n/a	n/a	19	23	0	2

Relationships

Affiliated with (1)

→ PERLUS INVESTMENT MANAGEMENT LLPRegistered adviserother investment adviser, control
factForm ADV

Owns (4)

← ENDRES, BRIAN, KENNETHOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
May 24, 2013 to presentfactForm ADV
← BOUCHERAT, JAMES, LINCOLNOwnerMEMBER, ownership code B, individual
Jan 27, 2017 to presentfactForm ADV
← LASALLE, DAVID, AARONOwnerMEMBER, ownership code B, individual
Jan 27, 2017 to presentfactForm ADV
← ASHTON, MICHAEL, L.OwnerMEMBER, ownership code A, individual
Dec 26, 2013 to presentfactForm ADV

Controls (3)

← DRUSKIN, STEVEN, ANDREWOwnerCHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 14, 2012 to presentfactForm ADV
← CONDOR GP, LLCOwnerGENERAL PARTNER, ownership code F, domestic entity
May 14, 2012 to presentfactForm ADV
← CONDOR TRADING LPOwnerMANAGING MEMBER, ownership code C, domestic entity
May 14, 2012 to presentfactForm ADV

Advises (2)

→ PVAM GLOBAL INNOVATIONS FUND, LLCPrivate fundHedge Fund, IA
Mar 8, 2017 to presentfactForm ADV
→ PVAM INTERNATIONAL SMALL CAP FUND, L.P.Private fundOther Private Fund, IA, no longer reported
May 24, 2013 to Dec 26, 2013factForm ADV

Registered with (1)

← KENNETH PALMER APPLEGATEAdvisorregistration: previous registration
May 28, 2013 to May 1, 2014factForm ADV

Dated events

Occurred
Mar 22, 2019
Control person left
Robert Steven Starker (Member) no longer on Schedule A of Pacific View Asset Management, Llc (listed 2018-12-06, absent 2019-03-22)
Form ADVobserved 4 days ago
Occurred
Jan 27, 2017
First Form ADV filing
Pacific View Asset Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5c2249f4-5d4a-36a3-7d0d-a32aaafeeba0
First observed: May 14, 2012
Last observed: Mar 22, 2019 91 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.

PACIFIC VIEW ASSET MANAGEMENT, LLC

CRD 161071

SAN FRANCISCO, CA

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:5c2249f4-5d4a-36a3-7d0d-a32aaafeeba0

Data as of Mar 22, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:01 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

PVAM INTERNATIONAL SMALL CAP FUND, L.P.

Other Private Fund

$4.7M

Dec 26, 2013

May 24, 2013

dropped

021-197895

PVAM GLOBAL INNOVATIONS FUND, LLC

Hedge Fund

$834,751

Dec 6, 2018

Mar 8, 2017

reported

021-280234

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CONDOR GP, LLC

GENERAL PARTNER

yes

04/2005

May 14, 2012

Mar 22, 2019

CONDOR TRADING LP

MANAGING MEMBER

yes

01/2012

May 14, 2012

Mar 22, 2019

DRUSKIN, STEVEN, ANDREW

CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER

yes

04/2012

May 14, 2012

Mar 22, 2019

ASHTON, MICHAEL, L.

Member

01/2014

Dec 26, 2013

Mar 22, 2019

BOUCHERAT, JAMES, LINCOLN

Member

09/2014

Jan 27, 2017

Mar 22, 2019

ENDRES, BRIAN, KENNETH

CHIEF FINANCIAL OFFICER

07/2012

May 24, 2013

Mar 22, 2019

LASALLE, DAVID, AARON

Member

09/2014

Jan 27, 2017

Mar 22, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PACIFIC VIEW ASSET MANAGEMENT (UK) LLP

n/a

Former SEC adviser

$69.1M

n/a

BTIG AUSTRALIA LIMITED

n/a

yes

n/a

BTIG HONG KONG LIMITED

n/a

yes

n/a

BTIG LIMITED

n/a

yes

n/a

BTIG SINGAPORE PTE LTD.

n/a

yes

n/a

BTIG, LLC

n/a

yes

n/a

PACIFIC VIEW VENTURES, LLC

n/a

yes

n/a

PVAM ARGONAUT ADVISORS, LLC

n/a

PVAM ARGONAUT MANAGEMENT, LLC

n/a

PVAM LIMITED

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 22, 2019

$149M

$13.4M

2017

Mar 28, 2018

$201M

$14.8M

2012

Mar 27, 2013

$3.1M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$149M

$201M

-25.9%

n/a