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

ADVANCED EQUITIES, INC.

CRD 35545

CHICAGO, IL

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Data as of Oct 18, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 95
Dated events: 0
On other graphs: 1
Observed: Mar 28, 2012 to Oct 18, 2012
11 observations

Across DFX

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

Private Equityidentity

Advanced Equities, Inc.

Private equity 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: $868MItem 5.F on the latest filing (2012-10-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $868M
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
Accounts: 209
Private funds: 132Schedule D 7.B(1)
Private fund GAV: $862Mgross asset value as reported per fund; never fund size
SEC number: 801-67983
CRD: 35545
Filings on the tape: 11
First filed: Mar 28, 2012
Latest filed: Oct 18, 2012
Organised: Corporation, Indiana

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31; showing 25 of 43

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
AEI FISKER INVESTMENTS II, LLC	Private Equity Fund	$50.2M	Oct 18, 2012	448	Mar 28, 2012	reported	n/a
AEI FISKER INVESTMENTS IV, LLC	Private Equity Fund	$38.6M	Oct 18, 2012	238	Mar 28, 2012	reported	n/a
AEI FISKER VI, LLC	Private Equity Fund	$35.1M	Oct 18, 2012	207	Mar 28, 2012	reported	n/a
AEI FISKER VIII, LLC	Private Equity Fund	$24.1M	Oct 18, 2012	211	Mar 28, 2012	reported	n/a
ADVANCED EQUITIES SOLFOCUS INVESTMENTS II, LLC	Private Equity Fund	$19.2M	Oct 18, 2012	233	Mar 28, 2012	reported	n/a
AEI SILICON VALLEY FUND II, LLC	Private Equity Fund	$16.8M	Oct 18, 2012	3	Mar 28, 2012	reported	n/a
AEI FISKER INVESTMENTS I, LLC	Private Equity Fund	$13.3M	Oct 18, 2012	103	Mar 28, 2012	reported	n/a
AEI FISKER INVESTMENTS III, LLC	Private Equity Fund	$11.4M	Oct 18, 2012	101	Mar 28, 2012	reported	n/a
AEI SERIOUS MATERIALS INVESTMENTS II, LLC	Private Equity Fund	$9.1M	Oct 18, 2012	102	Mar 28, 2012	reported	n/a
ADVANCED EQUITIES SUNIVA INVESTMENTS II, LLC	Private Equity Fund	$8.6M	Oct 18, 2012	80	Mar 28, 2012	reported	n/a
AEI FISKER VII, LLC	Private Equity Fund	$5.3M	Oct 18, 2012	71	Mar 28, 2012	reported	n/a
INNOVATIVE TECHNOLOGY PARTNERS II, LP	Private Equity Fund	$5.2M	Oct 18, 2012	1	Mar 28, 2012	reported	n/a
ADVANCED EQUITIES SOLFOCUS INVESTMENTS I, LLC	Private Equity Fund	$4.9M	Oct 18, 2012	100	Mar 28, 2012	reported	n/a
AEI SUNIVA INVESTMENTS IV, LLC	Private Equity Fund	$4.4M	Oct 18, 2012	70	Mar 28, 2012	reported	n/a
AEI TETHYS II, LLC	Private Equity Fund	$3.6M	Oct 18, 2012	49	Mar 28, 2012	reported	n/a
ADVANCED EQUITIES INVESTMENTS XXVIII, LLC	Private Equity Fund	$3.3M	Oct 18, 2012	71	Mar 28, 2012	reported	n/a
ADVANCED EQUITIES MARKETTOOLS INVESTMENTS I, LLC	Private Equity Fund	$3.1M	Oct 18, 2012	44	Mar 28, 2012	reported	n/a
ADVANCED EQUITIES SUNIVA INVESTMENTS I, LLC	Private Equity Fund	$3.0M	Oct 18, 2012	28	Mar 28, 2012	reported	n/a
AEI SERIOUS MATERIALS INVESTMENTS I, LLC	Private Equity Fund	$2.7M	Oct 18, 2012	65	Mar 28, 2012	reported	n/a
AEI QUANTIA INVESTMENTS III, LLC	Private Equity Fund	$2.7M	Oct 18, 2012	31	Mar 28, 2012	reported	n/a
ADVANCED EQUITIES INVESTMENTS XXXIII, LLC	Private Equity Fund	$2.2M	Oct 18, 2012	69	Mar 28, 2012	reported	n/a
ADVANCED EQUITIES SEZMI INVESTMENTS I, LLC	Private Equity Fund	$1.7M	Oct 18, 2012	28	Mar 28, 2012	reported	n/a
ADVANCED EQUITIES QUANTIA INVESTMENTS I, LLC	Private Equity Fund	$1.7M	Oct 18, 2012	23	Mar 28, 2012	reported	n/a
ADVANCED EQUITIES NETXEN INVESTMENTS II, LLC	Private Equity Fund	$1.5M	Oct 18, 2012	146	Mar 28, 2012	reported	n/a
AEI TETHYS I, LLC	Private Equity Fund	$1.4M	Oct 18, 2012	30	Mar 28, 2012	reported	n/a

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
ADVANCED EQUITIES FINANCIAL CORP.	Owner	E	yes	03/1999	Mar 28, 2012	Oct 18, 2012
BAHULEYAN, SAJU	CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISOR DIVISION	Na	yes	05/2010	Mar 28, 2012	Oct 18, 2012
BECK, KEITH ENRIQUE	CHIEF COMPLIANCE OFFICER- BROKER DEALER	Na	yes	07/2010	Mar 28, 2012	Oct 18, 2012
BENDER, BRIAN	MUNICIPAL SECURITIES PRINCIPAL	Na	yes	03/2008	Mar 28, 2012	Oct 18, 2012
CHRISTAKOS, BASIL	COMPLIANCE AND BRANCH MANAGER - NEW YORK	Na	yes	01/2012	Mar 28, 2012	Oct 18, 2012
CROWE, BYRON KEITH	President	Na	yes	10/2012	Mar 28, 2012	Oct 18, 2012
DAUBENSPECK, KEITH GREGORY	CHAIRMAN AEFC	Na	yes	11/1998	Mar 28, 2012	Oct 18, 2012
GARTNER, MATTHEW S	COMPLIANCE MANAGER - CHICAGO	Na	yes	10/2011	Mar 28, 2012	Oct 18, 2012
MECHAM, LEONIDAS CARTER	CHIEF FINANCIAL OFFICER	Na	yes	10/2012	Oct 16, 2012	Oct 18, 2012
PASCAL, GERALD PALMER	COMPLIANCE AND BRANCH MANAGER- SAN FRANCISCO	Na	yes	05/2010	Mar 28, 2012	Oct 18, 2012
ROGERS, DAVID SHAWN	CHIEF OPERATING OFFICER	Na	yes	10/2012	Mar 28, 2012	Oct 18, 2012

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	n/a	no
NEW YORK	NY	United States	n/a	no

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
2011	Mar 30, 2012	$868M	$868M	n/a	n/a	n/a	132	$862M

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
2011	$868M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

showing 80 of 95

Advises (43)

→ AEI TETHYS II, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ ADVANCED EQUITIES SUNIVA INVESTMENTS I, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ ADVANCED EQUITIES INVESTMENTS XXIX, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ ADVANCED EQUITIES INVESTMENTS VIII, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ AEI FISKER VIII, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ ADVANCED EQUITIES TENEROS INVESTMENTS II, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ AEI FISKER VII, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ ADVANCED EQUITIES TENEROS INVESTMENTS I, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ ADVANCED EQUITIES SUNIVA INVESTMENTS II, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ ADVANCED EQUITIES INVESTMENTS XVII, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ AEI FISKER INVESTMENTS II, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ AEI SERIOUS MATERIALS INVESTMENTS I, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ AEI PATRON III, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ ADVANCED EQUITIES SOLFOCUS INVESTMENTS II, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ AEI SILICON VALLEY FUND II, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ ADVANCED EQUITIES ISKOOT INVESTMENTS II, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ AEI TETHYS I, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ AEI SUNIVA INVESTMENTS IV, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ ADVANCED EQUITIES MIRADIA INVESTMENTS II, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ ADVANCED EQUITIES PRESTO INVESTMENTS I, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ AEI SUNIVA INVESTMENTS III, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ AEI PATRON I, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ AEI FISKER INVESTMENTS IV, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ AEI F10 INVESTMENTS I, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ ADVANCED EQUITIES SEZMI INVESTMENTS I, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ AEI SERIOUS MATERIALS INVESTMENTS II, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ ADVANCED EQUITIES SOLFOCUS INVESTMENTS I, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ AEI SEZMI INVESTMENTS IV, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ ADVANCED EQUITIES INVESTMENTS XXXIII, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ AEI PATRON II, LLCPrivate fundPrivate Equity Fund, IA
Mar 28, 2012 to presentfactForm ADV
and 13 more

Controls (11)

← DAUBENSPECK, KEITH GREGORYOwnerCHAIRMAN AEFC, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← BENDER, BRIANOwnerMUNICIPAL SECURITIES PRINCIPAL, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← CROWE, BYRON KEITHOwnerPRESIDENT, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← BECK, KEITH ENRIQUEOwnerCHIEF COMPLIANCE OFFICER- BROKER DEALER, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← CHRISTAKOS, BASILOwnerCOMPLIANCE AND BRANCH MANAGER - NEW YORK, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← BAHULEYAN, SAJUOwnerCHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISOR DIVISION, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← ROGERS, DAVID SHAWNOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← PASCAL, GERALD PALMEROwnerCOMPLIANCE AND BRANCH MANAGER- SAN FRANCISCO, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← MECHAM, LEONIDAS CARTEROwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Oct 16, 2012 to presentfactForm ADV
← GARTNER, MATTHEW SOwnerCOMPLIANCE MANAGER - CHICAGO, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← ADVANCED EQUITIES FINANCIAL CORP.OwnerOWNER, ownership code E, domestic entity
Mar 28, 2012 to presentfactForm ADV

Registered with (26)

← Peter Sean McDonnellAdvisorregistration: previous registration
Feb 20, 2007 to Nov 20, 2012factForm ADV
← JAMES PATRICK KOZAKAdvisorregistration: previous registration
Jun 23, 2005 to Nov 20, 2012factForm ADV
← SAJU BAHULEYANAdvisorregistration: previous registration
Apr 12, 2010 to Nov 20, 2012factForm ADV
← JOHN PETER FERRICKAdvisorregistration: previous registration
Jan 11, 2011 to Nov 20, 2012factForm ADV
← CHRISTOPHER WILLIAM STRUCKAdvisorregistration: previous registration
Aug 2, 2010 to Nov 20, 2012factForm ADV
← GERALD PALMER PASCALAdvisorregistration: previous registration
Jun 2, 2010 to Nov 20, 2012factForm ADV
← DAVID M KUBICAAdvisorregistration: previous registration
Nov 16, 2011 to Nov 20, 2012factForm ADV
← GORDON ELIOT FALLONEAdvisorregistration: previous registration
Jan 11, 2011 to Nov 19, 2012factForm ADV
← PETER RAYMOND FOGARTYAdvisorregistration: previous registration
Jan 7, 2009 to Nov 19, 2012factForm ADV
← MICHAEL CHRISTOPHER BUCHCARAdvisorregistration: previous registration
Jan 25, 2012 to Nov 19, 2012factForm ADV
← MARK HERBERT MILLERAdvisorregistration: previous registration
Nov 15, 2010 to Nov 19, 2012factForm ADV
← RICHARD ALAN CATIPONAdvisorregistration: previous registration
Aug 17, 2011 to Nov 19, 2012factForm ADV
← Silvio D. MoralesAdvisorregistration: previous registration
Mar 7, 2012 to Nov 19, 2012factForm ADV
← WILLIAM HENRY METZAdvisorregistration: previous registration
Oct 11, 2005 to Nov 19, 2012factForm ADV
← ARTHUR LEO COLEMANAdvisorregistration: previous registration
Feb 1, 2010 to Nov 19, 2012factForm ADV
← ERIC C HILLAdvisorregistration: previous registration
Aug 30, 2011 to Jul 31, 2012factForm ADV
← Aaron Michael DaughertyAdvisorregistration: previous registration
Aug 3, 2011 to Jul 3, 2012factForm ADV
← CHRISTOPHER CLARKE GILMORAdvisorregistration: previous registration
Dec 3, 2010 to May 7, 2012factForm ADV
← KEVIN LEWIS JOHNSONAdvisorregistration: previous registration
Jan 28, 2010 to Apr 17, 2012factForm ADV
← THOMAS JON CASPERAdvisorregistration: previous registration
Dec 9, 2010 to Mar 23, 2012factForm ADV
← WILLIAM FREDERICK PEDERSENAdvisorregistration: previous registration
Jul 17, 2009 to Mar 6, 2012factForm ADV
← Kevin Timothy RadellAdvisorregistration: previous registration
Oct 13, 2011 to Feb 10, 2012factForm ADV
← KIMBERLY VICTORIA RIAN HAUPINAdvisorregistration: previous registration
Jun 12, 2006 to Oct 21, 2011factForm ADV
← NATHAN J HURTYAdvisorregistration: previous registration
Dec 16, 2009 to Oct 19, 2011factForm ADV
← GERALD ERIC HAGMANAdvisorregistration: previous registration
Jun 30, 2011 to Aug 2, 2011factForm ADV
← William Knowis KaiserAdvisorregistration: previous registration
Feb 16, 2011 to Jun 10, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5dcf1fc0-7acd-1796-cff5-1aafd8114e89
First observed: Mar 28, 2012
Last observed: Oct 18, 2012 169 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.

ADVANCED EQUITIES, INC.

CRD 35545

CHICAGO, IL

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:5dcf1fc0-7acd-1796-cff5-1aafd8114e89

Data as of Oct 18, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:56 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

AEI FISKER INVESTMENTS II, LLC

Private Equity Fund

$50.2M

Oct 18, 2012

448

Mar 28, 2012

reported

n/a

AEI FISKER INVESTMENTS IV, LLC

Private Equity Fund

$38.6M

Oct 18, 2012

238

Mar 28, 2012

reported

n/a

AEI FISKER VI, LLC

Private Equity Fund

$35.1M

Oct 18, 2012

207

Mar 28, 2012

reported

n/a

AEI FISKER VIII, LLC

Private Equity Fund

$24.1M

Oct 18, 2012

211

Mar 28, 2012

reported

n/a

ADVANCED EQUITIES SOLFOCUS INVESTMENTS II, LLC

Private Equity Fund

$19.2M

Oct 18, 2012

233

Mar 28, 2012

reported

n/a

AEI SILICON VALLEY FUND II, LLC

Private Equity Fund

$16.8M

Oct 18, 2012

Mar 28, 2012

reported

n/a

AEI FISKER INVESTMENTS I, LLC

Private Equity Fund

$13.3M

Oct 18, 2012

103

Mar 28, 2012

reported

n/a

AEI FISKER INVESTMENTS III, LLC

Private Equity Fund

$11.4M

Oct 18, 2012

101

Mar 28, 2012

reported

n/a

AEI SERIOUS MATERIALS INVESTMENTS II, LLC

Private Equity Fund

$9.1M

Oct 18, 2012

102

Mar 28, 2012

reported

n/a

ADVANCED EQUITIES SUNIVA INVESTMENTS II, LLC

Private Equity Fund

$8.6M

Oct 18, 2012

Mar 28, 2012

reported

n/a

AEI FISKER VII, LLC

Private Equity Fund

$5.3M

Oct 18, 2012

Mar 28, 2012

reported

n/a

INNOVATIVE TECHNOLOGY PARTNERS II, LP

Private Equity Fund

$5.2M

Oct 18, 2012

Mar 28, 2012

reported

n/a

ADVANCED EQUITIES SOLFOCUS INVESTMENTS I, LLC

Private Equity Fund

$4.9M

Oct 18, 2012

100

Mar 28, 2012

reported

n/a

AEI SUNIVA INVESTMENTS IV, LLC

Private Equity Fund

$4.4M

Oct 18, 2012

Mar 28, 2012

reported

n/a

AEI TETHYS II, LLC

Private Equity Fund

$3.6M

Oct 18, 2012

Mar 28, 2012

reported

n/a

ADVANCED EQUITIES INVESTMENTS XXVIII, LLC

Private Equity Fund

$3.3M

Oct 18, 2012

Mar 28, 2012

reported

n/a

ADVANCED EQUITIES MARKETTOOLS INVESTMENTS I, LLC

Private Equity Fund

$3.1M

Oct 18, 2012

Mar 28, 2012

reported

n/a

ADVANCED EQUITIES SUNIVA INVESTMENTS I, LLC

Private Equity Fund

$3.0M

Oct 18, 2012

Mar 28, 2012

reported

n/a

AEI SERIOUS MATERIALS INVESTMENTS I, LLC

Private Equity Fund

$2.7M

Oct 18, 2012

Mar 28, 2012

reported

n/a

AEI QUANTIA INVESTMENTS III, LLC

Private Equity Fund

$2.7M

Oct 18, 2012

Mar 28, 2012

reported

n/a

ADVANCED EQUITIES INVESTMENTS XXXIII, LLC

Private Equity Fund

$2.2M

Oct 18, 2012

Mar 28, 2012

reported

n/a

ADVANCED EQUITIES SEZMI INVESTMENTS I, LLC

Private Equity Fund

$1.7M

Oct 18, 2012

Mar 28, 2012

reported

n/a

ADVANCED EQUITIES QUANTIA INVESTMENTS I, LLC

Private Equity Fund

$1.7M

Oct 18, 2012

Mar 28, 2012

reported

n/a

ADVANCED EQUITIES NETXEN INVESTMENTS II, LLC

Private Equity Fund

$1.5M

Oct 18, 2012

146

Mar 28, 2012

reported

n/a

AEI TETHYS I, LLC

Private Equity Fund

$1.4M

Oct 18, 2012

Mar 28, 2012

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ADVANCED EQUITIES FINANCIAL CORP.

Owner

yes

03/1999

Mar 28, 2012

Oct 18, 2012

BAHULEYAN, SAJU

CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISOR DIVISION

yes

05/2010

Mar 28, 2012

Oct 18, 2012

BECK, KEITH ENRIQUE

CHIEF COMPLIANCE OFFICER- BROKER DEALER

yes

07/2010

Mar 28, 2012

Oct 18, 2012

BENDER, BRIAN

MUNICIPAL SECURITIES PRINCIPAL

yes

03/2008

Mar 28, 2012

Oct 18, 2012

CHRISTAKOS, BASIL

COMPLIANCE AND BRANCH MANAGER - NEW YORK

yes

01/2012

Mar 28, 2012

Oct 18, 2012

CROWE, BYRON KEITH

President

yes

10/2012

Mar 28, 2012

Oct 18, 2012

DAUBENSPECK, KEITH GREGORY

CHAIRMAN AEFC

yes

11/1998

Mar 28, 2012

Oct 18, 2012

GARTNER, MATTHEW S

COMPLIANCE MANAGER - CHICAGO

yes

10/2011

Mar 28, 2012

Oct 18, 2012

MECHAM, LEONIDAS CARTER

CHIEF FINANCIAL OFFICER

yes

10/2012

Oct 16, 2012

Oct 18, 2012

PASCAL, GERALD PALMER

COMPLIANCE AND BRANCH MANAGER- SAN FRANCISCO

yes

05/2010

Mar 28, 2012

Oct 18, 2012

ROGERS, DAVID SHAWN

CHIEF OPERATING OFFICER

yes

10/2012

Mar 28, 2012

Oct 18, 2012

City

State

Country

Employees

Also broker-dealer

SAN FRANCISCO

United States

n/a

NEW YORK

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 30, 2012

$868M

n/a

132

$862M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$868M

n/a