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CRD 110440
BIRMINGHAM, AL
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.
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| HARBINGER INDEPENDENT POWER FUND I, LLC | Other Private Fund | $187,455 | Mar 14, 2017 | 10 | Mar 20, 2012 | reported | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BOUTWELL, DAVID, ALAN | EXECUTIVE VICE PRESIDENT & CFO OF MANAGING VENTURER | Na | yes | 11/1993 | Mar 20, 2012 | Mar 14, 2017 |
| HARBERT FUND ADVISORS, INC. | PARTNER AND MANAGING VENTURER | E | yes | 11/1993 | Mar 20, 2012 | Mar 14, 2017 |
| HARBERT MANAGEMENT CORPORATION | Shareholder | E | yes | 11/1993 | Mar 20, 2012 | Mar 14, 2017 |
| HARBERT, RAYMOND, JONES | CHAIRMAN & CEO OF MANAGING VENTURER | Na | yes | 11/1993 | Mar 20, 2012 | Mar 14, 2017 |
| HARBERT, RAYMOND, JONES | Shareholder | D | yes | 11/1993 | Mar 20, 2012 | Mar 14, 2017 |
| HARBINGER CORPORATION | Shareholder | E | yes | 11/1993 | Mar 20, 2012 | Mar 14, 2017 |
| KEETON, SONJA, JEAN | SENIOR VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER OF MANAGING VENTURER | Na | yes | 01/2011 | Mar 20, 2012 | Mar 14, 2017 |
| MILLER, CHARLES, DONALD | EXECUTIVE VICE PRESIDENT & GLOBAL HEAD OF DISTRIBUTION OF MANAGING VENTURER | Na | yes | 11/2001 | Mar 20, 2012 | Mar 14, 2017 |
| BAUDER, MICHAEL, CONRAD | VP & CHIEF COMPLIANCE OFFICER OF MANAGING VENTURER | Na | no | 07/2006 | Mar 20, 2012 | Mar 14, 2017 |
| JOSAR ASSOCIATES, INC. | Partner | B | no | 11/1993 | Mar 20, 2012 | Mar 14, 2017 |
| WILSON, JOEL, REDMAN | Shareholder | E | no | 11/1993 | Mar 20, 2012 | Mar 14, 2017 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| HARBERT FUND ADVISORS, INC. | n/a | Asset manager | $7.8B | Y | yes | n/a |
| HARBERT EUROPEAN FUND ADVISORS, LTD. | n/a | n/a | n/a | N | yes | n/a |
| HMC INVESTMENTS, INC. | n/a | n/a | n/a | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2016 | Mar 14, 2017 | $187,455 | $187,455 | 0 | 0 | n/a | 1 | $187,455 |
| 2015 | Mar 14, 2016 | $214,894 | $214,894 | 0 | 0 | n/a | 1 | $2.0M |
| 2014 | Mar 27, 2015 | $2.0M | $2.0M | 0 | 0 | n/a | 1 | $2.0M |
| 2013 | Mar 24, 2014 | $60.0M | $60.0M | 0 | 0 | n/a | 1 | $60.0M |
| 2012 | Mar 21, 2013 | $60.8M | $60.8M | 0 | 0 | n/a | 1 | $60.8M |
| 2011 | Mar 20, 2012 | $58.2M | $58.2M | n/a | n/a | n/a | 1 | $58.2M |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2016 | $187,455 | $214,894 | -12.8% | $60.0M | -85.4% | 0 | 0 | n/a | n/a |