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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

GRANITE BAY ADVISORS, L.P.

CRD 154706

DALLAS, TX

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Search this name across graphsid dfx:ria:642af217-71e8-bfee-ed14-4a96b6daadfb

Data as of Mar 29, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 0
On other graphs: 1
Observed: Mar 29, 2012 to Mar 29, 2018
11 observations

Across DFX

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

Private Creditidentity

GRANITE BAY ADVISORS, L.P.

Private credit 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: $12.1MItem 5.F on the latest filing (2018-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $12.1M
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
Employees: 1
Advisory employees: 0
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1
Individual clients: 0
High net worth clients: 0
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $12.1Mgross asset value as reported per fund; never fund size
Custody, client assets: $12.1M
SEC number: 801-71785
CRD: 154706
Filings on the tape: 11
First filed: Mar 29, 2012
Latest filed: Mar 29, 2018
Organised: Limited Partnership, 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
GRANITE BAY LONG/SHORT CREDIT MASTER FUND, L.P.	Hedge Fund	$12.1M	Mar 29, 2018	6	Mar 29, 2012	reported	021-177675

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
DONDERO, JAMES, DAVID	LIMITED PARTNER	C	yes	07/2010	Mar 29, 2012	Mar 29, 2018
GRANITE BAY ADVISORS GP, LLC	GENERAL PARTNER	Na	yes	07/2010	Mar 29, 2012	Mar 29, 2018
OKADA, MARK, KIYOSHI	Member	E	yes	07/2010	Mar 29, 2012	Mar 29, 2018
OKADA, MARK, KIYOSHI	PRESIDENT / LIMITED PARTNER	D	yes	07/2010	Mar 29, 2012	Mar 29, 2018
PARKER, LEE, BLACKWELL	Secretary	Na	yes	02/2012	Mar 28, 2016	Mar 29, 2018
WATERHOUSE, FRANK, GEORGE	Treasurer	Na	yes	06/2014	Mar 28, 2016	Mar 29, 2018
SURGENT, THOMAS, JOSEPH	CHIEF COMPLIANCE OFFICER	Na	no	10/2011	Mar 29, 2012	Mar 29, 2018

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
HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P.	n/a	Asset manager	$2.8B	N	yes	n/a
NEXPOINT REAL ESTATE ADVISORS, L.P.	n/a	Former SEC adviser	$976M	N	yes	n/a
NEXPOINT ADVISORS, L.P.	n/a	Asset manager	$131M	N	yes	n/a
HIGHLAND CAPITAL MANAGEMENT, L.P.	n/a	Former SEC adviser	$127M	N	yes	n/a
FALCON E & P OPPORTUNITIES GP, LLC	n/a	Former SEC adviser	$74.1M	N	yes	n/a
NEXPOINT REAL ESTATE ADVISORS II, L.P.	n/a	Former SEC adviser	$47.0M	N	yes	n/a
HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P.	n/a	Former SEC adviser	$26.0M	N	yes	n/a
ACIS CAPITAL MANAGEMENT, L.P.	n/a	Former SEC adviser	$2.8M	N	yes	n/a
NEXBANK SECURITIES, INC.	n/a	Former SEC adviser	$882,487	N	yes	n/a
ACIS CLO MANAGEMENT GP, LLC	n/a	n/a	n/a	N	yes	n/a
ACIS FUNDING GP, LTD.	n/a	n/a	n/a	N	yes	n/a
BANDERA STRATEGIC CREDIT PARTNERS I GP, LLC	n/a	n/a	n/a	N	yes	n/a
BANDERA STRATEGIC CREDIT PARTNERS I SLP GP, LLC	n/a	n/a	n/a	N	yes	n/a
GOVERNANCE RE, LTD	n/a	n/a	n/a	N	yes	n/a
GRANITE BAY LONG/SHORT CREDIT GP, LLC	n/a	n/a	n/a	N	yes	n/a
HIGHLAND CAPITAL FUNDS DISTRIBUTOR, INC.	n/a	n/a	n/a	N	yes	n/a
HIGHLAND CAPITAL LOAN GP, LLC	n/a	n/a	n/a	N	yes	n/a
HIGHLAND CAPITAL MANAGEMENT KOREA LIMITED	n/a	n/a	n/a	N	yes	n/a
HIGHLAND GENERAL PARTNER, L.P.	n/a	n/a	n/a	N	yes	n/a
HIGHLAND MULTI STRATEGY CREDIT FUND GP, L.P.	n/a	n/a	n/a	N	yes	n/a
HIGHLAND RESTORATION CAPITAL PARTNERS GP, LLC	n/a	n/a	n/a	N	yes	n/a
NEXBANK SSB	n/a	n/a	n/a	N	yes	TX
NEXBANK TITLE, INC.	n/a	n/a	n/a	N	yes	n/a
NEXPOINT HOSPITALITY TRUST, INC.	n/a	n/a	n/a	N	yes	n/a
NEXPOINT MULTI FAMILY CAPITAL TRUST, INC.	n/a	n/a	n/a	N	yes	n/a
NEXPOINT RE FINANCE ADVISOR GP, LLC	n/a	n/a	n/a	N	yes	n/a
NEXPOINT REAL ESTATE ADVISORS GP, LLC	n/a	n/a	n/a	N	yes	n/a
SUNBRIDGE 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	Offices	Private funds	Fund GAV
2017	Mar 29, 2018	$12.1M	$12.1M	1	0	0	1	$12.1M
2016	Mar 30, 2017	$13.5M	$13.5M	1	0	n/a	1	$13.5M
2015	Mar 28, 2016	$16.4M	$16.4M	0	0	n/a	1	$16.4M
2014	Mar 31, 2015	$19.7M	$19.7M	0	0	n/a	1	$19.7M
2013	Mar 31, 2014	$18.3M	$18.3M	0	0	n/a	1	$18.3M
2012	Apr 1, 2013	$31.3M	$31.3M	0	0	n/a	1	$31.3M
2011	Mar 29, 2012	$12.4M	$12.4M	n/a	n/a	n/a	1	$12.4M

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
2017	$12.1M	$13.5M	-10.6%	$19.7M	-15.0%	1	1	0	n/a

Relationships

Affiliated with (14)

← FALCON E & P OPPORTUNITIES GP, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ HIGHLAND CAPITAL MANAGEMENT, L.P.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ NEXBANK WEALTH ADVISORSRegistered adviserother investment adviser, broker-dealer, investment company, common control
factForm ADV
→ NEXPOINT ASSET MANAGEMENT, L.P.Registered adviserother investment adviser, bank, common control
factForm ADV
→ ACIS CAPITAL MANAGEMENT, L.P.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P.Registered adviserother investment adviser, bank, common control
factForm ADV
→ FALCON E & P OPPORTUNITIES GP, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ NEXPOINT ADVISORS, L.P.Registered adviserother investment adviser, bank, common control
factForm ADV
→ NEXPOINT REAL ESTATE ADVISORS, L.P.Registered adviserother investment adviser, common control
factForm ADV
→ NEXPOINT REAL ESTATE ADVISORS II, L.P.Registered adviserother investment adviser, broker-dealer, bank, investment company, pooled vehicle sponsor, common control
factForm ADV
← NEXPOINT REAL ESTATE ADVISORS II, L.P.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← NEXPOINT REAL ESTATE ADVISORS, L.P.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← TUNSTALL CAPITAL MANAGEMENT, L.P.Registered adviserother investment adviser, common control
factForm ADV

Advises (1)

→ GRANITE BAY LONG/SHORT CREDIT MASTER FUND, L.P.Private fundHedge Fund, IA
Mar 29, 2012 to presentfactForm ADV

Controls (5)

← DONDERO, JAMES, DAVIDOwnerLIMITED PARTNER, ownership code C, individual
Mar 29, 2012 to presentfactForm ADV
← OKADA, MARK, KIYOSHIOwnerMEMBER, ownership code E, individual
Mar 29, 2012 to presentfactForm ADV
← WATERHOUSE, FRANK, GEORGEOwnerTREASURER, ownership code NA, individual
Mar 28, 2016 to presentfactForm ADV
← PARKER, LEE, BLACKWELLOwnerSECRETARY, ownership code NA, individual
Mar 28, 2016 to presentfactForm ADV
← GRANITE BAY ADVISORS GP, LLCOwnerGENERAL PARTNER, ownership code NA, domestic entity
Mar 29, 2012 to presentfactForm ADV

Owns (1)

← SURGENT, THOMAS, JOSEPHOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:642af217-71e8-bfee-ed14-4a96b6daadfb
First observed: Mar 29, 2012
Last observed: Mar 29, 2018 103 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.

GRANITE BAY ADVISORS, L.P.

CRD 154706

DALLAS, 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:642af217-71e8-bfee-ed14-4a96b6daadfb

Data as of Mar 29, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:14 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

GRANITE BAY LONG/SHORT CREDIT MASTER FUND, L.P.

Hedge Fund

$12.1M

Mar 29, 2018

Mar 29, 2012

reported

021-177675

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DONDERO, JAMES, DAVID

LIMITED PARTNER

yes

07/2010

Mar 29, 2012

Mar 29, 2018

GRANITE BAY ADVISORS GP, LLC

GENERAL PARTNER

yes

07/2010

Mar 29, 2012

Mar 29, 2018

OKADA, MARK, KIYOSHI

Member

yes

07/2010

Mar 29, 2012

Mar 29, 2018

OKADA, MARK, KIYOSHI

PRESIDENT / LIMITED PARTNER

yes

07/2010

Mar 29, 2012

Mar 29, 2018

PARKER, LEE, BLACKWELL

Secretary

yes

02/2012

Mar 28, 2016

Mar 29, 2018

WATERHOUSE, FRANK, GEORGE

Treasurer

yes

06/2014

Mar 28, 2016

Mar 29, 2018

SURGENT, THOMAS, JOSEPH

CHIEF COMPLIANCE OFFICER

10/2011

Mar 29, 2012

Mar 29, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

HIGHLAND CAPITAL MANAGEMENT FUND ADVISORS, L.P.

n/a

Asset manager

$2.8B

yes

n/a

NEXPOINT REAL ESTATE ADVISORS, L.P.

n/a

Former SEC adviser

$976M

yes

n/a

NEXPOINT ADVISORS, L.P.

n/a

Asset manager

$131M

yes

n/a

HIGHLAND CAPITAL MANAGEMENT, L.P.

n/a

Former SEC adviser

$127M

yes

n/a

FALCON E & P OPPORTUNITIES GP, LLC

n/a

Former SEC adviser

$74.1M

yes

n/a

NEXPOINT REAL ESTATE ADVISORS II, L.P.

n/a

Former SEC adviser

$47.0M

yes

n/a

HIGHLAND CAPITAL HEALTHCARE ADVISORS, L.P.

n/a

Former SEC adviser

$26.0M

yes

n/a

ACIS CAPITAL MANAGEMENT, L.P.

n/a

Former SEC adviser

$2.8M

yes

n/a

NEXBANK SECURITIES, INC.

n/a

Former SEC adviser

$882,487

yes

n/a

ACIS CLO MANAGEMENT GP, LLC

n/a

yes

n/a

ACIS FUNDING GP, LTD.

n/a

yes

n/a

BANDERA STRATEGIC CREDIT PARTNERS I GP, LLC

n/a

yes

n/a

BANDERA STRATEGIC CREDIT PARTNERS I SLP GP, LLC

n/a

yes

n/a

GOVERNANCE RE, LTD

n/a

yes

n/a

GRANITE BAY LONG/SHORT CREDIT GP, LLC

n/a

yes

n/a

HIGHLAND CAPITAL FUNDS DISTRIBUTOR, INC.

n/a

yes

n/a

HIGHLAND CAPITAL LOAN GP, LLC

n/a

yes

n/a

HIGHLAND CAPITAL MANAGEMENT KOREA LIMITED

n/a

yes

n/a

HIGHLAND GENERAL PARTNER, L.P.

n/a

yes

n/a

HIGHLAND MULTI STRATEGY CREDIT FUND GP, L.P.

n/a

yes

n/a

HIGHLAND RESTORATION CAPITAL PARTNERS GP, LLC

n/a

yes

n/a

NEXBANK SSB

n/a

yes

NEXBANK TITLE, INC.

n/a

yes

n/a

NEXPOINT HOSPITALITY TRUST, INC.

n/a

yes

n/a

NEXPOINT MULTI FAMILY CAPITAL TRUST, INC.

n/a

yes

n/a

NEXPOINT RE FINANCE ADVISOR GP, LLC

n/a

yes

n/a

NEXPOINT REAL ESTATE ADVISORS GP, LLC

n/a

yes

n/a

SUNBRIDGE GP, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 29, 2018

$12.1M

2016

Mar 30, 2017

$13.5M

n/a

$13.5M

2015

Mar 28, 2016

$16.4M

n/a

$16.4M

2014

Mar 31, 2015

$19.7M

n/a

$19.7M

2013

Mar 31, 2014

$18.3M

n/a

$18.3M

2012

Apr 1, 2013

$31.3M

n/a

$31.3M

2011

Mar 29, 2012

$12.4M

n/a

$12.4M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$12.1M

$13.5M

-10.6%

$19.7M

-15.0%

n/a