DFX Intelligence
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CRD 136930
DENVER, CO
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C•••••• A••••••••• H••••••• C••••••••• | S••••••••• O• U••• I••• | E | yes | 05/2007 | Dec 23, 2013 | Apr 7, 2014 |
| C•••••• I•••••••• I••• | 1••• S••••••••• O• C•••••• A••••••••• H••••••• I••• | E | yes | 02/2007 | Dec 23, 2013 | Apr 7, 2014 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| U•• A•••••••• I••• | n/a | Institutional manager | $56B | N | yes | n/a |
| U•• S••••••••• I••• | n/a | No RAUM reported | $0 | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Glastonbury | Ct | United States | n/a | no |
| NEW YORK | NY | United States | n/a | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2013 | Mar 31, 2014 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2013 | n/a | $366M | n/a | n/a | n/a | 8 | 3 | n/a | n/a |
| O••• A••••••• H••••••• I• L•• |
| Shareholder |
| C |
| yes |
| 12/2012 |
| Dec 23, 2013 |
| Apr 7, 2014 |
| O••• C••••••••• | Member | E | yes | 12/2002 | Dec 23, 2013 | Apr 7, 2014 |
| O••• C••••••••• | Shareholder | E | yes | 06/2003 | Dec 23, 2013 | Apr 7, 2014 |
| O••• P••••••• G• I••• | GENERAL PARTNER | F | yes | 04/2008 | Dec 23, 2013 | Apr 7, 2014 |
| O••• P••••••• I•• G• L• | GENERAL PARTNER | F | yes | 04/2008 | Dec 23, 2013 | Apr 7, 2014 |
| O••• P••••••• I•• L• | Shareholder | D | yes | 12/2012 | Dec 23, 2013 | Apr 7, 2014 |
| O••• U•• H••••••• C•••• | Shareholder | E | yes | 12/2012 | Dec 23, 2013 | Apr 7, 2014 |
| S•••••••• G•••••• W•••••• | Shareholder | D | yes | 01/1984 | Dec 23, 2013 | Apr 7, 2014 |
| U•• C•••••••• L•• | MANAGING MEMBER | E | yes | 07/2005 | Dec 23, 2013 | Apr 7, 2014 |
| U•• I•••••••• S••••••• L•• | 1••• S••••••••• O• U•• C••••••• L•• | E | yes | 12/2013 | Mar 31, 2014 | Apr 7, 2014 |
| U•• I•••••••• S••••••• L•• | 1••• S••••••••• O• U•• C••••••••• G••••• I••• | E | yes | 08/1996 | Mar 31, 2014 | Apr 7, 2014 |
| U••• I••• | 1••• S••••••••• O• U•• I•••••••• S••••••• L•• | E | yes | 08/2013 | Dec 23, 2013 | Apr 7, 2014 |
| W•••••• L•••• A•• | CHIEF COMPLIANCE OFFICER | Na | yes | 02/2014 | Mar 31, 2014 | Apr 7, 2014 |
| U•• C••••••• L•• |
| n/a |
| n/a |
| n/a |
| Y |
| yes |
| n/a |
| U•• C••••••••• G••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| n/a |
| n/a |
| 8 |
| 4 |
| n/a |
| n/a |
| n/a |
| 2012 | Mar 14, 2013 | $366M | $0 | 3 | 3 | n/a | n/a | n/a |
| 2011 | Mar 9, 2012 | $357M | $0 | n/a | n/a | n/a | n/a | n/a |