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

CONVEX CAPITAL MANAGEMENT LLC

CRD 166623

WARRENVILLE, 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:6bde7140-e9d9-7f65-1855-e01370e0dc83

Data as of Mar 5, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jul 24, 2014 to Mar 5, 2019
16 observations

Across DFX

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.

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: $2.0MItem 5.F on the latest filing (2019-03-05); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.0M
Private client RAUM: $1.8MderivedItem 5.D individuals plus high net worth individuals
Private client share: 92%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 20
Individual clients: 12
High net worth clients: 0
SEC number: 801-80139
CRD: 166623
Filings on the tape: 16
First filed: Jul 24, 2014
Latest filed: Mar 5, 2019
Organised: Limited Liability Company, Delaware

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
CHATTOPADHYAY, SAUMEN	MANAGING MEMBER, CHIEF COMPLIANCE OFFICER	E	yes	01/2013	Jul 24, 2014	Mar 5, 2019
MCCONNELL, BRIAN	Owner	E	yes	05/2013	Jul 24, 2014	Mar 5, 2019
VARGHESE, SONU, Sam	DIRECTOR OF RESEARCH	A	yes	12/2014	Dec 18, 2014	Mar 5, 2019
MCCONNELL PARTNERS GROUP LLC	Owner	B	no	06/2013	Jul 24, 2014	Mar 5, 2019

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	Feb 28, 2018	$6.6M	$6.6M	3	3	0	n/a	n/a
2016	Mar 8, 2017	$3.2M	$3.2M	4	4	n/a	n/a	n/a
2015	Mar 29, 2016	$5.1M	$5.1M	3	3	n/a	n/a	n/a
2014	Mar 20, 2015	$24.1M	$24.1M	4	3	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
2017	$2.0M	$3.2M	-36.9%	$24.1M	-56.5%	2	4	0	n/a

Relationships

Controls (3)

← CHATTOPADHYAY, SAUMENOwnerMANAGING MEMBER, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Jul 24, 2014 to presentfactForm ADV
← MCCONNELL, BRIANOwnerOWNER, ownership code E, individual
Jul 24, 2014 to presentfactForm ADV
← VARGHESE, SONU, SamOwnerDIRECTOR OF RESEARCH, ownership code A, individual
Dec 18, 2014 to presentfactForm ADV

Owns (1)

← MCCONNELL PARTNERS GROUP LLCOwnerOWNER, ownership code B, domestic entity
Jul 24, 2014 to presentfactForm ADV

Registered with (1)

← Sonu Sam VargheseAdvisorregistration: previous registration
Jan 26, 2016 to Jul 31, 2019factForm ADV

Dated events

Occurred
Jan 16, 2019
Control person left
Andrew Christopher Campbell (Owner) no longer on Schedule A of Convex Capital Management Llc (listed 2018-02-28, absent 2019-01-16)
Form ADVobserved 5 days ago
Occurred
Jul 24, 2014
First Form ADV filing
Convex Capital Management Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6bde7140-e9d9-7f65-1855-e01370e0dc83
First observed: Jul 24, 2014
Last observed: Mar 5, 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.

CONVEX CAPITAL MANAGEMENT LLC

CRD 166623

WARRENVILLE, 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:6bde7140-e9d9-7f65-1855-e01370e0dc83

Data as of Mar 5, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:09 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CHATTOPADHYAY, SAUMEN

MANAGING MEMBER, CHIEF COMPLIANCE OFFICER

yes

01/2013

Jul 24, 2014

Mar 5, 2019

MCCONNELL, BRIAN

Owner

yes

05/2013

Jul 24, 2014

Mar 5, 2019

VARGHESE, SONU, Sam

DIRECTOR OF RESEARCH

yes

12/2014

Dec 18, 2014

Mar 5, 2019

MCCONNELL PARTNERS GROUP LLC

Owner

06/2013

Jul 24, 2014

Mar 5, 2019

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Feb 28, 2018

$6.6M

n/a

2016

Mar 8, 2017

$3.2M

n/a

2015

Mar 29, 2016

$5.1M

n/a

2014

Mar 20, 2015

$24.1M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$2.0M

$3.2M

-36.9%

$24.1M

-56.5%

n/a