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

FOOTHILL CAPITAL MANAGEMENT, LLC

CRD 298910

FAIR HAVEN, NJ

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:6d5b844c-ffbd-13b1-5e1e-851d9d00ede5

Data as of Mar 30, 2022 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 4
On other graphs: 0
Observed: Sep 26, 2018 to Mar 30, 2022
11 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: $4.2MItem 5.F on the latest filing (2022-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $4.2M
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: 8
Advisory employees: 1
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 1
Individual clients: 0
High net worth clients: 0
SEC number: 801-114195
CRD: 298910
Filings on the tape: 11
First filed: Sep 26, 2018
Latest filed: Mar 30, 2022
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
AUSILI, JOY, DONNEL	CO-PRESIDENT	Na	yes	08/2018	Sep 26, 2018	Mar 30, 2022
BANHAZL, ERIC, MACKENZIE	GENERAL PARTNER	E	yes	07/2014	Sep 26, 2018	Mar 30, 2022
BANHAZL, ERIC, MACKENZIE	Chairman	Na	yes	08/2018	Sep 26, 2018	Mar 30, 2022
BANHAZL, LP	Member	E	yes	08/2018	Sep 26, 2018	Mar 30, 2022
BANHAZL, MAX, JEREMY	MANAGING DIRECTOR, SALES AND MARKETING	Na	yes	08/2018	Sep 26, 2018	Mar 30, 2022
BAUER, KOREY, MATTHEW	MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER	Na	yes	10/2018	Sep 26, 2018	Mar 30, 2022
Dam, Rita	CO-PRESIDENT	Na	yes	08/2018	Sep 26, 2018	Mar 30, 2022
Guindon, Teri	CHIEF FINANCIAL OFFICER	Na	yes	08/2018	Sep 26, 2018	Mar 30, 2022
QUAIN, MICHAEL, KEVIN	CHIEF COMPLIANCE OFFICER	Na	yes	09/2019	Sep 16, 2019	Mar 30, 2022

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
MUTUAL FUND ADMINISTRATION, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Glendora	CA	United States	1	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
2021	Mar 30, 2022	$4.2M	$4.2M	8	1	1	n/a	n/a
2020	Mar 30, 2021	$2.9M	$2.9M	8	1	1	n/a	n/a
2019	Mar 28, 2020	$26.7M	$26.7M	8	1	1	n/a	n/a
2018	Jan 3, 2019	$31.1M	$31.1M	10	2	1	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
2021	$4.2M	$2.9M	45.3%	$31.1M	-48.6%	8	8	1	1

Relationships

Controls (8)

← QUAIN, MICHAEL, KEVINOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 16, 2019 to presentfactForm ADV
← AUSILI, JOY, DONNELOwnerCO-PRESIDENT, ownership code NA, individual
Sep 26, 2018 to presentfactForm ADV
← BAUER, KOREY, MATTHEWOwnerMANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER, ownership code NA, individual
Sep 26, 2018 to presentfactForm ADV
← BANHAZL, MAX, JEREMYOwnerMANAGING DIRECTOR, SALES AND MARKETING, ownership code NA, individual
Sep 26, 2018 to presentfactForm ADV
← Guindon, TeriOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Sep 26, 2018 to presentfactForm ADV
← Dam, RitaOwnerCO-PRESIDENT, ownership code NA, individual
Sep 26, 2018 to presentfactForm ADV
← BANHAZL, ERIC, MACKENZIEOwnerGENERAL PARTNER, ownership code E, individual
Sep 26, 2018 to presentfactForm ADV
← BANHAZL, LPOwnerMEMBER, ownership code E, domestic entity
Sep 26, 2018 to presentfactForm ADV

Dated events

Occurred
Sep 16, 2019
Control person left
Jeanne Diane Drake (Chief Compliance Officer) no longer on Schedule A of Foothill Capital Management, Llc (listed 2019-08-30, absent 2019-09-16)
Form ADVobserved 5 days ago
Occurred
Sep 16, 2019
Control person joined
Kevin Michael Quain (Chief Compliance Officer) appeared on Schedule A of Foothill Capital Management, Llc
Form ADVobserved 5 days ago
Occurred
Jan 3, 2019
Control person left
Amy Centurioni (Assistant Secretary And Compliance Manager) no longer on Schedule A of Foothill Capital Management, Llc (listed 2018-09-26, absent 2019-01-03)
Form ADVobserved 5 days ago
Occurred
Sep 26, 2018
First Form ADV filing
Foothill Capital Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6d5b844c-ffbd-13b1-5e1e-851d9d00ede5
First observed: Sep 26, 2018
Last observed: Mar 30, 2022 54 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.

FOOTHILL CAPITAL MANAGEMENT, LLC

CRD 298910

FAIR HAVEN, NJ

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:6d5b844c-ffbd-13b1-5e1e-851d9d00ede5

Data as of Mar 30, 2022 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:06 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AUSILI, JOY, DONNEL

CO-PRESIDENT

yes

08/2018

Sep 26, 2018

Mar 30, 2022

BANHAZL, ERIC, MACKENZIE

GENERAL PARTNER

yes

07/2014

Sep 26, 2018

Mar 30, 2022

BANHAZL, ERIC, MACKENZIE

Chairman

yes

08/2018

Sep 26, 2018

Mar 30, 2022

BANHAZL, LP

Member

yes

08/2018

Sep 26, 2018

Mar 30, 2022

BANHAZL, MAX, JEREMY

MANAGING DIRECTOR, SALES AND MARKETING

yes

08/2018

Sep 26, 2018

Mar 30, 2022

BAUER, KOREY, MATTHEW

MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER

yes

10/2018

Sep 26, 2018

Mar 30, 2022

Dam, Rita

CO-PRESIDENT

yes

08/2018

Sep 26, 2018

Mar 30, 2022

Guindon, Teri

CHIEF FINANCIAL OFFICER

yes

08/2018

Sep 26, 2018

Mar 30, 2022

QUAIN, MICHAEL, KEVIN

CHIEF COMPLIANCE OFFICER

yes

09/2019

Sep 16, 2019

Mar 30, 2022

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MUTUAL FUND ADMINISTRATION, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Glendora

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 30, 2022

$4.2M

n/a

2020

Mar 30, 2021

$2.9M

n/a

2019

Mar 28, 2020

$26.7M

n/a

2018

Jan 3, 2019

$31.1M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$4.2M

$2.9M

45.3%

$31.1M

-48.6%