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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

PHALANX CAPITAL MANAGEMENT, LLC

CRD 134439

CHICAGO, 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:6fe31225-eb76-35d7-bc39-eb460580a451

Data as of Mar 26, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Mar 30, 2012 to Mar 26, 2019
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: $419MItem 5.F on the latest filing (2019-03-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $419M
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: 6
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 4
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $81.3Mgross asset value as reported per fund; never fund size
Custody, client assets: $81.3M
SEC number: 801-64079
CRD: 134439
Filings on the tape: 11
First filed: Mar 30, 2012
Latest filed: Mar 26, 2019
Organised: Limited Liability Company, 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
PHALANX JAPAN AUSTRALASIA MULTI-STRATEGY (CAYMAN) FUND, LTD.	Hedge Fund	$81.6M	Apr 15, 2014	41	Mar 30, 2012	dropped	021-9999999999
PHALANX JAPAN AUSTRALASIA MULTI-STRATEGY (U.S.) FUND, L.P.	Hedge Fund	$31.2M	Apr 15, 2014	58	Mar 30, 2012	dropped	021-9999999999
JAPAN SYNTHETIC WARRANT FUND	Hedge Fund	$5.0M	Jan 12, 2022	1	Mar 29, 2021	reported	n/a
PHALANX JAPAN AUSTRALASIA MULTI-STRATEGY FUND, LTD.	Hedge Fund	$5.0M	Jan 12, 2022	1	Mar 30, 2012	reported	021-77911

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
MCGUIRE, CHRISTOPHER, SCOTT	CHIEF COMPLIANCE OFFICER	E	yes	02/2005	Mar 30, 2012	Mar 26, 2019
MCGUIRE, ANTHONY	Partner	C	no	08/2007	Mar 30, 2012	Mar 26, 2019

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
ANTHONY MCGUIRE	n/a	n/a	n/a	Y	yes	n/a
BALAN MURUGESU	n/a	n/a	n/a	N	no	n/a
CHRISTOPHER SCOTT MCGUIRE	n/a	n/a	n/a	Y	yes	n/a
PHILIP HUGHES	n/a	n/a	n/a	N	no	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
2018	Mar 26, 2019	$419M	$419M	6	3	0	1	$81.3M
2017	Mar 29, 2018	$757M	$757M	6	3	0	1	$2.5B
2016	Mar 6, 2017	$298M	$298M	5	1	n/a	1	$109M
2015	Mar 30, 2016	$113M	$113M	4	1	n/a	1	$113M
2014	Mar 30, 2015	$157M	$157M	7	3	n/a	1	$155M
2013	Mar 17, 2014	$818M	$818M	12	4	n/a	3	$681M
2012	Mar 28, 2013	$252M	$252M	10	3	n/a	3	$276M
2011	Mar 30, 2012	$381M	$381M	n/a	n/a	n/a	3	$226M

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
2018	$419M	$757M	-44.7%	$113M	54.6%	6	6	0	0

Relationships

Advises (4)

→ JAPAN SYNTHETIC WARRANT FUNDPrivate fundHedge Fund, ERA
Mar 29, 2021 to presentfactForm ADV
→ PHALANX JAPAN AUSTRALASIA MULTI-STRATEGY FUND, LTD.Private fundHedge Fund, ERA
Mar 30, 2012 to presentfactForm ADV
→ PHALANX JAPAN AUSTRALASIA MULTI-STRATEGY (U.S.) FUND, L.P.Private fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Apr 15, 2014factForm ADV
→ PHALANX JAPAN AUSTRALASIA MULTI-STRATEGY (CAYMAN) FUND, LTD.Private fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Apr 15, 2014factForm ADV

Controls (1)

← MCGUIRE, CHRISTOPHER, SCOTTOwnerCHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 30, 2012 to presentfactForm ADV

Owns (1)

← MCGUIRE, ANTHONYOwnerPARTNER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV

Dated events

Occurred
Mar 26, 2019
Regulatory AUM changed
Phalanx Capital Management, Llc reported RAUM $418.8M, down 45% from $756.8M (2018-04-12 to 2019-03-26)
Form ADVobserved 4 days ago
$-338M
Occurred
Mar 29, 2018
Regulatory AUM changed
Phalanx Capital Management, Llc reported RAUM $756.8M, up 154% from $297.6M (2017-03-06 to 2018-03-29)
Form ADVobserved 4 days ago
$459M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6fe31225-eb76-35d7-bc39-eb460580a451
First observed: Mar 30, 2012
Last observed: Mar 26, 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.

PHALANX CAPITAL MANAGEMENT, LLC

CRD 134439

CHICAGO, 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:6fe31225-eb76-35d7-bc39-eb460580a451

Data as of Mar 26, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:53 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

PHALANX JAPAN AUSTRALASIA MULTI-STRATEGY (CAYMAN) FUND, LTD.

Hedge Fund

$81.6M

Apr 15, 2014

Mar 30, 2012

dropped

021-9999999999

PHALANX JAPAN AUSTRALASIA MULTI-STRATEGY (U.S.) FUND, L.P.

Hedge Fund

$31.2M

Apr 15, 2014

Mar 30, 2012

dropped

021-9999999999

JAPAN SYNTHETIC WARRANT FUND

Hedge Fund

$5.0M

Jan 12, 2022

Mar 29, 2021

reported

n/a

PHALANX JAPAN AUSTRALASIA MULTI-STRATEGY FUND, LTD.

Hedge Fund

$5.0M

Jan 12, 2022

Mar 30, 2012

reported

021-77911

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MCGUIRE, CHRISTOPHER, SCOTT

CHIEF COMPLIANCE OFFICER

yes

02/2005

Mar 30, 2012

Mar 26, 2019

MCGUIRE, ANTHONY

Partner

08/2007

Mar 30, 2012

Mar 26, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ANTHONY MCGUIRE

n/a

yes

n/a

BALAN MURUGESU

n/a

CHRISTOPHER SCOTT MCGUIRE

n/a

yes

n/a

PHILIP HUGHES

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 26, 2019

$419M

$81.3M

2017

Mar 29, 2018

$757M

$2.5B

2016

Mar 6, 2017

$298M

n/a

$109M

2015

Mar 30, 2016

$113M

n/a

$113M

2014

Mar 30, 2015

$157M

n/a

$155M

2013

Mar 17, 2014

$818M

n/a

$681M

2012

Mar 28, 2013

$252M

n/a

$276M

2011

Mar 30, 2012

$381M

n/a

$226M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$419M

$757M

-44.7%

$113M

54.6%