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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

CAIN BROTHERS ASSET MANAGEMENT, LLC

CRD 151994

ORLANDO, FL

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:75884bac-17eb-4735-57da-14b149a8a51f

Data as of Apr 30, 2015 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Apr 30, 2015
9 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: $1.6BItem 5.F on the latest filing (2015-04-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.6B
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: 7
Advisory employees: 6
Accounts: 51
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $33.4Mgross asset value as reported per fund; never fund size
Custody, client assets: $37.0M
SEC number: 801-70798
CRD: 151994
Filings on the tape: 9
First filed: Mar 29, 2012
Latest filed: Apr 30, 2015
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
CBAM INTREPID MASTER FUND LTD.	Hedge Fund	$45.8M	Jun 10, 2014	9	Mar 29, 2012	reported	021-164527

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
BEALE, LESLIE, LOGAN	CHIEF COMPLIANCE OFFICER	Na	yes	03/2015	Apr 30, 2015	Apr 30, 2015
BPV CAPITAL MANAGEMENT, LLC	SOLE MEMBER	E	yes	03/2015	Apr 30, 2015	Apr 30, 2015
NORTHSHORE MANAGEMENT COMPANY	Member	C	yes	03/2015	Apr 30, 2015	Apr 30, 2015
WEST, MICHAEL, RAY	President	Na	yes	03/2015	Apr 30, 2015	Apr 30, 2015

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
BPV CAPITAL MANAGEMENT, LLC	n/a	Former SEC adviser	$400M	Y	no	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Knoxville	Tn	United States	n/a	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
2014	Mar 30, 2015	$1.6B	$1.6B	7	6	n/a	1	$33.4M
2013	Mar 31, 2014	$1.6B	$1.6B	8	6	n/a	2	$78.6M
2012	Apr 1, 2013	$2.0B	$2.0B	9	6	n/a	2	$396M
2011	Mar 29, 2012	$1.9B	$1.9B	n/a	n/a	n/a	2	$305M

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
2014	$1.6B	$1.6B	3.3%	$1.9B	-5.5%	7	8	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
BPV CAPITAL MANAGEMENT, LLC	3	Sep 2, 2015	Mar 15, 2016	ORLANDO, FL	Firm absorbed	Other	100.0%

Relationships

Affiliated with (1)

→ BPV CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser, control
factForm ADV

Controls (4)

← BPV CAPITAL MANAGEMENT, LLCOwnerSOLE MEMBER, ownership code E, domestic entity
Apr 30, 2015 to presentfactForm ADV
← WEST, MICHAEL, RAYOwnerPRESIDENT, ownership code NA, individual
Apr 30, 2015 to presentfactForm ADV
← BEALE, LESLIE, LOGANOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 30, 2015 to presentfactForm ADV
← NORTHSHORE MANAGEMENT COMPANYOwnerMEMBER, ownership code C, domestic entity
Apr 30, 2015 to presentfactForm ADV

Advises (1)

→ CBAM INTREPID MASTER FUND LTD.Private fundHedge Fund, IA
Mar 29, 2012 to presentfactForm ADV

Moved with (1)

→ BPV CAPITAL MANAGEMENT, LLCRegistered adviser3 advisors, firm absorbed, same day
Sep 2, 2015 to Mar 15, 2016factForm ADV

Registered with (4)

← THOMAS DENNIS FANTAdvisorregistration: previous registration
Apr 9, 2010 to Sep 2, 2015factForm ADV
← CORINNE SABRINA PERIPOLIAdvisorregistration: previous registration
Nov 17, 2010 to Sep 2, 2015factForm ADV
← FRANCISCO JAVIER PEREZAdvisorregistration: previous registration
Sep 19, 2010 to Sep 2, 2015factForm ADV
← TIMOTHY JAMES SHEEHANAdvisorregistration: previous registration
Feb 10, 2010 to Apr 6, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:75884bac-17eb-4735-57da-14b149a8a51f
First observed: Mar 29, 2012
Last observed: Apr 30, 2015 138 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.

CAIN BROTHERS ASSET MANAGEMENT, LLC

CRD 151994

ORLANDO, FL

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:75884bac-17eb-4735-57da-14b149a8a51f

Data as of Apr 30, 2015 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:52 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

CBAM INTREPID MASTER FUND LTD.

Hedge Fund

$45.8M

Jun 10, 2014

Mar 29, 2012

reported

021-164527

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BEALE, LESLIE, LOGAN

CHIEF COMPLIANCE OFFICER

yes

03/2015

Apr 30, 2015

BPV CAPITAL MANAGEMENT, LLC

SOLE MEMBER

yes

03/2015

Apr 30, 2015

NORTHSHORE MANAGEMENT COMPANY

Member

yes

03/2015

Apr 30, 2015

WEST, MICHAEL, RAY

President

yes

03/2015

Apr 30, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BPV CAPITAL MANAGEMENT, LLC

n/a

Former SEC adviser

$400M

n/a

City

State

Country

Employees

Also broker-dealer

Knoxville

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 30, 2015

$1.6B

n/a

$33.4M

2013

Mar 31, 2014

$1.6B

n/a

$78.6M

2012

Apr 1, 2013

$2.0B

n/a

$396M

2011

Mar 29, 2012

$1.9B

n/a

$305M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$1.6B

3.3%

$1.9B

-5.5%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

BPV CAPITAL MANAGEMENT, LLC

Sep 2, 2015

Mar 15, 2016

ORLANDO, FL

Firm absorbed

Other

100.0%