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CRD 110349
STAMFORD, CT
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.
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| ROTHSCHILD SPECIAL OPPORTUNITIES FUND LLC | Hedge Fund | $136M | Jul 3, 2017 | 1 | Jun 30, 2016 | dropped | 021-249458 |
| ROTHSCHILD & CO LARGE-CAP CORE FUND, LLC | Other Private Fund | $38.2M | Oct 30, 2020 | 4 | Feb 22, 2012 | dropped | 021-173681 |
| R ALTERNATIVE INCOME OFFSHORE FUND LTD. | Hedge Fund | $35.4M | Jul 3, 2017 | 2 | Jun 28, 2017 | dropped | 021-279178 |
| ROTHSCHILD SPECIAL OPPORTUNITIES FUND LTD. | Hedge Fund | $32.3M | Jul 3, 2017 | 1 | Jun 28, 2017 | dropped | 021-273944 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BAUDARD, PIERRE, DOMINIQUE | Director | Na | yes | 01/2022 | Mar 29, 2022 | Mar 29, 2023 |
| CLEMENTS, DINA, VICTOROVNA | CHIEF COMPLIANCE OFFICER | Na | yes | 11/2022 | Oct 8, 2015 | Mar 29, 2023 |
| CONCORDIA HOLDING SARL | Shareholder | D | yes | 06/2019 | Feb 22, 2012 | Mar 29, 2023 |
| JONES, TINA | DIRECTOR AND CHIEF INVESTMENT OFFICER | Na | yes | 04/2019 | Oct 22, 2018 | Mar 29, 2023 |
| PARIS ORLEANS HOLDING BANCAIRE SAS | Shareholder | E | yes | 01/2008 | Jun 18, 2012 | Mar 29, 2023 |
| PARIS ORLEANS HOLDING BANCAIRE SAS | Shareholder | C | yes | 06/2012 | Jun 18, 2012 | Mar 29, 2023 |
| POWELL, GARY, ALAN | DIRECTOR AND CHAIRMAN OF THE BOARD | Na | yes | 06/2016 | Jan 2, 2014 | Mar 29, 2023 |
| ROTHSCHILD & CO CONCORDIA SAS | Shareholder | C | yes | 01/2008 | Mar 28, 2019 | Mar 29, 2023 |
| ROTHSCHILD & CO CONTINUATION HOLDINGS AG | SHAREHOLDER, COMMON VOTING | E | yes | 07/2003 | Mar 28, 2019 | Mar 29, 2023 |
| ROTHSCHILD & CO NORTH AMERICA INC. | PARENT OF APPLICANT | E | yes | 12/1987 | Mar 28, 2019 | Mar 29, 2023 |
| ROTHSCHILD & CO SCA (FORMERLY KNOWN AS PARIS ORLEANS SCA) | Shareholder | E | yes | 01/2008 | Mar 27, 2020 | Mar 29, 2023 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| FIVE ARROWS MANAGERS NORTH AMERICA LLC | n/a | Asset manager | $3.4B | N | yes | n/a |
| ROTHSCHILD & CO US INC. | n/a | n/a | n/a | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2022 | Mar 29, 2023 | $6.5B | $6.5B | 31 | 15 | 0 | 3 | $112M |
| 2021 | Mar 29, 2022 | $8.5B | $8.5B | 34 | 17 | 0 | 3 | $137M |
| 2020 | Mar 29, 2021 | $7.7B | $7.7B | 46 | 22 | 0 | 3 | $184M |
| 2019 | Mar 27, 2020 | $9.5B | $9.5B | 40 | 16 | 0 | 4 | $394M |
| 2018 | Mar 28, 2019 | $8.3B | $8.3B | 42 | 15 | 1 | 4 | $395M |
| 2017 | Mar 29, 2018 | $9.4B | $9.4B | 50 | 15 | 1 | 4 | $547M |
| 2016 | Jun 30, 2016 | $6.1B | $6.1B | 61 | 22 | n/a | 5 | $573M |
| 2015 | Jun 26, 2015 | $5.7B | $5.7B | 41 | 20 | n/a | 4 | $546M |
| 2014 | Jun 18, 2014 | $4.8B | $4.8B | 37 | 18 | n/a | 4 | $526M |
| 2013 | Jun 24, 2013 | $4.4B | $4.3B | 31 | 16 | n/a | 4 | $516M |
| 2012 | Jun 18, 2012 | $3.7B | $3.6B | n/a | n/a | n/a | 4 | $501M |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2022 | $6.5B | $8.5B | -23.5% | $9.5B | -12.1% | 31 | 34 | 0 | 0 |