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

CAPGEN CAPITAL ADVISERS, LLC

CRD 160387

NEW YORK, NY

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Search this name across graphsid dfx:ria:7983da66-bbb8-2f85-49d6-89e59e9110b6

Data as of Mar 27, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 1
On other graphs: 1
Observed: Feb 14, 2012 to Mar 27, 2018
9 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Capgen Capital Advisers, LLC

Private equity manager · shared crd

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: $175MItem 5.F on the latest filing (2018-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $175M
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: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 2
Private funds: 4Schedule D 7.B(1)
Private fund GAV: $175Mgross asset value as reported per fund; never fund size
Custody, client assets: $175M
SEC number: 801-73576
CRD: 160387
Filings on the tape: 9
First filed: Feb 14, 2012
Latest filed: Mar 27, 2018
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
CAPGEN CAPITAL GROUP II LP	Private Equity Fund	$178M	Jan 14, 2016	74	Feb 14, 2012	dropped	n/a
CAPGEN CAPITAL GROUP VI LP	Private Equity Fund	$174M	Mar 27, 2018	73	Feb 14, 2012	reported	n/a
CAPGEN CAPITAL GROUP IV LP	Private Equity Fund	$54.3M	Aug 8, 2016	73	Feb 14, 2012	dropped	n/a
CAPGEN CAPITAL GROUP LP	Private Equity Fund	$27.5M	Mar 10, 2014	74	Feb 14, 2012	dropped	n/a
CAPGEN FINANCIAL GROUP LP	Private Equity Fund	$927,026	Mar 27, 2018	73	Feb 14, 2012	reported	021-108680
CAPGEN CAPITAL GROUP V LP	Private Equity Fund	$0	Mar 27, 2018	0	Feb 14, 2012	reported	n/a
CAPGEN CAPITAL GROUP III LP	Private Equity Fund	$0	Mar 27, 2018	0	Feb 14, 2012	reported	n/a

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
GOLDSTEIN, ROBERT, BERNARD	PRINCIPAL, MEMBER	C	yes	07/2007	Feb 14, 2012	Mar 27, 2018
LUDWIG, EUGENE, ALLAN	MANAGING PRINCIPAL, MANAGING MEMBER	C	yes	07/2007	Feb 14, 2012	Mar 27, 2018
MERLINO, ROBERT, JOSEPH	CHIEF COMPLIANCE OFFICER AND SENIOR VICE PRESIDENT	Na	yes	01/2016	Jan 14, 2016	Mar 27, 2018
ROGERS, CHARLES, KEVIN	CHIEF FINANCIAL OFFICER AND SENIOR VICE PRESIDENT	Na	yes	03/2016	Mar 30, 2016	Mar 27, 2018
ROSE, JOHN, WILSON	PRINCIPAL, MEMBER	C	yes	07/2007	Feb 14, 2012	Mar 27, 2018
SULLIVAN, JOHN, P	MANAGING DIRECTOR	Na	yes	07/2007	Feb 14, 2012	Mar 27, 2018

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
CAPGEN CAPITAL ASSOCIATES GROUP LLC	n/a	n/a	n/a	N	yes	n/a
CAPGEN CAPITAL GROUP III LLC	n/a	n/a	n/a	N	yes	n/a
CAPGEN CAPITAL GROUP V LLC	n/a	n/a	n/a	N	yes	n/a
CAPGEN CAPITAL GROUP VI LLC	n/a	n/a	n/a	N	yes	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
2017	Mar 27, 2018	$175M	$175M	7	5	0	4	$175M
2016	Mar 30, 2017	$329M	$329M	7	5	n/a	4	$329M
2015	Mar 30, 2016	$342M	$342M	7	5	n/a	5	$342M
2014	Mar 16, 2015	$502M	$502M	8	5	n/a	6	$502M
2013	Mar 10, 2014	$427M	$427M	8	5	n/a	7	$427M
2012	Mar 28, 2013	$309M	$309M	9	6	n/a	7	$309M

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	$175M	$329M	-46.9%	$502M	-29.7%	7	7	0	n/a

Relationships

Advises (7)

→ CAPGEN CAPITAL GROUP III LPPrivate fundPrivate Equity Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ CAPGEN FINANCIAL GROUP LPPrivate fundPrivate Equity Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ CAPGEN CAPITAL GROUP VI LPPrivate fundPrivate Equity Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ CAPGEN CAPITAL GROUP V LPPrivate fundPrivate Equity Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ CAPGEN CAPITAL GROUP IV LPPrivate fundPrivate Equity Fund, IA, no longer reported
Feb 14, 2012 to Aug 8, 2016factForm ADV
→ CAPGEN CAPITAL GROUP II LPPrivate fundPrivate Equity Fund, IA, no longer reported
Feb 14, 2012 to Jan 14, 2016factForm ADV
→ CAPGEN CAPITAL GROUP LPPrivate fundPrivate Equity Fund, IA, no longer reported
Feb 14, 2012 to Mar 10, 2014factForm ADV

Controls (6)

← ROSE, JOHN, WILSONOwnerPRINCIPAL, MEMBER, ownership code C, individual
Feb 14, 2012 to presentfactForm ADV
← ROGERS, CHARLES, KEVINOwnerCHIEF FINANCIAL OFFICER AND SENIOR VICE PRESIDENT, ownership code NA, individual
Mar 30, 2016 to presentfactForm ADV
← SULLIVAN, JOHN, POwnerMANAGING DIRECTOR, ownership code NA, individual
Feb 14, 2012 to presentfactForm ADV
← LUDWIG, EUGENE, ALLANOwnerMANAGING PRINCIPAL, MANAGING MEMBER, ownership code C, individual
Feb 14, 2012 to presentfactForm ADV
← MERLINO, ROBERT, JOSEPHOwnerCHIEF COMPLIANCE OFFICER AND SENIOR VICE PRESIDENT, ownership code NA, individual
Jan 14, 2016 to presentfactForm ADV
← GOLDSTEIN, ROBERT, BERNARDOwnerPRINCIPAL, MEMBER, ownership code C, individual
Feb 14, 2012 to presentfactForm ADV

Dated events

Occurred
Mar 27, 2018
Regulatory AUM changed
Capgen Capital Advisers, Llc reported RAUM $174.5M, down 47% from $328.9M (2017-03-30 to 2018-03-27)
Form ADVobserved 4 days ago
$-154M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7983da66-bbb8-2f85-49d6-89e59e9110b6
First observed: Feb 14, 2012
Last observed: Mar 27, 2018 103 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.

CAPGEN CAPITAL ADVISERS, LLC

CRD 160387

NEW YORK, NY

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:7983da66-bbb8-2f85-49d6-89e59e9110b6

Data as of Mar 27, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:45 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

CAPGEN CAPITAL GROUP II LP

Private Equity Fund

$178M

Jan 14, 2016

Feb 14, 2012

dropped

n/a

CAPGEN CAPITAL GROUP VI LP

Private Equity Fund

$174M

Mar 27, 2018

Feb 14, 2012

reported

n/a

CAPGEN CAPITAL GROUP IV LP

Private Equity Fund

$54.3M

Aug 8, 2016

Feb 14, 2012

dropped

n/a

CAPGEN CAPITAL GROUP LP

Private Equity Fund

$27.5M

Mar 10, 2014

Feb 14, 2012

dropped

n/a

CAPGEN FINANCIAL GROUP LP

Private Equity Fund

$927,026

Mar 27, 2018

Feb 14, 2012

reported

021-108680

CAPGEN CAPITAL GROUP V LP

Private Equity Fund

Mar 27, 2018

Feb 14, 2012

reported

n/a

CAPGEN CAPITAL GROUP III LP

Private Equity Fund

Mar 27, 2018

Feb 14, 2012

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GOLDSTEIN, ROBERT, BERNARD

PRINCIPAL, MEMBER

yes

07/2007

Feb 14, 2012

Mar 27, 2018

LUDWIG, EUGENE, ALLAN

MANAGING PRINCIPAL, MANAGING MEMBER

yes

07/2007

Feb 14, 2012

Mar 27, 2018

MERLINO, ROBERT, JOSEPH

CHIEF COMPLIANCE OFFICER AND SENIOR VICE PRESIDENT

yes

01/2016

Jan 14, 2016

Mar 27, 2018

ROGERS, CHARLES, KEVIN

CHIEF FINANCIAL OFFICER AND SENIOR VICE PRESIDENT

yes

03/2016

Mar 30, 2016

Mar 27, 2018

ROSE, JOHN, WILSON

PRINCIPAL, MEMBER

yes

07/2007

Feb 14, 2012

Mar 27, 2018

SULLIVAN, JOHN, P

MANAGING DIRECTOR

yes

07/2007

Feb 14, 2012

Mar 27, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CAPGEN CAPITAL ASSOCIATES GROUP LLC

n/a

yes

n/a

CAPGEN CAPITAL GROUP III LLC

n/a

yes

n/a

CAPGEN CAPITAL GROUP V LLC

n/a

yes

n/a

CAPGEN CAPITAL GROUP VI LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 27, 2018

$175M

2016

Mar 30, 2017

$329M

n/a

$329M

2015

Mar 30, 2016

$342M

n/a

$342M

2014

Mar 16, 2015

$502M

n/a

$502M

2013

Mar 10, 2014

$427M

n/a

$427M

2012

Mar 28, 2013

$309M

n/a

$309M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$175M

$329M

-46.9%

$502M

-29.7%

n/a