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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

CLINTON GROUP, INC

CRD 106253

NEW YORK, NY

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Search this name across graphsid dfx:ria:7c02b3aa-1c39-71de-978f-130e93e14327

Data as of Apr 28, 2023 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 27
Dated events: 7
On other graphs: 0
Observed: Mar 28, 2012 to Apr 28, 2023
27 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 0
Advisory employees: 0
Offices: 0Schedule D 1.F, beyond the principal office
Individual clients: 0
High net worth clients: 0
SEC number: 801-39692
CRD: 106253
Filings on the tape: 27
First filed: Mar 28, 2012
Latest filed: Apr 28, 2023
Organised: Corporation, 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
ADIRONDACK 2005-2 LTD	Securitized Asset Fund	$1.2B	Sep 19, 2012	1	Mar 28, 2012	dropped	n/a
CLINTON LIGHTHOUSE EQUITY STRATEGIES FUND (OFFSHORE), L.P	Hedge Fund	$553M	Jul 26, 2016	24	Mar 12, 2015	dropped	n/a
ADIRONDACK 2005-1 LTD	Securitized Asset Fund	$322M	Mar 29, 2022	1	Mar 28, 2012	reported	n/a
SHINNECOCK CLO 2006-1 LTD	Securitized Asset Fund	$238M	Oct 8, 2014	1	Mar 28, 2012	dropped	n/a
ERGOS OFFSHORE FUND LTD	Other Private Fund	$54.8M	Nov 19, 2013	1	Mar 27, 2013	dropped	n/a
CLINTON LIGHTHOUSE EQUITY STRATEGIES MASTER FUND LTD	Hedge Fund	$33.2M	Mar 29, 2018	5	Apr 20, 2016	dropped	n/a
CLINTON EQUITY STRATEGIES MASTER FUND LTD	Hedge Fund	$27.6M	Jan 30, 2020	13	Mar 28, 2012	dropped	021-96831
VARICK STRUCTURED ASSET FUNDING LTD	Securitized Asset Fund	$21.2M	Feb 14, 2023	1	Mar 28, 2012	reported	n/a
SBAV LP	Other Private Fund	$19.4M	Dec 16, 2015	4	Mar 28, 2012	dropped	021-159159
BLEECKER STRUCTURED ASSET FUND LTD	Securitized Asset Fund	$17.8M	Feb 14, 2023	1	Mar 28, 2012	reported	n/a
CLINTON MAGNOLIA MASTER FUND, LTD.	Hedge Fund	$17.3M	Jul 26, 2016	10	Mar 28, 2012	dropped	021-128921
CGI WHITEHALL UNIVERSAL FUND, L.P.	Hedge Fund	$16.6M	Jul 26, 2016	1	Mar 28, 2012	dropped	n/a
HCM CLINTON EQUITY STRATEGIESLTD	Hedge Fund	$6.0M	Mar 29, 2018	2	Jul 26, 2016	dropped	n/a
CHANNEL COMMERCE PARTNERS L.P.	Hedge Fund	$3.2M	Oct 8, 2014	6	Mar 6, 2014	dropped	n/a
CLINTON SPECIAL OPPORTUNITIES MASTER FUND, LTD	Hedge Fund	$2.7M	Feb 14, 2023	3	Mar 28, 2012	reported	021-96529
CLINTON MULTISTRATEGY MASTER FUND, LTD	Hedge Fund	$2.0M	Sep 19, 2012	40	Mar 28, 2012	dropped	n/a
CLINTON SPOTLIGHT MASTER FUND LP	Hedge Fund	$515,474	Dec 16, 2015	1	Mar 28, 2012	dropped	021-174604
CLINTON MADISON INVESTMENT FUND, L.P.	Hedge Fund	$180,807	Mar 23, 2020	1	Nov 16, 2016	dropped	n/a
CLINTON RELATIONAL OPPORTUNITY MASTER FUND LP	Hedge Fund	$69,983	Mar 29, 2018	5	Mar 27, 2013	dropped	021-190364
CLINTON RETAIL OPPORTUNITY PARTNERSHIP, L.P.	Hedge Fund	$0	Oct 8, 2014	0	Mar 28, 2012	dropped	021-166724

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
CGI HOLDINGS, INC.	Shareholder	E	yes	12/2001	Mar 28, 2012	Apr 28, 2023
HALL, GEORGE, ESTES	President	E	yes	05/1999	Mar 28, 2012	Apr 28, 2023
HALL, GEORGE, ESTES	CEO/PRESIDENT/DIRECTOR/CHIEF COMPLIANCE OFFICER	Na	yes	08/1991	Mar 28, 2012	Apr 28, 2023
MADISON AVENUE CAPITAL HOLDINGS INC.	SOLE OWNER	E	yes	12/2001	Mar 31, 2017	Apr 28, 2023

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
CLINTON CO-INVESTMENT LLC	n/a	n/a	n/a	N	yes	n/a
CLINTON GP INC.	n/a	n/a	n/a	Y	yes	n/a
CLINTON INVESTMENT GROUP INC.	n/a	n/a	n/a	N	yes	n/a
CLINTON UNION LEAGUE LLC	n/a	n/a	n/a	Y	no	n/a
ESTES CAPITAL , LP	n/a	n/a	n/a	N	yes	n/a
ESTES HOLDINGS, LLC	n/a	n/a	n/a	N	yes	n/a
ESTES MANAGEMENT, LLC	n/a	n/a	n/a	N	yes	n/a
GEH CAPITAL INC	n/a	n/a	n/a	N	yes	n/a
SPORT-BLX INC	n/a	n/a	n/a	N	yes	n/a
SPORT-BLX SECURITIES INC.	n/a	n/a	n/a	N	yes	n/a
STRATEGIC CO-INVESTMENT PARTNERS (CAYMAN) LP	n/a	n/a	n/a	N	yes	n/a
STRATEGIC CO-INVESTMENT PARTNERS GP LLC	n/a	n/a	n/a	N	yes	n/a
STRATEGIC CO-INVESTMENT PARTNERS GP LP	n/a	n/a	n/a	N	yes	n/a
STRATEGIC CO-INVESTMENT PARTNERS LP	n/a	n/a	n/a	N	yes	n/a
STRATEGIC CO-INVESTMENT PARTNERS MANAGEMENT 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
2022	Feb 14, 2023	$30.6M	$30.6M	1	1	0	3	$41.7M
2021	Mar 29, 2022	$290M	$290M	1	1	0	4	$364M
2020	Mar 26, 2021	$315M	$315M	1	1	0	4	$364M
2019	Mar 23, 2020	$460M	$460M	2	1	0	5	$364M
2018	Mar 28, 2019	$593M	$593M	21	16	1	6	$452M
2017	Mar 29, 2018	$1.4B	$1.4B	39	29	1	9	$892M
2016	Mar 31, 2017	$2.8B	$2.8B	53	40	n/a	9	$1.8B
2015	Mar 30, 2016	$6.7B	$6.7B	38	25	n/a	9	$4.1B
2014	Mar 12, 2015	$2.1B	$2.1B	40	25	n/a	11	$2.0B
2013	Mar 6, 2014	$2.0B	$2.0B	40	25	n/a	13	$2.0B
2012	Mar 27, 2013	$1.8B	$1.8B	40	25	n/a	13	$1.8B
2011	Mar 28, 2012	$3.0B	$3.0B	n/a	n/a	n/a	13	$3.0B

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
2022	n/a	$290M	n/a	$460M	n/a	0	1	0	0

Relationships

Controls (3)

← HALL, GEORGE, ESTESOwnerPRESIDENT, ownership code E, individual
Mar 28, 2012 to presentfactForm ADV
← CGI HOLDINGS, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 28, 2012 to presentfactForm ADV
← MADISON AVENUE CAPITAL HOLDINGS INC.OwnerSOLE OWNER, ownership code E, domestic entity
Mar 31, 2017 to presentfactForm ADV

Advises (20)

→ VARICK STRUCTURED ASSET FUNDING LTDPrivate fundSecuritized Asset Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ CLINTON SPECIAL OPPORTUNITIES MASTER FUND, LTDPrivate fundHedge Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ BLEECKER STRUCTURED ASSET FUND LTDPrivate fundSecuritized Asset Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ ADIRONDACK 2005-1 LTDPrivate fundSecuritized Asset Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ CLINTON MADISON INVESTMENT FUND, L.P.Private fundHedge Fund, IA, no longer reported
Nov 16, 2016 to Mar 23, 2020factForm ADV
→ CLINTON EQUITY STRATEGIES MASTER FUND LTDPrivate fundHedge Fund, IA, no longer reported
Mar 28, 2012 to Jan 30, 2020factForm ADV
→ HCM CLINTON EQUITY STRATEGIESLTDPrivate fundHedge Fund, IA, no longer reported
Jul 26, 2016 to Mar 29, 2018factForm ADV
→ CLINTON RELATIONAL OPPORTUNITY MASTER FUND LPPrivate fundHedge Fund, IA, no longer reported
Mar 27, 2013 to Mar 29, 2018factForm ADV
→ CLINTON LIGHTHOUSE EQUITY STRATEGIES MASTER FUND LTDPrivate fundHedge Fund, IA, no longer reported
Apr 20, 2016 to Mar 29, 2018factForm ADV
→ CLINTON LIGHTHOUSE EQUITY STRATEGIES FUND (OFFSHORE), L.PPrivate fundHedge Fund, IA, no longer reported
Mar 12, 2015 to Jul 26, 2016factForm ADV
→ CGI WHITEHALL UNIVERSAL FUND, L.P.Private fundHedge Fund, IA, no longer reported
Mar 28, 2012 to Jul 26, 2016factForm ADV
→ CLINTON MAGNOLIA MASTER FUND, LTD.Private fundHedge Fund, IA, no longer reported
Mar 28, 2012 to Jul 26, 2016factForm ADV
→ CLINTON SPOTLIGHT MASTER FUND LPPrivate fundHedge Fund, IA, no longer reported
Mar 28, 2012 to Dec 16, 2015factForm ADV
→ SBAV LPPrivate fundOther Private Fund, IA, no longer reported
Mar 28, 2012 to Dec 16, 2015factForm ADV
→ CLINTON RETAIL OPPORTUNITY PARTNERSHIP, L.P.Private fundHedge Fund, IA, no longer reported
Mar 28, 2012 to Oct 8, 2014factForm ADV
→ CHANNEL COMMERCE PARTNERS L.P.Private fundHedge Fund, IA, no longer reported
Mar 6, 2014 to Oct 8, 2014factForm ADV
→ SHINNECOCK CLO 2006-1 LTDPrivate fundSecuritized Asset Fund, IA, no longer reported
Mar 28, 2012 to Oct 8, 2014factForm ADV
→ ERGOS OFFSHORE FUND LTDPrivate fundOther Private Fund, IA, no longer reported
Mar 27, 2013 to Nov 19, 2013factForm ADV
→ ADIRONDACK 2005-2 LTDPrivate fundSecuritized Asset Fund, IA, no longer reported
Mar 28, 2012 to Sep 19, 2012factForm ADV
→ CLINTON MULTISTRATEGY MASTER FUND, LTDPrivate fundHedge Fund, IA, no longer reported
Mar 28, 2012 to Sep 19, 2012factForm ADV

Affiliated with (3)

← GLASSBRIDGE ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← CLINTON RETAIL INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← NORTH STARS TECHNOLOGIES LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV

Dated events

Occurred
Feb 14, 2023
Regulatory AUM changed
Clinton Group, Inc reported RAUM $30.6M, down 89% from $289.7M (2022-03-29 to 2023-02-14)
Form ADVobserved 6 days ago
$-259M
Occurred
Mar 26, 2021
Regulatory AUM changed
Clinton Group, Inc reported RAUM $315.2M, down 32% from $460.3M (2020-03-23 to 2021-03-26)
Form ADVobserved 6 days ago
$-145M
Occurred
Mar 26, 2021
Control person left
Nader Behbehani (Chief Compliance Officer) no longer on Schedule A of Clinton Group, Inc (listed 2020-03-23, absent 2021-03-26)
Form ADVobserved 6 days ago
Occurred
Mar 23, 2020
Control person left
Lawrence John Hall (Secretary/Director) no longer on Schedule A of Clinton Group, Inc (listed 2020-01-30, absent 2020-03-23)
Form ADVobserved 6 days ago
Occurred
Mar 23, 2020
Control person left
Francis Ruchalski (Cfo/Director) no longer on Schedule A of Clinton Group, Inc (listed 2020-01-30, absent 2020-03-23)
Form ADVobserved 6 days ago
Occurred
Mar 28, 2019
Regulatory AUM changed
Clinton Group, Inc reported RAUM $592.5M, down 58% from $1.4B (2018-03-29 to 2019-03-28)
Form ADVobserved 6 days ago
$-805M
Occurred
Mar 29, 2018
Regulatory AUM changed
Clinton Group, Inc reported RAUM $1.4B, down 50% from $2.8B (2017-08-04 to 2018-03-29)
Form ADVobserved 6 days ago
$-1.4B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7c02b3aa-1c39-71de-978f-130e93e14327
First observed: Mar 28, 2012
Last observed: Apr 28, 2023 41 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.

CLINTON GROUP, INC

CRD 106253

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:7c02b3aa-1c39-71de-978f-130e93e14327

Data as of Apr 28, 2023 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:02 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

ADIRONDACK 2005-2 LTD

Securitized Asset Fund

$1.2B

Sep 19, 2012

Mar 28, 2012

dropped

n/a

CLINTON LIGHTHOUSE EQUITY STRATEGIES FUND (OFFSHORE), L.P

Hedge Fund

$553M

Jul 26, 2016

Mar 12, 2015

dropped

n/a

ADIRONDACK 2005-1 LTD

Securitized Asset Fund

$322M

Mar 29, 2022

Mar 28, 2012

reported

n/a

SHINNECOCK CLO 2006-1 LTD

Securitized Asset Fund

$238M

Oct 8, 2014

Mar 28, 2012

dropped

n/a

ERGOS OFFSHORE FUND LTD

Other Private Fund

$54.8M

Nov 19, 2013

Mar 27, 2013

dropped

n/a

CLINTON LIGHTHOUSE EQUITY STRATEGIES MASTER FUND LTD

Hedge Fund

$33.2M

Mar 29, 2018

Apr 20, 2016

dropped

n/a

CLINTON EQUITY STRATEGIES MASTER FUND LTD

Hedge Fund

$27.6M

Jan 30, 2020

Mar 28, 2012

dropped

021-96831

VARICK STRUCTURED ASSET FUNDING LTD

Securitized Asset Fund

$21.2M

Feb 14, 2023

Mar 28, 2012

reported

n/a

SBAV LP

Other Private Fund

$19.4M

Dec 16, 2015

Mar 28, 2012

dropped

021-159159

BLEECKER STRUCTURED ASSET FUND LTD

Securitized Asset Fund

$17.8M

Feb 14, 2023

Mar 28, 2012

reported

n/a

CLINTON MAGNOLIA MASTER FUND, LTD.

Hedge Fund

$17.3M

Jul 26, 2016

Mar 28, 2012

dropped

021-128921

CGI WHITEHALL UNIVERSAL FUND, L.P.

Hedge Fund

$16.6M

Jul 26, 2016

Mar 28, 2012

dropped

n/a

HCM CLINTON EQUITY STRATEGIESLTD

Hedge Fund

$6.0M

Mar 29, 2018

Jul 26, 2016

dropped

n/a

CHANNEL COMMERCE PARTNERS L.P.

Hedge Fund

$3.2M

Oct 8, 2014

Mar 6, 2014

dropped

n/a

CLINTON SPECIAL OPPORTUNITIES MASTER FUND, LTD

Hedge Fund

$2.7M

Feb 14, 2023

Mar 28, 2012

reported

021-96529

CLINTON MULTISTRATEGY MASTER FUND, LTD

Hedge Fund

$2.0M

Sep 19, 2012

Mar 28, 2012

dropped

n/a

CLINTON SPOTLIGHT MASTER FUND LP

Hedge Fund

$515,474

Dec 16, 2015

Mar 28, 2012

dropped

021-174604

CLINTON MADISON INVESTMENT FUND, L.P.

Hedge Fund

$180,807

Mar 23, 2020

Nov 16, 2016

dropped

n/a

CLINTON RELATIONAL OPPORTUNITY MASTER FUND LP

Hedge Fund

$69,983

Mar 29, 2018

Mar 27, 2013

dropped

021-190364

CLINTON RETAIL OPPORTUNITY PARTNERSHIP, L.P.

Hedge Fund

Oct 8, 2014

Mar 28, 2012

dropped

021-166724

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CGI HOLDINGS, INC.

Shareholder

yes

12/2001

Mar 28, 2012

Apr 28, 2023

HALL, GEORGE, ESTES

President

yes

05/1999

Mar 28, 2012

Apr 28, 2023

HALL, GEORGE, ESTES

CEO/PRESIDENT/DIRECTOR/CHIEF COMPLIANCE OFFICER

yes

08/1991

Mar 28, 2012

Apr 28, 2023

MADISON AVENUE CAPITAL HOLDINGS INC.

SOLE OWNER

yes

12/2001

Mar 31, 2017

Apr 28, 2023

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CLINTON CO-INVESTMENT LLC

n/a

yes

n/a

CLINTON GP INC.

n/a

yes

n/a

CLINTON INVESTMENT GROUP INC.

n/a

yes

n/a

CLINTON UNION LEAGUE LLC

n/a

ESTES CAPITAL , LP

n/a

yes

n/a

ESTES HOLDINGS, LLC

n/a

yes

n/a

ESTES MANAGEMENT, LLC

n/a

yes

n/a

GEH CAPITAL INC

n/a

yes

n/a

SPORT-BLX INC

n/a

yes

n/a

SPORT-BLX SECURITIES INC.

n/a

yes

n/a

STRATEGIC CO-INVESTMENT PARTNERS (CAYMAN) LP

n/a

yes

n/a

STRATEGIC CO-INVESTMENT PARTNERS GP LLC

n/a

yes

n/a

STRATEGIC CO-INVESTMENT PARTNERS GP LP

n/a

yes

n/a

STRATEGIC CO-INVESTMENT PARTNERS LP

n/a

yes

n/a

STRATEGIC CO-INVESTMENT PARTNERS MANAGEMENT LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Feb 14, 2023

$30.6M

$41.7M

2021

Mar 29, 2022

$290M

$364M

2020

Mar 26, 2021

$315M

$364M

2019

Mar 23, 2020

$460M

$364M

2018

Mar 28, 2019

$593M

$452M

2017

Mar 29, 2018

$1.4B

$892M

2016

Mar 31, 2017

$2.8B

n/a

$1.8B

2015

Mar 30, 2016

$6.7B

n/a

$4.1B

2014

Mar 12, 2015

$2.1B

n/a

$2.0B

2013

Mar 6, 2014

$2.0B

n/a

$2.0B

2012

Mar 27, 2013

$1.8B

n/a

$1.8B

2011

Mar 28, 2012

$3.0B

n/a

$3.0B

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

n/a

$290M

n/a

$460M

n/a