DFX Intelligence

Data Factory

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

MACQUARIE CAPITAL INVESTMENT MANAGEMENT LLC

CRD 130352

NY, 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:825607d0-3248-fb43-dcf8-79716be38f0c

Data as of Jun 27, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 2
On other graphs: 0
Observed: Mar 29, 2012 to Jun 27, 2019
21 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: $1.9BItem 5.F on the latest filing (2019-06-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.9B
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: 20
Advisory employees: 14
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 7
Individual clients: 0
High net worth clients: 0
SEC number: 801-62755
CRD: 130352
Filings on the tape: 21
First filed: Mar 29, 2012
Latest filed: Jun 27, 2019
Organised: Limited Liability Company, Delaware

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
FINK, WILLIAM, JOSEPH	CHIEF COMPLIANCE OFFICER	Na	yes	10/2014	Oct 2, 2014	Jun 27, 2019
FRISHBERG, BRADFORD, LEE	MEMBER/PRESIDENT	Na	yes	09/2010	Mar 29, 2012	Jun 27, 2019
LYTLE, SHAWN, KEITH	Member	Na	yes	07/2015	Jul 28, 2015	Jun 27, 2019
MACQUARIE CORPORATE HOLDINGS PTY LIMITED	Owner	E	yes	11/2007	Jul 28, 2015	Jun 27, 2019
MACQUARIE CORPORATE INTERNATIONAL HOLDINGS PTY LIMITED	Owner	E	yes	02/2007	Jul 28, 2015	Jun 27, 2019
MACQUARIE EQUITIES (US) HOLDINGS PTY LIMITED	Owner	E	yes	07/2015	Jul 28, 2015	Jun 27, 2019
MACQUARIE FG HOLDINGS INC	Owner	E	yes	03/2014	Jul 28, 2015	Jun 27, 2019
MACQUARIE FG HOLDINGS INC.	Owner	E	yes	04/2014	May 29, 2014	Jun 27, 2019
MACQUARIE FINANCIAL HOLDINGS PTY LIMITED	Owner	E	yes	11/2007	Jul 28, 2015	Jun 27, 2019
MACQUARIE GROUP (US) HOLDINGS NO. 1 PTY LTD	Owner	E	yes	04/2007	Jul 28, 2015	Jun 27, 2019
MACQUARIE GROUP LIMITED	Owner	E	yes	02/2007	Mar 29, 2012	Jun 27, 2019
SALUS, RICHARD	Treasurer	Na	yes	12/2012	Jun 24, 2013	Jun 27, 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
MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST	n/a	Asset manager	$144B	N	yes	n/a
MACQUARIE INFRASTRUCTURE PARTNERS INC.	n/a	Asset manager	$49B	N	yes	n/a
MIRA AMERICAS, INC.	n/a	Asset manager	$4.3B	N	yes	n/a
MACQUARIE FUNDS MANAGEMENT HONG KONG LIMITED	n/a	Former SEC adviser	$3.2B	N	yes	n/a
MACQUARIE PRIVATE DEBT ASSET MANAGEMENT, LLC	n/a	Asset manager	$526M	N	yes	n/a
FOUR CORNERS CAPITAL MANAGEMENT, LLC	n/a	Former SEC adviser	$34.5M	N	yes	n/a
DELAWARE DISTRIBUTORS, L.P.	n/a	n/a	n/a	N	yes	n/a
MACQUARIE CAPITAL (USA) INC.	n/a	n/a	n/a	N	yes	n/a
MACQUARIE INFRASTRUCTURE AND REAL ASSETS (SALES) CANADA LTD	n/a	n/a	n/a	N	yes	n/a
MACQUARIE INVESTMENT MANAGEMENT GROUP LIMITED	n/a	n/a	n/a	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Sydney	n/a	Australia	6	yes
Philadelphia	Pa	United States	3	yes

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
2019	Jun 27, 2019	$1.9B	$1.9B	20	14	2	n/a	n/a
2018	Jun 28, 2018	$2.3B	$2.3B	20	12	1	n/a	n/a
2017	Jun 29, 2017	$2.1B	$2.1B	21	13	n/a	n/a	n/a
2016	Jun 28, 2016	$1.6B	$1.6B	20	13	n/a	n/a	n/a
2015	Jun 30, 2015	$1.3B	$1.3B	21	12	n/a	n/a	n/a
2014	May 29, 2014	$1.0B	$1.0B	24	12	n/a	n/a	n/a
2013	Jun 24, 2013	$1.2B	$1.2B	22	12	n/a	n/a	n/a
2012	Jun 28, 2012	$1.6B	$1.6B	n/a	n/a	n/a	n/a	n/a

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
2019	$1.9B	$2.3B	-18.6%	$1.6B	5.7%	20	20	2	1

Relationships

Affiliated with (11)

→ NOMURA INVESTMENT MANAGEMENT BUSINESS TRUSTRegistered adviserother investment adviser, common control
factForm ADV
→ FOUR CORNERS CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ MACQUARIE INFRASTRUCTURE PARTNERSRegistered adviserother investment adviser, common control
factForm ADV
→ MACQUARIE FUNDS MANAGEMENT HONG KONG LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
→ MAM AMERICAS, INC.Registered adviserother investment adviser, common control
factForm ADV
→ MACQUARIE ASSET MANAGEMENT CREDIT ADVISERS US, LLCRegistered adviserother investment adviser, common control
factForm ADV
← FOUR CORNERS CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
← MACQUARIE FUNDS MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV
← MACQUARIE FUNDS MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV
← MACQUARIE INFRASTRUCTURE AND REAL ASSETS INC.Registered adviserother investment adviser, common control
factForm ADV
← MACQUARIE GLOBAL OPPORTUNITIES PARTNERS LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (11)

← FRISHBERG, BRADFORD, LEEOwnerMEMBER/PRESIDENT, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← FINK, WILLIAM, JOSEPHOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 2, 2014 to presentfactForm ADV
← SALUS, RICHARDOwnerTREASURER, ownership code NA, individual
Jun 24, 2013 to presentfactForm ADV
← LYTLE, SHAWN, KEITHOwnerMEMBER, ownership code NA, individual
Jul 28, 2015 to presentfactForm ADV
← MACQUARIE CORPORATE HOLDINGS PTY LIMITEDOwnerOWNER, ownership code E, foreign entity
Jul 28, 2015 to presentfactForm ADV
← MACQUARIE CORPORATE INTERNATIONAL HOLDINGS PTY LIMITEDOwnerOWNER, ownership code E, foreign entity
Jul 28, 2015 to presentfactForm ADV
← MACQUARIE EQUITIES (US) HOLDINGS PTY LIMITEDOwnerOWNER, ownership code E, foreign entity
Jul 28, 2015 to presentfactForm ADV
← MACQUARIE FG HOLDINGS INCOwnerOWNER, ownership code E, domestic entity
Jul 28, 2015 to presentfactForm ADV
← MACQUARIE FINANCIAL HOLDINGS PTY LIMITEDOwnerOWNER, ownership code E, foreign entity
Jul 28, 2015 to presentfactForm ADV
← MACQUARIE GROUP (US) HOLDINGS NO. 1 PTY LTDOwnerOWNER, ownership code E, foreign entity
Jul 28, 2015 to presentfactForm ADV
← MACQUARIE GROUP LIMITEDOwnerOWNER, ownership code E, foreign entity
Mar 29, 2012 to presentfactForm ADV

Dated events

Occurred
Jun 27, 2019
Control person left
John Kim (Chief Legal Officer) no longer on Schedule A of Macquarie Capital Investment Management Llc (listed 2018-06-28, absent 2019-06-27)
Form ADVobserved 5 days ago
Occurred
Jun 27, 2019
Control person left
Alan Jonathan Hall (Member) no longer on Schedule A of Macquarie Capital Investment Management Llc (listed 2018-06-28, absent 2019-06-27)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:825607d0-3248-fb43-dcf8-79716be38f0c
First observed: Mar 29, 2012
Last observed: Jun 27, 2019 88 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.

MACQUARIE CAPITAL INVESTMENT MANAGEMENT LLC

CRD 130352

NY, 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:825607d0-3248-fb43-dcf8-79716be38f0c

Data as of Jun 27, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:14 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FINK, WILLIAM, JOSEPH

CHIEF COMPLIANCE OFFICER

yes

10/2014

Oct 2, 2014

Jun 27, 2019

FRISHBERG, BRADFORD, LEE

MEMBER/PRESIDENT

yes

09/2010

Mar 29, 2012

Jun 27, 2019

LYTLE, SHAWN, KEITH

Member

yes

07/2015

Jul 28, 2015

Jun 27, 2019

MACQUARIE CORPORATE HOLDINGS PTY LIMITED

Owner

yes

11/2007

Jul 28, 2015

Jun 27, 2019

MACQUARIE CORPORATE INTERNATIONAL HOLDINGS PTY LIMITED

Owner

yes

02/2007

Jul 28, 2015

Jun 27, 2019

MACQUARIE EQUITIES (US) HOLDINGS PTY LIMITED

Owner

yes

07/2015

Jul 28, 2015

Jun 27, 2019

MACQUARIE FG HOLDINGS INC

Owner

yes

03/2014

Jul 28, 2015

Jun 27, 2019

MACQUARIE FG HOLDINGS INC.

Owner

yes

04/2014

May 29, 2014

Jun 27, 2019

MACQUARIE FINANCIAL HOLDINGS PTY LIMITED

Owner

yes

11/2007

Jul 28, 2015

Jun 27, 2019

MACQUARIE GROUP (US) HOLDINGS NO. 1 PTY LTD

Owner

yes

04/2007

Jul 28, 2015

Jun 27, 2019

MACQUARIE GROUP LIMITED

Owner

yes

02/2007

Mar 29, 2012

Jun 27, 2019

SALUS, RICHARD

Treasurer

yes

12/2012

Jun 24, 2013

Jun 27, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST

n/a

Asset manager

$144B

yes

n/a

MACQUARIE INFRASTRUCTURE PARTNERS INC.

n/a

Asset manager

$49B

yes

n/a

MIRA AMERICAS, INC.

n/a

Asset manager

$4.3B

yes

n/a

MACQUARIE FUNDS MANAGEMENT HONG KONG LIMITED

n/a

Former SEC adviser

$3.2B

yes

n/a

MACQUARIE PRIVATE DEBT ASSET MANAGEMENT, LLC

n/a

Asset manager

$526M

yes

n/a

FOUR CORNERS CAPITAL MANAGEMENT, LLC

n/a

Former SEC adviser

$34.5M

yes

n/a

DELAWARE DISTRIBUTORS, L.P.

n/a

yes

n/a

MACQUARIE CAPITAL (USA) INC.

n/a

yes

n/a

MACQUARIE INFRASTRUCTURE AND REAL ASSETS (SALES) CANADA LTD

n/a

yes

n/a

MACQUARIE INVESTMENT MANAGEMENT GROUP LIMITED

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Sydney

n/a

Australia

yes

Philadelphia

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Jun 27, 2019

$1.9B

n/a

2018

Jun 28, 2018

$2.3B

n/a

2017

Jun 29, 2017

$2.1B

n/a

2016

Jun 28, 2016

$1.6B

n/a

2015

Jun 30, 2015

$1.3B

n/a

2014

May 29, 2014

$1.0B

n/a

2013

Jun 24, 2013

$1.2B

n/a

2012

Jun 28, 2012

$1.6B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$1.9B

$2.3B

-18.6%

$1.6B

5.7%