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

SHOTT CAPITAL MANAGEMENT, LLC

CRD 128440

SAN FRANCISCO, CA

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:831e0527-cf74-9e91-06ad-5197df51a26f

Data as of Apr 17, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 0
On other graphs: 0
Observed: Mar 26, 2012 to Apr 17, 2012
2 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: $1.4BItem 5.F on the latest filing (2012-04-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.4B
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
Accounts: 38
Custody, client assets: $0
SEC number: 801-62348
CRD: 128440
Filings on the tape: 2
First filed: Mar 26, 2012
Latest filed: Apr 17, 2012
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
BERRY, RODERICK, ROBERT	MANAGING DIRECTOR	Na	yes	11/2008	Mar 26, 2012	Apr 17, 2012
CAPITAL ALLIANCE PARTNERS, LLC	Member	C	yes	07/2003	Mar 26, 2012	Apr 17, 2012
CHASE, JARED, ALVAH	Director	Na	yes	11/2008	Mar 26, 2012	Apr 17, 2012
HOLLAND, GLEN, MICHAEL	MANAGING DIRECTOR	Na	yes	11/2008	Mar 26, 2012	Apr 17, 2012
JOHNSON, SHAWN, C.D.	Director	Na	yes	05/2009	Mar 26, 2012	Apr 17, 2012
LIMETREE INVESTMENTS, INC	Member	C	yes	07/2000	Mar 26, 2012	Apr 17, 2012
MARSHALL, STEPHEN, HATHAWAY	Director	Na	yes	11/2008	Mar 26, 2012	Apr 17, 2012
MINUTOLI, STEPHEN, PAUL	MANAGING DIRECTOR	Na	yes	11/2008	Mar 26, 2012	Apr 17, 2012
STATE STREET CORPORATION	Shareholder	E	yes	06/1990	Mar 26, 2012	Apr 17, 2012
STATE STREET GLOBAL ADVISORS, INC	Member	D	yes	07/2000	Mar 26, 2012	Apr 17, 2012
STATE STREET GLOBAL ALLIANCE, LLC, A SUBSIDIARY OF STATE STREET CORPORATION	Member	E	yes	07/2003	Mar 26, 2012	Apr 17, 2012
STICHING PENSION FUNDS ABP	Shareholder	E	yes	07/2000	Mar 26, 2012	Apr 17, 2012
WOZNIAK, PAUL	CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR	Na	yes	10/2004	Mar 26, 2012	Apr 17, 2012

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
SSGA FUNDS MANAGEMENT, INC.	n/a	Asset manager	$1421B	N	yes	n/a
STATE STREET GLOBAL ADVISORS LIMITED	n/a	Former SEC adviser	$424B	N	yes	n/a
THE TUCKERMAN GROUP LLC	n/a	Former SEC adviser	$7.3B	N	yes	n/a
SSARIS ADVISORS LLC	n/a	Former SEC adviser	$325M	N	yes	n/a
SSARIS ADVISORS LLC	n/a	Former SEC adviser	$325M	N	yes	n/a
STATE STREET BANK AND TRUST COMPANY	n/a	n/a	n/a	N	yes	n/a
STATE STREET GLOBAL MARKETS, LLC	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
Boston	Ma	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
2011	Mar 26, 2012	$1.4B	$1.4B	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
2011	$1.4B	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (4)

→ TUCKERMAN GROUP LLCRegistered adviserother investment adviser, common control
factForm ADV
→ SSGA FUNDS MANAGEMENT, INC.Registered adviserother investment adviser, common control
factForm ADV
→ STATE STREET GLOBAL ADVISORS LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
→ SSARIS ADVISORS LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Controls (13)

← BERRY, RODERICK, ROBERTOwnerMANAGING DIRECTOR, ownership code NA, individual
Mar 26, 2012 to presentfactForm ADV
← HOLLAND, GLEN, MICHAELOwnerMANAGING DIRECTOR, ownership code NA, individual
Mar 26, 2012 to presentfactForm ADV
← WOZNIAK, PAULOwnerCHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR, ownership code NA, individual
Mar 26, 2012 to presentfactForm ADV
← CHASE, JARED, ALVAHOwnerDIRECTOR, ownership code NA, individual
Mar 26, 2012 to presentfactForm ADV
← MARSHALL, STEPHEN, HATHAWAYOwnerDIRECTOR, ownership code NA, individual
Mar 26, 2012 to presentfactForm ADV
← MINUTOLI, STEPHEN, PAULOwnerMANAGING DIRECTOR, ownership code NA, individual
Mar 26, 2012 to presentfactForm ADV
← JOHNSON, SHAWN, C.D.OwnerDIRECTOR, ownership code NA, individual
Mar 26, 2012 to presentfactForm ADV
← CAPITAL ALLIANCE PARTNERS, LLCOwnerMEMBER, ownership code C, domestic entity
Mar 26, 2012 to presentfactForm ADV
← LIMETREE INVESTMENTS, INCOwnerMEMBER, ownership code C, domestic entity
Mar 26, 2012 to presentfactForm ADV
← STATE STREET CORPORATIONOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 26, 2012 to presentfactForm ADV
← STATE STREET GLOBAL ADVISORS, INCOwnerMEMBER, ownership code D, domestic entity
Mar 26, 2012 to presentfactForm ADV
← STATE STREET GLOBAL ALLIANCE, LLC, A SUBSIDIARY OF STATE STREET CORPORATIONOwnerMEMBER, ownership code E, domestic entity
Mar 26, 2012 to presentfactForm ADV
← STICHING PENSION FUNDS ABPOwnerSHAREHOLDER, ownership code E, foreign entity
Mar 26, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:831e0527-cf74-9e91-06ad-5197df51a26f
First observed: Mar 26, 2012
Last observed: Apr 17, 2012 175 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.

SHOTT CAPITAL MANAGEMENT, LLC

CRD 128440

SAN FRANCISCO, CA

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:831e0527-cf74-9e91-06ad-5197df51a26f

Data as of Apr 17, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:44 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BERRY, RODERICK, ROBERT

MANAGING DIRECTOR

yes

11/2008

Mar 26, 2012

Apr 17, 2012

CAPITAL ALLIANCE PARTNERS, LLC

Member

yes

07/2003

Mar 26, 2012

Apr 17, 2012

CHASE, JARED, ALVAH

Director

yes

11/2008

Mar 26, 2012

Apr 17, 2012

HOLLAND, GLEN, MICHAEL

MANAGING DIRECTOR

yes

11/2008

Mar 26, 2012

Apr 17, 2012

JOHNSON, SHAWN, C.D.

Director

yes

05/2009

Mar 26, 2012

Apr 17, 2012

LIMETREE INVESTMENTS, INC

Member

yes

07/2000

Mar 26, 2012

Apr 17, 2012

MARSHALL, STEPHEN, HATHAWAY

Director

yes

11/2008

Mar 26, 2012

Apr 17, 2012

MINUTOLI, STEPHEN, PAUL

MANAGING DIRECTOR

yes

11/2008

Mar 26, 2012

Apr 17, 2012

STATE STREET CORPORATION

Shareholder

yes

06/1990

Mar 26, 2012

Apr 17, 2012

STATE STREET GLOBAL ADVISORS, INC

Member

yes

07/2000

Mar 26, 2012

Apr 17, 2012

STATE STREET GLOBAL ALLIANCE, LLC, A SUBSIDIARY OF STATE STREET CORPORATION

Member

yes

07/2003

Mar 26, 2012

Apr 17, 2012

STICHING PENSION FUNDS ABP

Shareholder

yes

07/2000

Mar 26, 2012

Apr 17, 2012

WOZNIAK, PAUL

CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR

yes

10/2004

Mar 26, 2012

Apr 17, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SSGA FUNDS MANAGEMENT, INC.

n/a

Asset manager

$1421B

yes

n/a

STATE STREET GLOBAL ADVISORS LIMITED

n/a

Former SEC adviser

$424B

yes

n/a

THE TUCKERMAN GROUP LLC

n/a

Former SEC adviser

$7.3B

yes

n/a

SSARIS ADVISORS LLC

n/a

Former SEC adviser

$325M

yes

n/a

SSARIS ADVISORS LLC

n/a

Former SEC adviser

$325M

yes

n/a

STATE STREET BANK AND TRUST COMPANY

n/a

yes

n/a

STATE STREET GLOBAL MARKETS, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Boston

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 26, 2012

$1.4B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$1.4B

n/a