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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

CNI RECF ADVISORS, LLC

CRD 282562

LOS ANGELES, CA

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Search this name across graphsid dfx:ria:842f9a12-e0c1-9536-8e1d-c71d29b21a70

Data as of Nov 13, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 5
On other graphs: 0
Observed: Jan 22, 2016 to Nov 13, 2020
15 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: $30.2MItem 5.F on the latest filing (2020-11-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $30.2M
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: 18
Advisory employees: 2
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 5
Individual clients: 0
High net worth clients: 0
Custody, client assets: $30.2M
SEC number: 801-107220
CRD: 282562
Filings on the tape: 15
First filed: Jan 22, 2016
Latest filed: Nov 13, 2020
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
BARRACK, THOMAS, JOSEPH	CHAIRMAN OF REGISTRANT; CHAIRMAN OF COLONY CAPITAL INVESTMENT ADVISORS, LLC; EXECUTIVE CHAIRMAN AND CEO OF COLONY CAPITAL, INC.	Na	yes	01/2017	Feb 6, 2017	Nov 13, 2020
CNI ADVISOR HOLDINGS, LLC	Member	E	yes	01/2017	Feb 6, 2017	Nov 13, 2020
COLONY CAPITAL INVESTMENT ADVISORS, LLC	Member	E	yes	01/2017	Feb 6, 2017	Nov 13, 2020
COLONY CAPITAL INVESTMENT HOLDCO, LLC	Member	E	yes	04/2015	Feb 6, 2017	Nov 13, 2020
COLONY CAPITAL OP SUBSIDIARY, LLC	Member	E	yes	04/2015	Feb 6, 2017	Nov 13, 2020
COLONY CAPITAL OPERATING COMPANY, LLC	Member	E	yes	04/2015	Feb 6, 2017	Nov 13, 2020
COLONY CAPITAL, INC.	Member	E	yes	04/2015	Aug 1, 2018	Nov 13, 2020
HEDSTROM, MARK, MELVIN	VP OF REGISTRANT; VP OF COLONY CAPITAL INVESTMENT ADVISORS, LLC AND COO AND CFO OF COLONY CAPITAL, INC.	Na	yes	01/2017	Feb 6, 2017	Nov 13, 2020
SANDERS, RONALD, MARK	VP OF REGISTRANT; VP OF COLONY CAPITAL INVESTMENT ADVISORS, LLC AND CHIEF LEGAL OFFICER OF COLONY CAPITAL, INC.	Na	yes	01/2017	Feb 6, 2017	Nov 13, 2020
WHEALON, KRISTEN, ANN	CHIEF COMPLIANCE OFFICER	Na	yes	03/2019	Jan 22, 2016	Nov 13, 2020

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page; showing 40 of 71

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
DIGITAL COLONY MANAGEMENT LLC	n/a	Asset manager	$61B	N	yes	n/a
DIGITAL BRIDGE ADVISORS, LLC	n/a	Asset manager	$15B	N	yes	n/a
CLNC MANAGER, LLC	n/a	Former SEC adviser	$6.2B	N	yes	n/a
CNI NSHC ADVISORS, LLC	n/a	Former SEC adviser	$1.4B	N	yes	n/a
COLONY CAPITAL INVESTMENT ADVISORS, LLC	n/a	Other adviser	$336M	Y	no	n/a
CNI NSI ADVISORS, LLC	n/a	Former SEC adviser	$33.6M	N	yes	n/a
ALPINE ENERGY CAPITAL, LLC	n/a	n/a	n/a	N	yes	n/a
AVIATOR EU HOLDINGS GP, LLC	n/a	n/a	n/a	N	yes	n/a
CA ENERGY INVESTMENT GP, LLC	n/a	n/a	n/a	N	yes	n/a
CDCF IV INVESTMENT ADVISOR, LLC	n/a	n/a	n/a	N	yes	n/a
CDCF V INVESTMENT ADVISOR, LLC	n/a	n/a	n/a	N	yes	n/a
CFI SAFE HOLDINGS A, LLC	n/a	n/a	n/a	N	yes	n/a
CIB BULK 2018 INVESTMENT ADVISOR, LLC	n/a	n/a	n/a	N	yes	n/a
CIB HP BULK 2018 GP, LLC	n/a	n/a	n/a	N	yes	n/a
CNI CENTURY PLAZA ADVISOR, LLC	n/a	n/a	n/a	N	yes	n/a
CNI CENTURY PLAZA GP, LLC	n/a	n/a	n/a	N	yes	n/a
CNI FCVP ADVISORS, LLC.	n/a	n/a	n/a	N	yes	n/a
CNI ONE CAL PLAZA GP, LLC	n/a	n/a	n/a	N	yes	n/a
CNI ONE CAL PLAZA INVESTMENT ADVISOR, LLC	n/a	n/a	n/a	N	yes	n/a
COL INVEST ITALY S.R.L.	n/a	n/a	n/a	N	yes	n/a
COLARMONIA GP, LLC	n/a	n/a	n/a	N	yes	n/a
COLCOGP STRATEGIC PARTNERS III, LLC	n/a	n/a	n/a	N	yes	n/a
COLCOGP STRATEGIC PARTNERS, LLC	n/a	n/a	n/a	N	yes	n/a
COLFIN COBALT GENERAL PARTNER, LLC	n/a	n/a	n/a	N	yes	n/a
COLHMGP STRATEGIC PARTNERS, LLC	n/a	n/a	n/a	N	yes	n/a
COLONY BULLS CO-INVESTMENT GENPAR, LLC	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL - N LUXEMBOURG S.A.R.L.	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL (PARALLEL) NA-RE VIII, LLC	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL (PARALLEL) VIII, LLC	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL (US) VIII, LLC	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL ADVISORS, LLC	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL CREDIT II, L.P.	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL CREDIT III, L.P.	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL CREDIT IV, LLC	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL CREDIT V, L.P.	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL CREDIT V, L.P.	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL CREDIT, L.P.	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL III, L.P.	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL IV, L.P.	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL LUXEMBOURG S.A.R.L.	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
NEW YORK	NY	United States	2	no
Irvine	CA	United States	0	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
2019	Mar 24, 2020	$30.2M	$30.2M	18	2	2	n/a	n/a
2018	Mar 28, 2019	$46.7M	$46.7M	457	156	4	n/a	n/a
2017	Mar 29, 2018	$32.8M	$32.8M	494	181	4	n/a	n/a
2016	Mar 30, 2017	$2.4M	$2.4M	547	201	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	$30.2M	$46.7M	-35.3%	$2.4M	134.2%	18	457	2	4

Relationships

Affiliated with (9)

→ COLONY CAPITAL INVESTMENT ADVISORS, LLCRegistered adviserother investment adviser, control
factForm ADV
→ DIGITALBRIDGE INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ DIGITAL BRIDGE ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ CLNC MANAGER, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ CNI NSHC ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ CNI NSI ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← CNI NSI ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← CNI NS/RXR ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← CNI TCEF ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (10)

← BARRACK, THOMAS, JOSEPHOwnerCHAIRMAN OF REGISTRANT; CHAIRMAN OF COLONY CAPITAL INVESTMENT ADVISORS, LLC; EXECUTIVE CHAIRMAN AND CEO OF COLONY CAPITAL, INC., ownership code NA, individual
Feb 6, 2017 to presentfactForm ADV
← COLONY CAPITAL INVESTMENT ADVISORS, LLCOwnerMEMBER, ownership code E, domestic entity
Feb 6, 2017 to presentfactForm ADV
← WHEALON, KRISTEN, ANNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 22, 2016 to presentfactForm ADV
← HEDSTROM, MARK, MELVINOwnerVP OF REGISTRANT; VP OF COLONY CAPITAL INVESTMENT ADVISORS, LLC AND COO AND CFO OF COLONY CAPITAL, INC., ownership code NA, individual
Feb 6, 2017 to presentfactForm ADV
← SANDERS, RONALD, MARKOwnerVP OF REGISTRANT; VP OF COLONY CAPITAL INVESTMENT ADVISORS, LLC AND CHIEF LEGAL OFFICER OF COLONY CAPITAL, INC., ownership code NA, individual
Feb 6, 2017 to presentfactForm ADV
← CNI ADVISOR HOLDINGS, LLCOwnerMEMBER, ownership code E, domestic entity
Feb 6, 2017 to presentfactForm ADV
← COLONY CAPITAL INVESTMENT HOLDCO, LLCOwnerMEMBER, ownership code E, domestic entity
Feb 6, 2017 to presentfactForm ADV
← COLONY CAPITAL OP SUBSIDIARY, LLCOwnerMEMBER, ownership code E, domestic entity
Feb 6, 2017 to presentfactForm ADV
← COLONY CAPITAL OPERATING COMPANY, LLCOwnerMEMBER, ownership code E, domestic entity
Feb 6, 2017 to presentfactForm ADV
← COLONY CAPITAL, INC.OwnerMEMBER, ownership code E, domestic entity
Aug 1, 2018 to presentfactForm ADV

Dated events

Occurred
Apr 29, 2020
Control person left
James Darren Tangen (Vp Of Registrant; Vp Of Colony Capital Investment Advisors, Llc And President Of Colony Capital, Inc.) no longer on Schedule A of Cni Recf Advisors, Llc (listed 2020-03-24, absent 2020-04-29)
Form ADVobserved 6 days ago
Occurred
Mar 28, 2019
Control person joined
Ann Kristen Whealon (Chief Compliance Officer) appeared on Schedule A of Cni Recf Advisors, Llc
Form ADVobserved 6 days ago
Occurred
Mar 28, 2019
Control person left
Matrick Sandra Forman (Chief Compliance Officer) no longer on Schedule A of Cni Recf Advisors, Llc (listed 2018-12-06, absent 2019-03-28)
Form ADVobserved 6 days ago
Occurred
Jun 19, 2017
Succession filed (Item 4)
Cni Recf Advisors, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 6 days ago
Occurred
Jan 22, 2016
First Form ADV filing
Nsam B-Recf Ltd. filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:842f9a12-e0c1-9536-8e1d-c71d29b21a70
First observed: Jan 22, 2016
Last observed: Nov 13, 2020 71 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.

CNI RECF ADVISORS, LLC

CRD 282562

LOS ANGELES, 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:842f9a12-e0c1-9536-8e1d-c71d29b21a70

Data as of Nov 13, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:26 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BARRACK, THOMAS, JOSEPH

CHAIRMAN OF REGISTRANT; CHAIRMAN OF COLONY CAPITAL INVESTMENT ADVISORS, LLC; EXECUTIVE CHAIRMAN AND CEO OF COLONY CAPITAL, INC.

yes

01/2017

Feb 6, 2017

Nov 13, 2020

CNI ADVISOR HOLDINGS, LLC

Member

yes

01/2017

Feb 6, 2017

Nov 13, 2020

COLONY CAPITAL INVESTMENT ADVISORS, LLC

Member

yes

01/2017

Feb 6, 2017

Nov 13, 2020

COLONY CAPITAL INVESTMENT HOLDCO, LLC

Member

yes

04/2015

Feb 6, 2017

Nov 13, 2020

COLONY CAPITAL OP SUBSIDIARY, LLC

Member

yes

04/2015

Feb 6, 2017

Nov 13, 2020

COLONY CAPITAL OPERATING COMPANY, LLC

Member

yes

04/2015

Feb 6, 2017

Nov 13, 2020

COLONY CAPITAL, INC.

Member

yes

04/2015

Aug 1, 2018

Nov 13, 2020

HEDSTROM, MARK, MELVIN

VP OF REGISTRANT; VP OF COLONY CAPITAL INVESTMENT ADVISORS, LLC AND COO AND CFO OF COLONY CAPITAL, INC.

yes

01/2017

Feb 6, 2017

Nov 13, 2020

SANDERS, RONALD, MARK

VP OF REGISTRANT; VP OF COLONY CAPITAL INVESTMENT ADVISORS, LLC AND CHIEF LEGAL OFFICER OF COLONY CAPITAL, INC.

yes

01/2017

Feb 6, 2017

Nov 13, 2020

WHEALON, KRISTEN, ANN

CHIEF COMPLIANCE OFFICER

yes

03/2019

Jan 22, 2016

Nov 13, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

DIGITAL COLONY MANAGEMENT LLC

n/a

Asset manager

$61B

yes

n/a

DIGITAL BRIDGE ADVISORS, LLC

n/a

Asset manager

$15B

yes

n/a

CLNC MANAGER, LLC

n/a

Former SEC adviser

$6.2B

yes

n/a

CNI NSHC ADVISORS, LLC

n/a

Former SEC adviser

$1.4B

yes

n/a

COLONY CAPITAL INVESTMENT ADVISORS, LLC

n/a

Other adviser

$336M

n/a

CNI NSI ADVISORS, LLC

n/a

Former SEC adviser

$33.6M

yes

n/a

ALPINE ENERGY CAPITAL, LLC

n/a

yes

n/a

AVIATOR EU HOLDINGS GP, LLC

n/a

yes

n/a

CA ENERGY INVESTMENT GP, LLC

n/a

yes

n/a

CDCF IV INVESTMENT ADVISOR, LLC

n/a

yes

n/a

CDCF V INVESTMENT ADVISOR, LLC

n/a

yes

n/a

CFI SAFE HOLDINGS A, LLC

n/a

yes

n/a

CIB BULK 2018 INVESTMENT ADVISOR, LLC

n/a

yes

n/a

CIB HP BULK 2018 GP, LLC

n/a

yes

n/a

CNI CENTURY PLAZA ADVISOR, LLC

n/a

yes

n/a

CNI CENTURY PLAZA GP, LLC

n/a

yes

n/a

CNI FCVP ADVISORS, LLC.

n/a

yes

n/a

CNI ONE CAL PLAZA GP, LLC

n/a

yes

n/a

CNI ONE CAL PLAZA INVESTMENT ADVISOR, LLC

n/a

yes

n/a

COL INVEST ITALY S.R.L.

n/a

yes

n/a

COLARMONIA GP, LLC

n/a

yes

n/a

COLCOGP STRATEGIC PARTNERS III, LLC

n/a

yes

n/a

COLCOGP STRATEGIC PARTNERS, LLC

n/a

yes

n/a

COLFIN COBALT GENERAL PARTNER, LLC

n/a

yes

n/a

COLHMGP STRATEGIC PARTNERS, LLC

n/a

yes

n/a

COLONY BULLS CO-INVESTMENT GENPAR, LLC

n/a

yes

n/a

COLONY CAPITAL - N LUXEMBOURG S.A.R.L.

n/a

yes

n/a

COLONY CAPITAL (PARALLEL) NA-RE VIII, LLC

n/a

yes

n/a

COLONY CAPITAL (PARALLEL) VIII, LLC

n/a

yes

n/a

COLONY CAPITAL (US) VIII, LLC

n/a

yes

n/a

COLONY CAPITAL ADVISORS, LLC

n/a

yes

n/a

COLONY CAPITAL CREDIT II, L.P.

n/a

yes

n/a

COLONY CAPITAL CREDIT III, L.P.

n/a

yes

n/a

COLONY CAPITAL CREDIT IV, LLC

n/a

yes

n/a

COLONY CAPITAL CREDIT V, L.P.

n/a

yes

n/a

COLONY CAPITAL CREDIT V, L.P.

n/a

yes

n/a

COLONY CAPITAL CREDIT, L.P.

n/a

yes

n/a

COLONY CAPITAL III, L.P.

n/a

yes

n/a

COLONY CAPITAL IV, L.P.

n/a

yes

n/a

COLONY CAPITAL LUXEMBOURG S.A.R.L.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

Irvine

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 24, 2020

$30.2M

n/a

2018

Mar 28, 2019

$46.7M

457

156

n/a

2017

Mar 29, 2018

$32.8M

494

181

n/a

2016

Mar 30, 2017

$2.4M

547

201

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

$30.2M

$46.7M

-35.3%

$2.4M

134.2%

457