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

CARPENTER FUND MANAGER GP, LLC

CRD 146216

IRVINE, 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:85140f11-eb3a-176d-3c5b-d48bc75057fd

Data as of Mar 30, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 1
Observed: Mar 29, 2012 to Mar 30, 2015
7 observations

Across DFX

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

Private Equityidentity

Carpenter Fund Manager GP, 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: $409MItem 5.F on the latest filing (2015-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $409M
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: 6
Advisory employees: 6
Accounts: 3
Private funds: 3Schedule D 7.B(1)
Private fund GAV: $409Mgross asset value as reported per fund; never fund size
Custody, client assets: $409M
SEC number: 801-68765
CRD: 146216
Filings on the tape: 7
First filed: Mar 29, 2012
Latest filed: Mar 30, 2015
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
CARPENTER, EDWARD, JOHN	MANAGING MEMBER & CHIEF EXECUTIVE OFFICER	B	yes	06/2007	Mar 29, 2012	Mar 30, 2015
CHRISTIANSSEN, CURT, ALAN	CHIEF FINANCIAL OFFICER	Na	yes	06/2007	Mar 29, 2012	Mar 30, 2015
FLEMMING, JOHN, DAVID	MANAGING MEMBER	B	yes	06/2007	Mar 29, 2012	Mar 30, 2015
GOULD, HOWARD, NELSON	MANAGING MEMBER	B	yes	06/2007	Mar 29, 2012	Mar 30, 2015
HAMZEH, MARYAM, NMN	CHIEF RISK OFFICER	Na	yes	01/2014	Mar 28, 2014	Mar 30, 2015
HIDALGO, ARTHUR, ANTHONY	MANAGING MEMBER	B	yes	06/2007	Mar 29, 2012	Mar 30, 2015
JONES, JAMES, BOLTON	MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	B	yes	06/2007	Mar 29, 2012	Mar 30, 2015
LAWRENCE, BRETT, BRADEN	CHIEF OPERATING OFFICER	Na	yes	01/2014	Mar 28, 2014	Mar 30, 2015

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
CARPENTER FUND MANAGEMENT COMPANY, LLC	n/a	n/a	n/a	N	yes	n/a
SEAPOWER CARPENTER CAPITAL, INC.	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
2014	Mar 30, 2015	$409M	$409M	6	6	n/a	3	$409M
2013	Mar 28, 2014	$372M	$372M	6	6	n/a	3	$372M
2012	Mar 28, 2013	$339M	$339M	7	7	n/a	3	$339M
2011	Mar 29, 2012	$302M	$302M	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
2014	$409M	$372M	9.9%	$302M	10.7%	6	6	n/a	n/a

Relationships

Affiliated with (1)

← CARPENTER FUND MANAGEMENT COMPANY, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Controls (8)

← JONES, JAMES, BOLTONOwnerMANAGING MEMBER & CHIEF COMPLIANCE OFFICER, ownership code B, individual
Mar 29, 2012 to presentfactForm ADV
← CARPENTER, EDWARD, JOHNOwnerMANAGING MEMBER & CHIEF EXECUTIVE OFFICER, ownership code B, individual
Mar 29, 2012 to presentfactForm ADV
← FLEMMING, JOHN, DAVIDOwnerMANAGING MEMBER, ownership code B, individual
Mar 29, 2012 to presentfactForm ADV
← CHRISTIANSSEN, CURT, ALANOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← GOULD, HOWARD, NELSONOwnerMANAGING MEMBER, ownership code B, individual
Mar 29, 2012 to presentfactForm ADV
← HIDALGO, ARTHUR, ANTHONYOwnerMANAGING MEMBER, ownership code B, individual
Mar 29, 2012 to presentfactForm ADV
← LAWRENCE, BRETT, BRADENOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 28, 2014 to presentfactForm ADV
← HAMZEH, MARYAM, NMNOwnerCHIEF RISK OFFICER, ownership code NA, individual
Mar 28, 2014 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:85140f11-eb3a-176d-3c5b-d48bc75057fd
First observed: Mar 29, 2012
Last observed: Mar 30, 2015 139 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.

CARPENTER FUND MANAGER GP, LLC

CRD 146216

IRVINE, 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:85140f11-eb3a-176d-3c5b-d48bc75057fd

Data as of Mar 30, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:58 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CARPENTER, EDWARD, JOHN

MANAGING MEMBER & CHIEF EXECUTIVE OFFICER

yes

06/2007

Mar 29, 2012

Mar 30, 2015

CHRISTIANSSEN, CURT, ALAN

CHIEF FINANCIAL OFFICER

yes

06/2007

Mar 29, 2012

Mar 30, 2015

FLEMMING, JOHN, DAVID

MANAGING MEMBER

yes

06/2007

Mar 29, 2012

Mar 30, 2015

GOULD, HOWARD, NELSON

MANAGING MEMBER

yes

06/2007

Mar 29, 2012

Mar 30, 2015

HAMZEH, MARYAM, NMN

CHIEF RISK OFFICER

yes

01/2014

Mar 28, 2014

Mar 30, 2015

HIDALGO, ARTHUR, ANTHONY

MANAGING MEMBER

yes

06/2007

Mar 29, 2012

Mar 30, 2015

JONES, JAMES, BOLTON

MANAGING MEMBER & CHIEF COMPLIANCE OFFICER

yes

06/2007

Mar 29, 2012

Mar 30, 2015

LAWRENCE, BRETT, BRADEN

CHIEF OPERATING OFFICER

yes

01/2014

Mar 28, 2014

Mar 30, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CARPENTER FUND MANAGEMENT COMPANY, LLC

n/a

yes

n/a

SEAPOWER CARPENTER CAPITAL, INC.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 30, 2015

$409M

n/a

$409M

2013

Mar 28, 2014

$372M

n/a

$372M

2012

Mar 28, 2013

$339M

n/a

$339M

2011

Mar 29, 2012

$302M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$409M

$372M

9.9%

$302M

10.7%

n/a