DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

CORNERSTONE CAPITAL MANAGEMENT

CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC, CRD 148500

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:86e401a0-06d7-0b0f-9f6c-376d64f57b62

Data as of Apr 24, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 27
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Apr 24, 2017
25 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: $14BItem 5.F on the latest filing (2017-04-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $14B
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: 49
Advisory employees: 18
Accounts: 59
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $84.9Mgross asset value as reported per fund; never fund size
Custody, client assets: $106M
SEC number: 801-69663
CRD: 148500
Filings on the tape: 25
First filed: Mar 30, 2012
Latest filed: Apr 24, 2017
Organised: Limited Liability Company, 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
CORNERSTONE CAPITAL MANAGEMENT LARGE-CAP ENHANCED INDEX FUND LP	Other Private Fund	$218M	Mar 26, 2013	4	Mar 30, 2012	dropped	021-77669
CORNERSTONE U.S. EQUITY MARKET NEUTRAL FUND, LLC	Hedge Fund	$84.9M	Apr 24, 2017	1	Mar 28, 2014	reported	021-162196

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
ABDUL, HERMAN, ANTHONY	ELECTED MANAGER, SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER	Na	yes	10/2015	Oct 17, 2014	Apr 24, 2017
CABREROS, RENNY, ALAN	CORPORATE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	Na	yes	05/2016	May 19, 2016	Apr 24, 2017
HARTE, FRANCIS, MICHAEL	ELECTED MANAGER	Na	yes	02/2017	Mar 30, 2017	Apr 24, 2017
HENDRY, THOMAS, ALEXANDER	ELECTED MANAGER	Na	yes	02/2014	Mar 28, 2014	Apr 24, 2017
HUNG, YIE-HSIN, NMN	CHAIRMAN OF THE BOARD OF MANAGERS, ELECTED MANAGER	Na	yes	06/2015	Mar 30, 2012	Apr 24, 2017
Lehneis, Kirk, C	ELECTED MANAGER	Na	yes	02/2017	Mar 30, 2017	Apr 24, 2017
NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC	SOLE MEMBER	E	yes	09/2008	Mar 30, 2012	Apr 24, 2017
PROTAS, LUCILLE, MARIAN	ELECTED MANAGER, ACTING CHIEF EXECUTIVE OFFICER	Na	yes	07/2016	Aug 2, 2016	Apr 24, 2017
YOON, JAE SUNG	ELECTED MANAGER	Na	yes	02/2017	Mar 30, 2017	Apr 24, 2017
NEW YORK LIFE INSURANCE COMPANY	INDIRECT INTEREST HOLDER	E	no	09/2008	Mar 30, 2012	Apr 24, 2017

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
NYL INVESTORS LLC	n/a	Institutional manager	$329B	N	yes	n/a
MACKAY SHIELDS LLC	n/a	Other adviser	$160B	N	yes	n/a
CANDRIAM LUXEMBOURG S.C.A.	n/a	Asset manager	$155B	N	yes	n/a
CANDRIAM BELGIUM S.A.	n/a	Former SEC adviser	$123B	N	yes	n/a
NEW YORK LIFE INVESTMENT MANAGEMENT LLC	n/a	Asset manager	$121B	N	yes	n/a
CANDRIAM FRANCE S.A.S.	n/a	Former SEC adviser	$35B	N	yes	n/a
GOLDPOINT PARTNERS LLC	n/a	Former SEC adviser	$14B	N	yes	n/a
INDEXIQ ADVISORS LLC	n/a	Former SEC adviser	$10B	N	yes	n/a
PRIVATE ADVISORS LLC	n/a	Former SEC adviser	$5.2B	N	yes	n/a
MADISON CAPITAL FUNDING LLC	n/a	Former SEC adviser	$3.7B	N	yes	n/a
MCF CAPITAL MANAGEMENT LLC	n/a	Former SEC adviser	$2.2B	N	yes	n/a
CREDIT VALUE PARTNERS, LLC	n/a	Former SEC adviser	$162M	N	yes	n/a
AUSBIL INVESTMENT MANAGEMENT LIMITED	n/a	n/a	n/a	N	yes	n/a
NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION	n/a	n/a	n/a	N	yes	n/a
NEW YORK LIFE INSURANCE COMPANY	n/a	n/a	n/a	Y	no	n/a
NEW YORK LIFE TRUST COMPANY	n/a	n/a	n/a	N	yes	Ma
NYLIFE DISTRIBUTORS 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
2016	Mar 30, 2017	$14B	$14B	49	18	n/a	1	$84.9M
2015	Mar 30, 2016	$13B	$13B	45	17	n/a	1	$77.7M
2014	Mar 30, 2015	$12B	$12B	49	19	n/a	1	$74.6M
2013	Mar 28, 2014	$11B	$11B	46	16	n/a	1	$28.4M
2012	Mar 26, 2013	$10B	$10.0B	46	15	n/a	1	$218M
2011	Mar 30, 2012	$11B	$11B	n/a	n/a	n/a	1	$249M

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
2016	$14B	$13B	10.8%	$11B	9.4%	49	45	n/a	n/a

Relationships

Affiliated with (15)

→ MACKAY SHIELDS LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ PRIVATE ADVISORS LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ NEW YORK LIFE INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ GOLDPOINT PARTNERS LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ INDEXIQ ADVISORS LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ CREDIT VALUE PARTNERS, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ MCF CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ NYL INVESTORS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ CANDRIAM BELGIUM S.A.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ CANDRIAM S.C.A.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ CANDRIAM FRANCE S.A.S.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ MADISON CAPITAL FUNDING LLCRegistered adviserother investment adviser, common control
factForm ADV
← INSTITUTIONAL CAPITAL LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← CORNERSTONERegistered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
← MCF CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Advises (2)

→ CORNERSTONE U.S. EQUITY MARKET NEUTRAL FUND, LLCPrivate fundHedge Fund, IA
Mar 28, 2014 to presentfactForm ADV
→ CORNERSTONE CAPITAL MANAGEMENT LARGE-CAP ENHANCED INDEX FUND LPPrivate fundOther Private Fund, IA, no longer reported
Mar 30, 2012 to Mar 26, 2013factForm ADV

Controls (9)

← HUNG, YIE-HSIN, NMNOwnerCHAIRMAN OF THE BOARD OF MANAGERS, ELECTED MANAGER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← HENDRY, THOMAS, ALEXANDEROwnerELECTED MANAGER, ownership code NA, individual
Mar 28, 2014 to presentfactForm ADV
← HARTE, FRANCIS, MICHAELOwnerELECTED MANAGER, ownership code NA, individual
Mar 30, 2017 to presentfactForm ADV
← YOON, JAE SUNGOwnerELECTED MANAGER, ownership code NA, individual
Mar 30, 2017 to presentfactForm ADV
← ABDUL, HERMAN, ANTHONYOwnerELECTED MANAGER, SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER, ownership code NA, individual
Oct 17, 2014 to presentfactForm ADV
← CABREROS, RENNY, ALANOwnerCORPORATE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 19, 2016 to presentfactForm ADV
← PROTAS, LUCILLE, MARIANOwnerELECTED MANAGER, ACTING CHIEF EXECUTIVE OFFICER, ownership code NA, individual
Aug 2, 2016 to presentfactForm ADV
← Lehneis, Kirk, COwnerELECTED MANAGER, ownership code NA, individual
Mar 30, 2017 to presentfactForm ADV
← NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLCOwnerSOLE MEMBER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Owns (1)

← NEW YORK LIFE INSURANCE COMPANYOwnerINDIRECT INTEREST HOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:86e401a0-06d7-0b0f-9f6c-376d64f57b62
First observed: Mar 30, 2012
Last observed: Apr 24, 2017 114 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.

CORNERSTONE CAPITAL MANAGEMENT

CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC, CRD 148500

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:86e401a0-06d7-0b0f-9f6c-376d64f57b62

Data as of Apr 24, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:22 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

CORNERSTONE CAPITAL MANAGEMENT LARGE-CAP ENHANCED INDEX FUND LP

Other Private Fund

$218M

Mar 26, 2013

Mar 30, 2012

dropped

021-77669

CORNERSTONE U.S. EQUITY MARKET NEUTRAL FUND, LLC

Hedge Fund

$84.9M

Apr 24, 2017

Mar 28, 2014

reported

021-162196

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ABDUL, HERMAN, ANTHONY

ELECTED MANAGER, SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER

yes

10/2015

Oct 17, 2014

Apr 24, 2017

CABREROS, RENNY, ALAN

CORPORATE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER

yes

05/2016

May 19, 2016

Apr 24, 2017

HARTE, FRANCIS, MICHAEL

ELECTED MANAGER

yes

02/2017

Mar 30, 2017

Apr 24, 2017

HENDRY, THOMAS, ALEXANDER

ELECTED MANAGER

yes

02/2014

Mar 28, 2014

Apr 24, 2017

HUNG, YIE-HSIN, NMN

CHAIRMAN OF THE BOARD OF MANAGERS, ELECTED MANAGER

yes

06/2015

Mar 30, 2012

Apr 24, 2017

Lehneis, Kirk, C

ELECTED MANAGER

yes

02/2017

Mar 30, 2017

Apr 24, 2017

NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC

SOLE MEMBER

yes

09/2008

Mar 30, 2012

Apr 24, 2017

PROTAS, LUCILLE, MARIAN

ELECTED MANAGER, ACTING CHIEF EXECUTIVE OFFICER

yes

07/2016

Aug 2, 2016

Apr 24, 2017

YOON, JAE SUNG

ELECTED MANAGER

yes

02/2017

Mar 30, 2017

Apr 24, 2017

NEW YORK LIFE INSURANCE COMPANY

INDIRECT INTEREST HOLDER

09/2008

Mar 30, 2012

Apr 24, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

NYL INVESTORS LLC

n/a

Institutional manager

$329B

yes

n/a

MACKAY SHIELDS LLC

n/a

Other adviser

$160B

yes

n/a

CANDRIAM LUXEMBOURG S.C.A.

n/a

Asset manager

$155B

yes

n/a

CANDRIAM BELGIUM S.A.

n/a

Former SEC adviser

$123B

yes

n/a

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

n/a

Asset manager

$121B

yes

n/a

CANDRIAM FRANCE S.A.S.

n/a

Former SEC adviser

$35B

yes

n/a

GOLDPOINT PARTNERS LLC

n/a

Former SEC adviser

$14B

yes

n/a

INDEXIQ ADVISORS LLC

n/a

Former SEC adviser

$10B

yes

n/a

PRIVATE ADVISORS LLC

n/a

Former SEC adviser

$5.2B

yes

n/a

MADISON CAPITAL FUNDING LLC

n/a

Former SEC adviser

$3.7B

yes

n/a

MCF CAPITAL MANAGEMENT LLC

n/a

Former SEC adviser

$2.2B

yes

n/a

CREDIT VALUE PARTNERS, LLC

n/a

Former SEC adviser

$162M

yes

n/a

AUSBIL INVESTMENT MANAGEMENT LIMITED

n/a

yes

n/a

NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION

n/a

yes

n/a

NEW YORK LIFE INSURANCE COMPANY

n/a

NEW YORK LIFE TRUST COMPANY

n/a

yes

NYLIFE DISTRIBUTORS LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 30, 2017

$14B

n/a

$84.9M

2015

Mar 30, 2016

$13B

n/a

$77.7M

2014

Mar 30, 2015

$12B

n/a

$74.6M

2013

Mar 28, 2014

$11B

n/a

$28.4M

2012

Mar 26, 2013

$10B

$10.0B

n/a

$218M

2011

Mar 30, 2012

$11B

n/a

$249M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$14B

$13B

10.8%

$11B

9.4%

n/a