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

HALCYON LOAN INVESTORS L.P.

CRD 141616

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:8fd4c5ba-e7a9-7ad3-460f-d373aac7c5a5

Data as of Dec 21, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 0
On other graphs: 0
Observed: Apr 2, 2012 to Dec 21, 2012
4 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: $4.9BItem 5.F on the latest filing (2012-12-21); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $4.9B
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: 23
Advisory employees: 13
Accounts: 12
Private funds: 12Schedule D 7.B(1)
Private fund GAV: $4.9Bgross asset value as reported per fund; never fund size
Custody, client assets: $0
SEC number: 801-67152
CRD: 141616
Filings on the tape: 4
First filed: Apr 2, 2012
Latest filed: Dec 21, 2012
Organised: Limited Partnership, 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
BADER, JOHN, M.	MANAGING PRINCIPAL	C	yes	12/2012	Apr 2, 2012	Dec 21, 2012
BADER, JOHN, M.	MANAGING PRINCIPAL	Na	yes	08/2006	Apr 2, 2012	Dec 21, 2012
GOLDBERG, AARON	CHIEF FINANCIAL OFFICER	Na	yes	08/2006	Apr 2, 2012	Dec 21, 2012
HALCYON LOAN MANAGEMENT LLC	LIMITED PARTNER	C	yes	08/2006	Sep 14, 2012	Dec 21, 2012
HALCYON MANAGEMENT HOLDINGS LP	LIMITED PARTNER	E	yes	12/2012	Dec 21, 2012	Dec 21, 2012
HALCYON MANAGEMENT HOLDINGS LP	Member	E	yes	12/2012	Dec 21, 2012	Dec 21, 2012
HALCYON MANAGEMENT PARTNERS LP	LIMITED PARTNER	E	yes	12/2012	Dec 21, 2012	Dec 21, 2012
HALCYON STRUCTURED ASSET MANAGEMENT L.P.	LIMITED PARTNER	C	yes	08/2006	Apr 2, 2012	Dec 21, 2012
HILL, JOSEPH, WOLF	DIRECTOR OF CLIENT RELATIONS	Na	yes	08/2006	Dec 21, 2012	Dec 21, 2012
HIRSCHFELD, THOMAS, PAUL	CHIEF OPERATING OFFICER	Na	yes	08/2006	Apr 2, 2012	Dec 21, 2012
KONNER, KEVAH, ROSS	MANAGING PRINCIPAL	Na	yes	08/2006	Dec 21, 2012	Dec 21, 2012
MCDERMOTT, SUZANNE	CHIEF COMPLIANCE OFFICER, ASSOCIATE GENERAL COUNSEL	Na	yes	12/2008	Apr 2, 2012	Dec 21, 2012
MITAL, MANISH	GENERAL COUNSEL	Na	yes	06/2008	Apr 2, 2012	Dec 21, 2012
SMEAD, ROSS	MANAGING PRINCIPAL, CHIEF INVESTMENT OFFICER	B	yes	08/2006	Apr 2, 2012	Dec 21, 2012
YORKE, BRIAN	MANAGING PRINCIPAL	A	yes	08/2006	Apr 2, 2012	Dec 21, 2012
DYAL CAPITAL PARTNERS (A) LP	LIMITED PARTNER	C	no	12/2012	Dec 21, 2012	Dec 21, 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
HALCYON ASSET MANAGEMENT LLC	n/a	Former SEC adviser	$3.7B	N	yes	n/a
HALCYON OFFSHORE ASSET MANAGEMENT LLC	n/a	Former SEC adviser	$2.9B	N	yes	n/a
HALCYON ASSET-BACKED ADVISORS L.P.	n/a	Former SEC adviser	$2.8B	N	yes	n/a
HALCYON MANAGEMENT ACQUISITION COMPANY LLC	n/a	Former SEC adviser	$1.8B	N	yes	n/a
HALCYON AGILIS MANAGEMENT LP	n/a	Former SEC adviser	$103M	N	yes	n/a
HALCYON STRUCTURED ASSET MANAGEMENT L.P.	n/a	Former SEC adviser	$19.2M	N	yes	n/a
HALCYON ASSET MANAGEMENT (UK) LLP	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
2011	Apr 2, 2012	$754M	$754M	n/a	n/a	n/a	2	$754M

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	$4.9B	n/a	n/a	n/a	n/a	23	n/a	n/a	n/a

Relationships

Affiliated with (10)

← HALCYON LOAN MANAGEMENT LLCRegistered adviserother investment adviser, bank, control, common control
factForm ADV
→ HALCYON EVENT-DRIVEN MANAGEMENT LPRegistered adviserother investment adviser, bank, common control
factForm ADV
→ HALCYON OFFSHORE ASSET MANAGEMENT LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ HALCYON STRUCTURED ASSET MANAGEMENT L.P.Registered adviserother investment adviser, bank, common control
factForm ADV
→ HALCYON ASSET-BACKED ADVISORS L.P.Registered adviserother investment adviser, bank, common control
factForm ADV
→ HALCYON MANAGEMENT ACQUISITION COMPANY LLCRegistered adviserother investment adviser, common control
factForm ADV
→ HALCYON AGILIS MANAGEMENT LPRegistered adviserother investment adviser, bank, common control
factForm ADV
← HALCYON MANAGEMENT ACQUISITION COMPANY LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← HALCYON STRUCTURED ASSET MANAGEMENT L.P.Registered adviserother investment adviser, bank, common control
factForm ADV
← HALCYON OFFSHORE ASSET MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (13)

← HALCYON STRUCTURED ASSET MANAGEMENT L.P.OwnerLIMITED PARTNER, ownership code C, domestic entity
Apr 2, 2012 to presentfactForm ADV
← KONNER, KEVAH, ROSSOwnerMANAGING PRINCIPAL, ownership code NA, individual
Dec 21, 2012 to presentfactForm ADV
← HIRSCHFELD, THOMAS, PAULOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Apr 2, 2012 to presentfactForm ADV
← BADER, JOHN, M.OwnerMANAGING PRINCIPAL, ownership code C, individual
Apr 2, 2012 to presentfactForm ADV
← GOLDBERG, AARONOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Apr 2, 2012 to presentfactForm ADV
← SMEAD, ROSSOwnerMANAGING PRINCIPAL, CHIEF INVESTMENT OFFICER, ownership code B, individual
Apr 2, 2012 to presentfactForm ADV
← YORKE, BRIANOwnerMANAGING PRINCIPAL, ownership code A, individual
Apr 2, 2012 to presentfactForm ADV
← MITAL, MANISHOwnerGENERAL COUNSEL, ownership code NA, individual
Apr 2, 2012 to presentfactForm ADV
← MCDERMOTT, SUZANNEOwnerCHIEF COMPLIANCE OFFICER, ASSOCIATE GENERAL COUNSEL, ownership code NA, individual
Apr 2, 2012 to presentfactForm ADV
← HILL, JOSEPH, WOLFOwnerDIRECTOR OF CLIENT RELATIONS, ownership code NA, individual
Dec 21, 2012 to presentfactForm ADV
← HALCYON LOAN MANAGEMENT LLCOwnerLIMITED PARTNER, ownership code C, domestic entity
Sep 14, 2012 to presentfactForm ADV
← HALCYON MANAGEMENT HOLDINGS LPOwnerMEMBER, ownership code E, domestic entity
Dec 21, 2012 to presentfactForm ADV
← HALCYON MANAGEMENT PARTNERS LPOwnerLIMITED PARTNER, ownership code E, domestic entity
Dec 21, 2012 to presentfactForm ADV

Owns (1)

← DYAL CAPITAL PARTNERS (A) LPOwnerLIMITED PARTNER, ownership code C, foreign entity
Dec 21, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8fd4c5ba-e7a9-7ad3-460f-d373aac7c5a5
First observed: Apr 2, 2012
Last observed: Dec 21, 2012 167 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.

HALCYON LOAN INVESTORS L.P.

CRD 141616

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:8fd4c5ba-e7a9-7ad3-460f-d373aac7c5a5

Data as of Dec 21, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:19 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BADER, JOHN, M.

MANAGING PRINCIPAL

yes

12/2012

Apr 2, 2012

Dec 21, 2012

BADER, JOHN, M.

MANAGING PRINCIPAL

yes

08/2006

Apr 2, 2012

Dec 21, 2012

GOLDBERG, AARON

CHIEF FINANCIAL OFFICER

yes

08/2006

Apr 2, 2012

Dec 21, 2012

HALCYON LOAN MANAGEMENT LLC

LIMITED PARTNER

yes

08/2006

Sep 14, 2012

Dec 21, 2012

HALCYON MANAGEMENT HOLDINGS LP

LIMITED PARTNER

yes

12/2012

Dec 21, 2012

HALCYON MANAGEMENT HOLDINGS LP

Member

yes

12/2012

Dec 21, 2012

HALCYON MANAGEMENT PARTNERS LP

LIMITED PARTNER

yes

12/2012

Dec 21, 2012

HALCYON STRUCTURED ASSET MANAGEMENT L.P.

LIMITED PARTNER

yes

08/2006

Apr 2, 2012

Dec 21, 2012

HILL, JOSEPH, WOLF

DIRECTOR OF CLIENT RELATIONS

yes

08/2006

Dec 21, 2012

HIRSCHFELD, THOMAS, PAUL

CHIEF OPERATING OFFICER

yes

08/2006

Apr 2, 2012

Dec 21, 2012

KONNER, KEVAH, ROSS

MANAGING PRINCIPAL

yes

08/2006

Dec 21, 2012

MCDERMOTT, SUZANNE

CHIEF COMPLIANCE OFFICER, ASSOCIATE GENERAL COUNSEL

yes

12/2008

Apr 2, 2012

Dec 21, 2012

MITAL, MANISH

GENERAL COUNSEL

yes

06/2008

Apr 2, 2012

Dec 21, 2012

SMEAD, ROSS

MANAGING PRINCIPAL, CHIEF INVESTMENT OFFICER

yes

08/2006

Apr 2, 2012

Dec 21, 2012

YORKE, BRIAN

MANAGING PRINCIPAL

yes

08/2006

Apr 2, 2012

Dec 21, 2012

DYAL CAPITAL PARTNERS (A) LP

LIMITED PARTNER

12/2012

Dec 21, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

HALCYON ASSET MANAGEMENT LLC

n/a

Former SEC adviser

$3.7B

yes

n/a

HALCYON OFFSHORE ASSET MANAGEMENT LLC

n/a

Former SEC adviser

$2.9B

yes

n/a

HALCYON ASSET-BACKED ADVISORS L.P.

n/a

Former SEC adviser

$2.8B

yes

n/a

HALCYON MANAGEMENT ACQUISITION COMPANY LLC

n/a

Former SEC adviser

$1.8B

yes

n/a

HALCYON AGILIS MANAGEMENT LP

n/a

Former SEC adviser

$103M

yes

n/a

HALCYON STRUCTURED ASSET MANAGEMENT L.P.

n/a

Former SEC adviser

$19.2M

yes

n/a

HALCYON ASSET MANAGEMENT (UK) LLP

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Apr 2, 2012

$754M

n/a

$754M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$4.9B

n/a