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

BRADFORD & MARZEC, LLC

CRD 105654

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:91a61c8f-bdbf-dbe9-4264-517c795d5b81

Data as of Mar 29, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Mar 29, 2016
11 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: $4.2BItem 5.F on the latest filing (2016-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $4.2B
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: 32
Advisory employees: 17
Accounts: 720
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $377Mgross asset value as reported per fund; never fund size
SEC number: 801-20778
CRD: 105654
Filings on the tape: 11
First filed: Mar 28, 2012
Latest filed: Mar 29, 2016
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
ALLEN, NIGEL, GRAHAM	SR. PORTFOLIO MANAGER/DIRECTOR	Na	yes	10/2003	Sep 4, 2012	Mar 29, 2016
BRADFORD & MARZEC, INC	MANAGING MEMBER	E	yes	02/2008	Mar 28, 2012	Mar 29, 2016
BRADFORD, EDWARD, THEODORE	MANAGING PARTNER/DIRECTOR	Na	yes	03/1984	Mar 28, 2012	Mar 29, 2016
BRADFORD, EDWARD, THEODORE	SECRETARY/TREASURER	C	yes	03/1984	Mar 28, 2012	Mar 29, 2016
BROTHERS, JEFFREY, ERIC	SR. PORTFOLIO MANAGER/DIRECTOR	Na	yes	12/1998	Sep 4, 2012	Mar 29, 2016
HAENDEL, GREGORY, DAVID	SR. PORTFOLIO MANAGER	Na	yes	03/2014	Mar 31, 2014	Mar 29, 2016
MARZEC, ZELDA, ANN	President	C	yes	03/1984	Mar 28, 2012	Mar 29, 2016
MARZEC, ZELDA, ANN	MANAGING PARTNER/DIRECTOR	Na	yes	03/1984	Mar 28, 2012	Mar 29, 2016
BRADFORD & MARZEC EMPLOYEES' LLC	PASS THROUGH ENTITY FOR EMPLOYEE INTERESTS IN BMLLC	B	no	05/2011	Mar 16, 2015	Mar 29, 2016
RALL, JASON	CHIEF COMPLIANCE OFFICER	Na	no	02/2012	Mar 28, 2012	Mar 29, 2016

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
2015	Mar 29, 2016	$4.2B	$4.2B	32	17	n/a	1	$377M
2014	Mar 16, 2015	$4.5B	$4.5B	35	20	n/a	1	$387M
2013	Mar 31, 2014	$5.0B	$5.0B	38	19	n/a	n/a	n/a
2012	Mar 27, 2013	$4.8B	$4.8B	35	18	n/a	n/a	n/a
2011	Mar 28, 2012	$4.4B	$4.4B	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
2015	$4.2B	$4.5B	-6.2%	$4.8B	-4.2%	32	35	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
TORTOISE CREDIT STRATEGIES, LLC	4	Jun 21, 2016	Jun 27, 2016	LOS ANGELES, CA	Firm absorbed	Other	100.0%

Relationships

Controls (6)

← BROTHERS, JEFFREY, ERICOwnerSR. PORTFOLIO MANAGER/DIRECTOR, ownership code NA, individual
Sep 4, 2012 to presentfactForm ADV
← MARZEC, ZELDA, ANNOwnerPRESIDENT, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV
← ALLEN, NIGEL, GRAHAMOwnerSR. PORTFOLIO MANAGER/DIRECTOR, ownership code NA, individual
Sep 4, 2012 to presentfactForm ADV
← BRADFORD, EDWARD, THEODOREOwnerSECRETARY/TREASURER, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV
← HAENDEL, GREGORY, DAVIDOwnerSR. PORTFOLIO MANAGER, ownership code NA, individual
Mar 31, 2014 to presentfactForm ADV
← BRADFORD & MARZEC, INCOwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 28, 2012 to presentfactForm ADV

Owns (2)

← RALL, JASONOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← BRADFORD & MARZEC EMPLOYEES' LLCOwnerPASS THROUGH ENTITY FOR EMPLOYEE INTERESTS IN BMLLC, ownership code B, domestic entity
Mar 16, 2015 to presentfactForm ADV

Moved with (1)

→ TORTOISE CREDIT STRATEGIES, LLCRegistered adviser4 advisors, firm absorbed, same day
Jun 21, 2016 to Jun 27, 2016factForm ADV

Registered with (5)

← MARK STEVEN KAVOLIUSAdvisorregistration: previous registration
Jan 13, 2011 to Jun 21, 2016factForm ADV
← MICHAEL GEORGE SANCHEZAdvisorregistration: previous registration
Mar 17, 2015 to Jun 21, 2016factForm ADV
← JOHN MATTHEW HEITKEMPERAdvisorregistration: previous registration
Mar 16, 2015 to Jun 21, 2016factForm ADV
← MICHAEL JAMES KELNOSKYAdvisorregistration: previous registration
Jan 13, 2011 to Jun 21, 2016factForm ADV
← Vincent Emil ZupoAdvisorregistration: previous registration
Jan 13, 2011 to Nov 7, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:91a61c8f-bdbf-dbe9-4264-517c795d5b81
First observed: Mar 28, 2012
Last observed: Mar 29, 2016 127 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.

BRADFORD & MARZEC, LLC

CRD 105654

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:91a61c8f-bdbf-dbe9-4264-517c795d5b81

Data as of Mar 29, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:52 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALLEN, NIGEL, GRAHAM

SR. PORTFOLIO MANAGER/DIRECTOR

yes

10/2003

Sep 4, 2012

Mar 29, 2016

BRADFORD & MARZEC, INC

MANAGING MEMBER

yes

02/2008

Mar 28, 2012

Mar 29, 2016

BRADFORD, EDWARD, THEODORE

MANAGING PARTNER/DIRECTOR

yes

03/1984

Mar 28, 2012

Mar 29, 2016

BRADFORD, EDWARD, THEODORE

SECRETARY/TREASURER

yes

03/1984

Mar 28, 2012

Mar 29, 2016

BROTHERS, JEFFREY, ERIC

SR. PORTFOLIO MANAGER/DIRECTOR

yes

12/1998

Sep 4, 2012

Mar 29, 2016

HAENDEL, GREGORY, DAVID

SR. PORTFOLIO MANAGER

yes

03/2014

Mar 31, 2014

Mar 29, 2016

MARZEC, ZELDA, ANN

President

yes

03/1984

Mar 28, 2012

Mar 29, 2016

MARZEC, ZELDA, ANN

MANAGING PARTNER/DIRECTOR

yes

03/1984

Mar 28, 2012

Mar 29, 2016

BRADFORD & MARZEC EMPLOYEES' LLC

PASS THROUGH ENTITY FOR EMPLOYEE INTERESTS IN BMLLC

05/2011

Mar 16, 2015

Mar 29, 2016

RALL, JASON

CHIEF COMPLIANCE OFFICER

02/2012

Mar 28, 2012

Mar 29, 2016

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 29, 2016

$4.2B

n/a

$377M

2014

Mar 16, 2015

$4.5B

n/a

$387M

2013

Mar 31, 2014

$5.0B

n/a

2012

Mar 27, 2013

$4.8B

n/a

2011

Mar 28, 2012

$4.4B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$4.2B

$4.5B

-6.2%

$4.8B

-4.2%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

TORTOISE CREDIT STRATEGIES, LLC

Jun 21, 2016

Jun 27, 2016

LOS ANGELES, CA

Firm absorbed

Other

100.0%