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CRD 104891
G•••••••, CT
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B••••• H••••••• •••••••• L••• | HOLDER OF ALL ISSUED AND OUTSTANDING COMMON STOCK | E | yes | 12/2015 | Mar 30, 2012 | May 9, 2017 |
| C•••••••• K••••• B• | CHIEF COMPLIANCE OFFICER | Na | yes | 09/2012 | Sep 4, 2012 | May 9, 2017 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| W•••• M•••••••• I•••••••• G••••• L••• | n/a | n/a | n/a | Y | no | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2016 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2016 | $5.0B | $28B | -82.0% | $34B | -47.2% | 30 | 32 | n/a | n/a |
| Member |
| E |
| yes |
| 12/2010 |
| Mar 30, 2012 |
| May 9, 2017 |
| L•••••• D••••• B•••• | PRESIDENT AND CHIEF INVESTMENT OFFICER | Na | yes | 03/2003 | Mar 30, 2012 | May 9, 2017 |
| L••• T••• H••••••• L••• | HOLDER OF ALL ISSUED AND OUTSTANDING COMMON STOCK | E | yes | 12/2006 | Mar 30, 2012 | May 9, 2017 |
| P••••••• M•••• J•••• | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER AND TREASURER | Na | yes | 09/2004 | Mar 30, 2012 | May 9, 2017 |
| R•••••• C••••••••• H•••• | Secretary | Na | yes | 03/2012 | Mar 30, 2012 | May 9, 2017 |
| W•••• M•••••••• H••••••• ••••••••• S••••••• | HOLDER OF ALL ISSUED AND OUTSTANDING COMMON STOCK | E | yes | 09/2011 | Mar 30, 2012 | May 9, 2017 |
| W•••• M•••••••• I•••••••• G••••• L••• | HOLDER OF ALL ISSUED AND OUTSTANDING COMMON STOCK | E | yes | 12/2011 | Mar 30, 2012 | May 9, 2017 |
| W•• ••••••••• I••••••••• S•• | HOLDER OF ALL ISSUED AND OUTSTANDING COMMON STOCK | E | yes | 08/2006 | Mar 28, 2016 | May 9, 2017 |
| Z•••••••• R••••••• C••••••••• | MANAGING DIRECTOR AND PORTFOLIO MANAGER | Na | yes | 03/2003 | Mar 30, 2012 | May 9, 2017 |
| $5.0B |
| $5.0B |
| 30 |
| 11 |
| n/a |
| n/a |
| n/a |
| 2015 | Mar 28, 2016 | $28B | $28B | 32 | 12 | n/a | n/a | n/a |
| 2014 | Mar 25, 2015 | $28B | $28B | 35 | 14 | n/a | n/a | n/a |
| 2013 | Mar 20, 2014 | $34B | $34B | 45 | 18 | n/a | n/a | n/a |
| 2012 | Mar 18, 2013 | $34B | $34B | 40 | 14 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $34B | $34B | n/a | n/a | n/a | n/a | n/a |