DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

SARACEN ENERGY ADVISORS, LP

CRD 136435

HOUSTON, TX

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:9c0a5737-2a84-8679-1712-e12021635f6c

Data as of Aug 16, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 0
On other graphs: 0
Observed: Dec 19, 2011 to Aug 16, 2013
6 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: $49.5MItem 5.F on the latest filing (2013-08-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $49.5M
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: 18
Advisory employees: 7
Accounts: 2
Private funds: 3Schedule D 7.B(1)
Private fund GAV: $258Mgross asset value as reported per fund; never fund size
Custody, client assets: $250M
SEC number: 801-64540
CRD: 136435
Filings on the tape: 6
First filed: Dec 19, 2011
Latest filed: Aug 16, 2013
Organised: Limited Partnership, Texas

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
SARACEN ENERGY FTR LP	Hedge Fund	$200M	Aug 16, 2013	2	Mar 30, 2012	reported	n/a
SARACEN ENERGY LP	Hedge Fund	$49.5M	Aug 16, 2013	32	Mar 30, 2012	reported	021-81431
SARACEN MERCHANT ENERGY LP	Hedge Fund	$8.0M	Aug 16, 2013	23	Mar 30, 2012	reported	021-79111

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
C3 INVESTMENTS LP	LIMITED PARTNER	C	yes	04/2009	Dec 19, 2011	Aug 16, 2013
KELLEY, KEVIN, MICHAEL	CHIEF FINANCIAL OFFICER, CHIEF INVESTMENT OFFICER AND PRESIDENT	Na	yes	04/2009	Dec 19, 2011	Aug 16, 2013
KELLEY, NEIL	CHIEF EXECUTIVE OFFICER	Na	yes	01/2005	Dec 19, 2011	Aug 16, 2013
KELLEY, NEIL, EDWARD	Member	D	yes	01/2005	Dec 19, 2011	Aug 16, 2013
KELLEY, NEIL, EDWARD	LIMITED PARTNER	E	yes	09/2010	Dec 19, 2011	Aug 16, 2013
KELLEY, NEIL, EDWARD	Member	D	yes	09/2010	Dec 19, 2011	Aug 16, 2013
KELLEY, NEIL, EDWARD	SOLE SHAREHOLDER	E	yes	04/2009	Dec 19, 2011	Aug 16, 2013
NEK INVESTCO, INC.	Member	D	yes	09/2010	Dec 19, 2011	Aug 16, 2013
NEK INVESTCO, INC.	LIMITED PARTNER	C	yes	04/2009	Dec 19, 2011	Aug 16, 2013
NEK INVESTCO, INC.	Member	C	yes	01/2005	Dec 19, 2011	Aug 16, 2013
SARACEN LLC	GENERAL PARTNER	Na	yes	01/2005	Dec 19, 2011	Aug 16, 2013
C3 INVESTMENTS GP LLC	GENERAL PARTNER	F	no	09/2010	Dec 19, 2011	Aug 16, 2013
DUENSING, ALLISON, PAIGE	GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER	Na	no	03/2010	Dec 19, 2011	Aug 16, 2013

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
SARACEN CAPITAL LP	n/a	Former SEC adviser	$194M	Y	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
2012	Mar 28, 2013	$49.5M	$49.5M	18	7	n/a	2	$208M
2011	Mar 30, 2012	$251M	$251M	n/a	n/a	n/a	3	$259M

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
2012	$49.5M	$251M	-80.2%	n/a	n/a	18	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ SARACEN CAPITAL LPRegistered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV

Advises (3)

→ SARACEN MERCHANT ENERGY LPPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ SARACEN ENERGY LPPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ SARACEN ENERGY FTR LPPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV

Controls (6)

← KELLEY, KEVIN, MICHAELOwnerCHIEF FINANCIAL OFFICER, CHIEF INVESTMENT OFFICER AND PRESIDENT, ownership code NA, individual
Dec 19, 2011 to presentfactForm ADV
← KELLEY, NEILOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Dec 19, 2011 to presentfactForm ADV
← KELLEY, NEIL, EDWARDOwnerMEMBER, ownership code D, individual
Dec 19, 2011 to presentfactForm ADV
← C3 INVESTMENTS LPOwnerLIMITED PARTNER, ownership code C, domestic entity
Dec 19, 2011 to presentfactForm ADV
← NEK INVESTCO, INC.OwnerMEMBER, ownership code D, domestic entity
Dec 19, 2011 to presentfactForm ADV
← SARACEN LLCOwnerGENERAL PARTNER, ownership code NA, domestic entity
Dec 19, 2011 to presentfactForm ADV

Owns (2)

← DUENSING, ALLISON, PAIGEOwnerGENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 19, 2011 to presentfactForm ADV
← C3 INVESTMENTS GP LLCOwnerGENERAL PARTNER, ownership code F, domestic entity
Dec 19, 2011 to presentfactForm ADV

Registered with (1)

← MARCEL STEPHEN THERIOTAdvisorregistration: previous registration
Oct 19, 2007 to Aug 29, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9c0a5737-2a84-8679-1712-e12021635f6c
First observed: Dec 19, 2011
Last observed: Aug 16, 2013 159 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.

SARACEN ENERGY ADVISORS, LP

CRD 136435

HOUSTON, TX

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:9c0a5737-2a84-8679-1712-e12021635f6c

Data as of Aug 16, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:53 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

SARACEN ENERGY FTR LP

Hedge Fund

$200M

Aug 16, 2013

Mar 30, 2012

reported

n/a

SARACEN ENERGY LP

Hedge Fund

$49.5M

Aug 16, 2013

Mar 30, 2012

reported

021-81431

SARACEN MERCHANT ENERGY LP

Hedge Fund

$8.0M

Aug 16, 2013

Mar 30, 2012

reported

021-79111

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

C3 INVESTMENTS LP

LIMITED PARTNER

yes

04/2009

Dec 19, 2011

Aug 16, 2013

KELLEY, KEVIN, MICHAEL

CHIEF FINANCIAL OFFICER, CHIEF INVESTMENT OFFICER AND PRESIDENT

yes

04/2009

Dec 19, 2011

Aug 16, 2013

KELLEY, NEIL

CHIEF EXECUTIVE OFFICER

yes

01/2005

Dec 19, 2011

Aug 16, 2013

KELLEY, NEIL, EDWARD

Member

yes

01/2005

Dec 19, 2011

Aug 16, 2013

KELLEY, NEIL, EDWARD

LIMITED PARTNER

yes

09/2010

Dec 19, 2011

Aug 16, 2013

KELLEY, NEIL, EDWARD

Member

yes

09/2010

Dec 19, 2011

Aug 16, 2013

KELLEY, NEIL, EDWARD

SOLE SHAREHOLDER

yes

04/2009

Dec 19, 2011

Aug 16, 2013

NEK INVESTCO, INC.

Member

yes

09/2010

Dec 19, 2011

Aug 16, 2013

NEK INVESTCO, INC.

LIMITED PARTNER

yes

04/2009

Dec 19, 2011

Aug 16, 2013

NEK INVESTCO, INC.

Member

yes

01/2005

Dec 19, 2011

Aug 16, 2013

SARACEN LLC

GENERAL PARTNER

yes

01/2005

Dec 19, 2011

Aug 16, 2013

C3 INVESTMENTS GP LLC

GENERAL PARTNER

09/2010

Dec 19, 2011

Aug 16, 2013

DUENSING, ALLISON, PAIGE

GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER

03/2010

Dec 19, 2011

Aug 16, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SARACEN CAPITAL LP

n/a

Former SEC adviser

$194M

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Mar 28, 2013

$49.5M

n/a

$208M

2011

Mar 30, 2012

$251M

n/a

$259M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$49.5M

$251M

-80.2%

n/a