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CRD 170870
SOLANA BEACH, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| EAM EMERGING MARKETS SMALL CAP FUND, LP | Other Private Fund | $298M | Mar 29, 2024 | 7 | Mar 25, 2016 | reported | 021-254665 |
| EAM INTERNATIONAL SMALL CAP FUND, LP | Other Private Fund | $94.0M | Mar 29, 2024 | 7 | Mar 30, 2020 | reported | 021-346250 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| AURORA INVESTMENT MANAGEMENT PTY LIMITED | Trustee | F | yes | 11/2014 | Mar 26, 2015 | Mar 29, 2024 |
| AURORA TRUST | Member | E | yes | 11/2014 | Mar 26, 2015 | Mar 29, 2024 |
| CR FINANCIAL HOLDINGS, INC. | Member | E | yes | 01/2014 | May 9, 2014 | Mar 29, 2024 |
| EAM INVESTORS, LLC | MANAGER/CLASS A COMMON UNIT HOLDER | C | yes | 05/2014 | May 9, 2014 | Mar 29, 2024 |
| GAERTNER, DEREK, JOHN | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, CLASS A COMMON UNIT HOLDER | Na | yes | 05/2014 | May 9, 2014 | Mar 29, 2024 |
| HURST, FRANK, PAGE | MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER | A | yes | 05/2014 | May 9, 2014 | Mar 29, 2024 |
| HURST, FRANK, PAGE | MANAGING MEMBER | F | yes | 06/2011 | May 9, 2014 | Mar 29, 2024 |
| MOSS, JOSHUA, MATTHEW | VICE PRESIDENT, CLASS B COMMON UNIT HOLDER | Na | yes | 05/2014 | May 9, 2014 | Mar 29, 2024 |
| NORTHERN LIGHTS CAPITAL PARTNERS, LLC | Unitholder | C | yes | 11/2014 | May 9, 2014 | Mar 29, 2024 |
| NORTHERN LIGHTS MIDCO, LLC | PREFERRED UNIT HOLDER | B | yes | 07/2014 | Mar 26, 2015 | Mar 29, 2024 |
| PACIFIC CURRENT GROUP | Unitholder | D | yes | 11/2014 | Mar 31, 2017 | Mar 29, 2024 |
| PRENTICE, TRAVIS, TYLER | MANAGING MEMBER | F | yes | 07/2007 | May 9, 2014 | Mar 29, 2024 |
| PRENTICE, TRAVIS, TYLER | PRESIDENT, CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR, CLASS B COMMON UNIT HOLDER | B | yes | 05/2014 | May 9, 2014 | Mar 29, 2024 |
| ROTH, BYRON, CLARENCE | Shareholder | E | yes | 01/2000 | May 9, 2014 | Mar 29, 2024 |
| WACO LIMITED, LLC | Member | C | yes | 01/2014 | May 9, 2014 | Mar 29, 2024 |
| WACO LIMITED, LLC | CLASS A COMMON UNIT HOLDER | C | yes | 05/2014 | May 9, 2014 | Mar 29, 2024 |
| WEISENBERGER, MONTIE, LEE | MANAGING DIRECTOR, CLASS A COMMON UNIT HOLDER | B | yes | 05/2014 | May 9, 2014 | Mar 29, 2024 |
| WEISENBERGER, MONTIE, LEE | MANAGING MEMBER | F | yes | 07/2007 | May 9, 2014 | Mar 29, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| EAM INVESTORS, LLC | n/a | Institutional manager | $1.5B | Y | yes | n/a |
| NORTHERN LIGHTS CAPITAL GROUP, LLC | n/a | Former SEC adviser | $404M | N | yes | n/a |
| NLCG DISTRIBUTORS, LLC | n/a | n/a | n/a | N | yes | n/a |
| ROTH CAPITAL PARTNERS, LLC | n/a | State registered | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Spokane | Wa | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 28, 2026 | $790M | $790M | 22 | 13 | 1 | 2 | n/a |
| 2024 | Mar 28, 2025 | $1.4B | $1.4B | 20 | 13 | 1 | 2 | n/a |
| 2023 | Mar 29, 2024 | $1.4B | $1.4B | 21 | 12 | 1 | 2 | $392M |
| 2022 | Mar 30, 2023 | $1.5B | $1.5B | 23 | 13 | 1 | 2 | $313M |
| 2021 | Mar 29, 2022 | $2.0B | $2.0B | 23 | 13 | 0 | 2 | $390M |
| 2020 | Mar 29, 2021 | $1.5B | $1.5B | 19 | 12 | 0 | 2 | $315M |
| 2019 | Mar 30, 2020 | $1.2B | $1.2B | 18 | 12 | 0 | 2 | $226M |
| 2018 | Mar 25, 2019 | $781M | $781M | 17 | 12 | 0 | 1 | $98.8M |
| 2017 | Mar 29, 2018 | $943M | $943M | 15 | 10 | 0 | 1 | $142M |
| 2016 | Mar 31, 2017 | $304M | $304M | 15 | 10 | n/a | 1 | $101M |
| 2015 | Mar 25, 2016 | $108M | $108M | 15 | 10 | n/a | 1 | $36.4M |
| 2014 | Mar 26, 2015 | $2.5M | $2.5M | 14 | 10 | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $790M | $1.4B | -44.2% | $1.5B | -19.2% | 22 | 20 | 1 | 1 |