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CRD 109787
CHICAGO, IL
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 |
|---|---|---|---|---|---|---|
| ALBERT, KEVIN, KARL | BOARD OF DIRECTOR OF REGISTRANT | Na | yes | 08/2005 | Jan 4, 2012 | Sep 26, 2014 |
| ATKINS, JEFFREY, MICHAEL | BOARD OF DIRECTOR, PRESIDENT & CHIEF INVESTMENT OFFICER OF REGISTRANT | Na | yes | 06/2011 | Jan 4, 2012 | Sep 26, 2014 |
| BANK OF AMERICA CORPORATION | Shareholder | E | yes | 10/1998 | Jan 4, 2012 | Sep 26, 2014 |
| BELK, DAVID, MITCHEL | BOARD OF DIRECTOR OF REGISTRANT | Na | yes | 04/2012 | May 4, 2012 | Sep 26, 2014 |
| COSTIGAN, GREGORY, VINCENT | CHIEF COMPLIANCE OFFICER OF REGISTRANT AND RELYING ADVISER | Na | yes | 08/2013 | Sep 10, 2013 | Sep 26, 2014 |
| DEBELLIS, MICHAEL, (NMN) | ASSISTANT TREASURER FOR THE REGISTRANT AND THE RELYING ADVISOR | Na | yes | 07/2013 | Sep 13, 2013 | Sep 26, 2014 |
| EPSTEIN, RYAN, JAMES | BOARD OF DIRECTOR, EXECUTIVE VICE PRESIDENT OF REGISTRANT | Na | yes | 06/2011 | Jan 4, 2012 | Sep 26, 2014 |
| HUGHES, JEFFERSON, EARL | BOARD OF DIRECTOR OF RELYING ADVISER | Na | yes | 05/2010 | Jan 4, 2012 | Sep 26, 2014 |
| KENNEY, JEROME, PAUL | BOARD OF DIRECTOR OF REGISTRANT | Na | yes | 08/2005 | Jan 4, 2012 | Sep 26, 2014 |
| MCNAIRY, WILLIAM, L | SENIOR VICE PRESIDENT OF TAX FOR THE REGISTRANT | Na | yes | 05/2013 | Jun 4, 2013 | Sep 26, 2014 |
| MERRILL LYNCH INTERNATIONAL INCORPORATED | SOLE STOCKHOLDER OF RELYING ADVISER | E | yes | 10/2013 | Oct 1, 2013 | Sep 26, 2014 |
| NB HOLDINGS CORPORATION | Shareholder | E | yes | 10/2013 | Oct 1, 2013 | Sep 26, 2014 |
| PETTY, ALEC, WELLER BARRETT | BOARD OF DIRECTOR, AND EXECUTIVE VP FOR THE REGISTRANT AND RELYING ADVISER | Na | yes | 10/2012 | Oct 15, 2012 | Sep 26, 2014 |
| VALENTI, JOSEPH, SALVATORE | VICE PRESIDENT FOR THE REGISTRANT AND THE RELYING ADVISER | Na | yes | 09/2013 | Jun 4, 2013 | Sep 26, 2014 |
| WONG, RAYMOND, LAI MUN | BOARD OF DIRECTOR OF REGISTRANT | Na | yes | 08/2005 | Jan 4, 2012 | Sep 26, 2014 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | n/a | Wirehouse | $1782B | N | yes | NY |
| BAML CAPITAL ACCESS FUNDS MANAGEMENT, LLC | n/a | Former SEC adviser | $1.1B | N | yes | n/a |
| MERRILL LYNCH GLOBAL PRIVATE EQUITY, INC. | n/a | Former SEC adviser | $32.9M | N | yes | n/a |
| BANK OF AMERICA, NATIONAL ASSOCIATION | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| NEW YORK | NY | United States | n/a | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2013 | Mar 10, 2014 | $71.0M | $71.0M | 18 | 9 | n/a | n/a | n/a |
| 2012 | Mar 12, 2013 | $332M | $332M | 21 | 7 | n/a | n/a | n/a |
| 2011 | Jan 4, 2012 | $514M | $514M | n/a | n/a | 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 |
|---|---|---|---|---|---|---|---|---|---|
| 2013 | $71.0M | $332M | -78.6% | n/a | n/a | 18 | 21 | n/a | n/a |