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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

VERTICAL CAPITAL, LLC

CRD 143956

NEW YORK, NY

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Search this name across graphsid dfx:ria:a1331615-0dff-c768-dcff-46f98114e036

Data as of Apr 28, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 0
On other graphs: 2
Observed: Mar 2, 2012 to Apr 28, 2017
12 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Creditidentity

VERTICAL CAPITAL, LLC

Private credit manager · shared crd

Real Estate Fundsidentity

Vertical Capital, LLC

Real estate fund manager · shared crd

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: $417MItem 5.F on the latest filing (2017-04-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $399M
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: 10
Advisory employees: 3
Accounts: 17
Private funds: 12Schedule D 7.B(1)
Private fund GAV: $407Mgross asset value as reported per fund; never fund size
SEC number: 801-68223
CRD: 143956
Filings on the tape: 12
First filed: Mar 2, 2012
Latest filed: Apr 28, 2017
Organised: Limited Liability Company, Delaware

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
G STREET FINANCE LTD	Securitized Asset Fund	$394M	Mar 13, 2013	0	Mar 2, 2012	dropped	n/a
G SQUARE FINANCE 2006-1 LTD	Securitized Asset Fund	$358M	Mar 3, 2015	0	Mar 2, 2012	dropped	n/a
SUMMER STREET 2005-HG1 LTD	Securitized Asset Fund	$269M	Apr 28, 2017	0	Mar 2, 2012	reported	n/a
KLEROS PREFERRED FUNDING, LTD	Securitized Asset Fund	$138M	May 5, 2015	0	Mar 31, 2014	dropped	n/a
CRYSTAL COVE CDO, LTD.	Securitized Asset Fund	$40.4M	May 5, 2015	0	Mar 13, 2013	dropped	n/a
TORO ABS CDO II, LTD.	Securitized Asset Fund	$39.9M	Mar 3, 2015	0	Mar 13, 2013	dropped	n/a
VERTICAL 2003- 1 LTD.	Securitized Asset Fund	$28.7M	Apr 28, 2017	0	Mar 2, 2012	reported	n/a
RUTLAND RATED INVESTMENTS, VERTICAL MILLBROOK 2007-1	Securitized Asset Fund	$26.0M	Mar 13, 2013	0	Mar 2, 2012	dropped	n/a
E*TRADE ABS CDO IV, LTD.	Securitized Asset Fund	$26.0M	Apr 28, 2017	0	Mar 2, 2012	reported	n/a
E*TRADE ABS CDO III, LTD.	Securitized Asset Fund	$23.8M	Apr 28, 2017	0	Mar 2, 2012	reported	n/a
G SQUARE FINANCE 2007-1 LTD	Securitized Asset Fund	$19.9M	Mar 2, 2012	0	Mar 2, 2012	dropped	n/a
VERTICAL ABS CDO 2006-2, LTD.	Securitized Asset Fund	$17.2M	Apr 28, 2017	0	Mar 2, 2012	reported	n/a
E*TRADE ABS CDO I, LTD.	Securitized Asset Fund	$13.8M	Apr 28, 2017	0	Mar 2, 2012	reported	n/a
SHARP HUMOR LP	Real Estate Fund	$8.8M	Apr 28, 2017	7	Mar 2, 2012	reported	n/a
E*TRADE ABS CDO V, LTD.	Securitized Asset Fund	$7.4M	Apr 28, 2017	0	Mar 2, 2012	reported	n/a
VERTICAL ABS CDO 2005-1, LTD.	Securitized Asset Fund	$5.2M	Apr 28, 2017	0	Mar 2, 2012	reported	n/a
RESOLUTION CREDIT OPPORTUNITIES FUND, LP	Real Estate Fund	$5.1M	Apr 28, 2017	39	Mar 2, 2012	reported	021-134927
RESOLUTION CREDIT OPPORTUNITIES FUND II, LP	Real Estate Fund	$1.7M	Apr 28, 2017	10	Mar 2, 2012	reported	021-17666
VERTICAL ABS CDO 2006-1, LTD.	Securitized Asset Fund	$682,000	Apr 28, 2017	0	Mar 2, 2012	reported	n/a
RESOLUTION CREDIT OPPORTUNITIES CAYMAN FUND II, LP	Real Estate Fund	$324,000	Mar 29, 2016	1	Mar 31, 2014	reported	021-214253

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
BLACKER, KEM, HENRY	PARTNER, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER	Na	yes	12/2002	Mar 2, 2012	Apr 28, 2017
FERRARO, BETH, ANN	PARTNER AND PORTFOLIO MANAGER	Na	yes	06/2004	Mar 2, 2012	Apr 28, 2017
PORCELLI, CHRISTOPHER, GORDON	PARTNER AND CHIEF TECHNOLOGY OFFICER	Na	yes	05/2003	Mar 2, 2012	Apr 28, 2017
VCAP PARTNERS, LLC	SOLE MEMBER	E	yes	02/2007	Mar 2, 2012	Apr 28, 2017
GRAHAM, BRETT, THOMAS	Member	C	no	02/2007	Mar 2, 2012	Apr 28, 2017

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
VERTICAL CAPITAL GP II, LLC	n/a	n/a	n/a	N	yes	n/a
VERTICAL CAPITAL GP, LLC	n/a	n/a	n/a	N	yes	n/a
VERTICAL CDO MANAGEMENT ACQUISITION-E, LLC	n/a	n/a	n/a	Y	no	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
2016	Mar 15, 2017	$417M	$399M	10	3	n/a	12	$407M
2015	Mar 28, 2016	$468M	$423M	13	4	n/a	13	$440M
2014	Mar 26, 2015	$759M	$759M	13	5	n/a	15	$731M
2013	Mar 31, 2014	$1.4B	$1.4B	13	4	n/a	17	$1.4B
2012	Mar 13, 2013	$1.5B	$1.5B	11	4	n/a	17	$1.5B
2011	Mar 2, 2012	$1.3B	$1.3B	n/a	n/a	n/a	16	$1.3B

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
2016	$417M	$468M	-10.9%	$1.4B	-33.6%	10	13	n/a	n/a

Relationships

Advises (20)

→ SUMMER STREET 2005-HG1 LTDPrivate fundSecuritized Asset Fund, IA
Mar 2, 2012 to presentfactForm ADV
→ VERTICAL ABS CDO 2006-1, LTD.Private fundSecuritized Asset Fund, IA
Mar 2, 2012 to presentfactForm ADV
→ VERTICAL ABS CDO 2005-1, LTD.Private fundSecuritized Asset Fund, IA
Mar 2, 2012 to presentfactForm ADV
→ E*TRADE ABS CDO III, LTD.Private fundSecuritized Asset Fund, IA
Mar 2, 2012 to presentfactForm ADV
→ E*TRADE ABS CDO V, LTD.Private fundSecuritized Asset Fund, IA
Mar 2, 2012 to presentfactForm ADV
→ VERTICAL 2003- 1 LTD.Private fundSecuritized Asset Fund, IA
Mar 2, 2012 to presentfactForm ADV
→ SHARP HUMOR LPPrivate fundReal Estate Fund, IA
Mar 2, 2012 to presentfactForm ADV
→ RESOLUTION CREDIT OPPORTUNITIES FUND II, LPPrivate fundReal Estate Fund, IA
Mar 2, 2012 to presentfactForm ADV
→ E*TRADE ABS CDO I, LTD.Private fundSecuritized Asset Fund, IA
Mar 2, 2012 to presentfactForm ADV
→ VERTICAL ABS CDO 2006-2, LTD.Private fundSecuritized Asset Fund, IA
Mar 2, 2012 to presentfactForm ADV
→ RESOLUTION CREDIT OPPORTUNITIES FUND, LPPrivate fundReal Estate Fund, IA
Mar 2, 2012 to presentfactForm ADV
→ E*TRADE ABS CDO IV, LTD.Private fundSecuritized Asset Fund, IA
Mar 2, 2012 to presentfactForm ADV
→ RESOLUTION CREDIT OPPORTUNITIES CAYMAN FUND II, LPPrivate fundReal Estate Fund, IA
Mar 31, 2014 to presentfactForm ADV
→ KLEROS PREFERRED FUNDING, LTDPrivate fundSecuritized Asset Fund, IA, no longer reported
Mar 31, 2014 to May 5, 2015factForm ADV
→ CRYSTAL COVE CDO, LTD.Private fundSecuritized Asset Fund, IA, no longer reported
Mar 13, 2013 to May 5, 2015factForm ADV
→ TORO ABS CDO II, LTD.Private fundSecuritized Asset Fund, IA, no longer reported
Mar 13, 2013 to Mar 3, 2015factForm ADV
→ G SQUARE FINANCE 2006-1 LTDPrivate fundSecuritized Asset Fund, IA, no longer reported
Mar 2, 2012 to Mar 3, 2015factForm ADV
→ G STREET FINANCE LTDPrivate fundSecuritized Asset Fund, IA, no longer reported
Mar 2, 2012 to Mar 13, 2013factForm ADV
→ RUTLAND RATED INVESTMENTS, VERTICAL MILLBROOK 2007-1Private fundSecuritized Asset Fund, IA, no longer reported
Mar 2, 2012 to Mar 13, 2013factForm ADV
→ G SQUARE FINANCE 2007-1 LTDPrivate fundSecuritized Asset Fund, IA, no longer reported
Mar 2, 2012 to Mar 2, 2012factForm ADV

Controls (4)

← BLACKER, KEM, HENRYOwnerPARTNER, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 2, 2012 to presentfactForm ADV
← PORCELLI, CHRISTOPHER, GORDONOwnerPARTNER AND CHIEF TECHNOLOGY OFFICER, ownership code NA, individual
Mar 2, 2012 to presentfactForm ADV
← FERRARO, BETH, ANNOwnerPARTNER AND PORTFOLIO MANAGER, ownership code NA, individual
Mar 2, 2012 to presentfactForm ADV
← VCAP PARTNERS, LLCOwnerSOLE MEMBER, ownership code E, domestic entity
Mar 2, 2012 to presentfactForm ADV

Owns (1)

← GRAHAM, BRETT, THOMASOwnerMEMBER, ownership code C, individual
Mar 2, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a1331615-0dff-c768-dcff-46f98114e036
First observed: Mar 2, 2012
Last observed: Apr 28, 2017 114 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.

VERTICAL CAPITAL, LLC

CRD 143956

NEW YORK, NY

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:a1331615-0dff-c768-dcff-46f98114e036

Data as of Apr 28, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:07 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

G STREET FINANCE LTD

Securitized Asset Fund

$394M

Mar 13, 2013

Mar 2, 2012

dropped

n/a

G SQUARE FINANCE 2006-1 LTD

Securitized Asset Fund

$358M

Mar 3, 2015

Mar 2, 2012

dropped

n/a

SUMMER STREET 2005-HG1 LTD

Securitized Asset Fund

$269M

Apr 28, 2017

Mar 2, 2012

reported

n/a

KLEROS PREFERRED FUNDING, LTD

Securitized Asset Fund

$138M

May 5, 2015

Mar 31, 2014

dropped

n/a

CRYSTAL COVE CDO, LTD.

Securitized Asset Fund

$40.4M

May 5, 2015

Mar 13, 2013

dropped

n/a

TORO ABS CDO II, LTD.

Securitized Asset Fund

$39.9M

Mar 3, 2015

Mar 13, 2013

dropped

n/a

VERTICAL 2003- 1 LTD.

Securitized Asset Fund

$28.7M

Apr 28, 2017

Mar 2, 2012

reported

n/a

RUTLAND RATED INVESTMENTS, VERTICAL MILLBROOK 2007-1

Securitized Asset Fund

$26.0M

Mar 13, 2013

Mar 2, 2012

dropped

n/a

E*TRADE ABS CDO IV, LTD.

Securitized Asset Fund

$26.0M

Apr 28, 2017

Mar 2, 2012

reported

n/a

E*TRADE ABS CDO III, LTD.

Securitized Asset Fund

$23.8M

Apr 28, 2017

Mar 2, 2012

reported

n/a

G SQUARE FINANCE 2007-1 LTD

Securitized Asset Fund

$19.9M

Mar 2, 2012

dropped

n/a

VERTICAL ABS CDO 2006-2, LTD.

Securitized Asset Fund

$17.2M

Apr 28, 2017

Mar 2, 2012

reported

n/a

E*TRADE ABS CDO I, LTD.

Securitized Asset Fund

$13.8M

Apr 28, 2017

Mar 2, 2012

reported

n/a

SHARP HUMOR LP

Real Estate Fund

$8.8M

Apr 28, 2017

Mar 2, 2012

reported

n/a

E*TRADE ABS CDO V, LTD.

Securitized Asset Fund

$7.4M

Apr 28, 2017

Mar 2, 2012

reported

n/a

VERTICAL ABS CDO 2005-1, LTD.

Securitized Asset Fund

$5.2M

Apr 28, 2017

Mar 2, 2012

reported

n/a

RESOLUTION CREDIT OPPORTUNITIES FUND, LP

Real Estate Fund

$5.1M

Apr 28, 2017

Mar 2, 2012

reported

021-134927

RESOLUTION CREDIT OPPORTUNITIES FUND II, LP

Real Estate Fund

$1.7M

Apr 28, 2017

Mar 2, 2012

reported

021-17666

VERTICAL ABS CDO 2006-1, LTD.

Securitized Asset Fund

$682,000

Apr 28, 2017

Mar 2, 2012

reported

n/a

RESOLUTION CREDIT OPPORTUNITIES CAYMAN FUND II, LP

Real Estate Fund

$324,000

Mar 29, 2016

Mar 31, 2014

reported

021-214253

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BLACKER, KEM, HENRY

PARTNER, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER

yes

12/2002

Mar 2, 2012

Apr 28, 2017

FERRARO, BETH, ANN

PARTNER AND PORTFOLIO MANAGER

yes

06/2004

Mar 2, 2012

Apr 28, 2017

PORCELLI, CHRISTOPHER, GORDON

PARTNER AND CHIEF TECHNOLOGY OFFICER

yes

05/2003

Mar 2, 2012

Apr 28, 2017

VCAP PARTNERS, LLC

SOLE MEMBER

yes

02/2007

Mar 2, 2012

Apr 28, 2017

GRAHAM, BRETT, THOMAS

Member

02/2007

Mar 2, 2012

Apr 28, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

VERTICAL CAPITAL GP II, LLC

n/a

yes

n/a

VERTICAL CAPITAL GP, LLC

n/a

yes

n/a

VERTICAL CDO MANAGEMENT ACQUISITION-E, LLC

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 15, 2017

$417M

$399M

n/a

$407M

2015

Mar 28, 2016

$468M

$423M

n/a

$440M

2014

Mar 26, 2015

$759M

n/a

$731M

2013

Mar 31, 2014

$1.4B

n/a

$1.4B

2012

Mar 13, 2013

$1.5B

n/a

$1.5B

2011

Mar 2, 2012

$1.3B

n/a

$1.3B

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$417M

$468M

-10.9%

$1.4B

-33.6%

n/a