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

AQM CAPITAL LLC

CRD 175343

NEW YORK, NY

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Search this name across graphsid dfx:ria:a4aef5c9-54fb-82f4-1ffc-33e2ab2a7acf

Data as of Jan 6, 2020 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 3
On other graphs: 2
Observed: May 5, 2015 to Jan 6, 2020
17 observations

Across DFX

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

Private Equityidentity

AQM Capital LLC

Private equity manager · shared crd

Real Estate Fundsidentity

AQM 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: $305MItem 5.F on the latest filing (2020-01-06); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
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: 4
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 2
Private funds: 2Schedule D 7.B(1)
Private fund GAV: $305Mgross asset value as reported per fund; never fund size
Custody, client assets: $5.0M
SEC number: 801-96278
CRD: 175343
Filings on the tape: 17
First filed: May 5, 2015
Latest filed: Jan 6, 2020
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
AQUAMARINE INVESTMENT PARTNERS L.P.	Real Estate Fund	$300M	Jan 6, 2020	2	May 5, 2015	reported	n/a
AQUAMARINE PARALLEL BLOCKER I LLC	Real Estate Fund	$5.0M	Jan 6, 2020	2	Apr 29, 2016	reported	n/a
AQUAMARINE PARALLEL BLOCKER I LLC	Real Estate Fund	$5.0M	Mar 30, 2016	2	Mar 30, 2016	dropped	n/a
AQUAMARINE PARALLEL FUND I, L.P.	Real Estate Fund	$0	Mar 6, 2018	1	Sep 24, 2015	dropped	n/a

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
Dahl, Elizabeth, Marie	CHIEF OPERATING OFFICER	Na	yes	05/2018	Mar 26, 2019	Jan 6, 2020
MARTIN, WENDY, KAY	MEMBER/TRUSTEE	C	yes	06/2014	May 20, 2015	Jan 6, 2020
MOSER, JOEL, HENRY	MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	D	yes	05/2014	May 5, 2015	Jan 6, 2020
JOEL H. MOSER 2014 TRUST	Member	B	no	06/2014	May 20, 2015	Jan 6, 2020

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
AQUAMARINE CAPITAL MANAGEMENT LTD.	n/a	n/a	n/a	N	yes	n/a
AQUAMARINE INVESTMENT PARTNERS LTD.	n/a	n/a	n/a	N	yes	n/a
AQUAMARINE PARALLEL PARTNERS I, LTD	n/a	n/a	n/a	N	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
2019	Jan 6, 2020	$305M	$0	4	2	0	2	$305M
2018	Feb 12, 2019	$305M	$0	4	2	0	2	$305M
2017	Mar 6, 2018	$505M	$0	4	2	0	3	$505M
2016	Mar 27, 2017	$505M	$0	4	2	n/a	3	$505M
2015	Mar 30, 2016	$255M	$0	4	2	n/a	3	$255M

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
2019	$305M	$305M	0.0%	$505M	-15.5%	4	4	0	0

Relationships

Advises (4)

→ AQUAMARINE INVESTMENT PARTNERS L.P.Private fundReal Estate Fund, IA
May 5, 2015 to presentfactForm ADV
→ AQUAMARINE PARALLEL BLOCKER I LLCPrivate fundReal Estate Fund, IA
Apr 29, 2016 to presentfactForm ADV
→ AQUAMARINE PARALLEL FUND I, L.P.Private fundReal Estate Fund, IA, no longer reported
Sep 24, 2015 to Mar 6, 2018factForm ADV
→ AQUAMARINE PARALLEL BLOCKER I LLCPrivate fundReal Estate Fund, IA, no longer reported
Mar 30, 2016 to Mar 30, 2016factForm ADV

Controls (3)

← MOSER, JOEL, HENRYOwnerMANAGING MEMBER AND CHIEF COMPLIANCE OFFICER, ownership code D, individual
May 5, 2015 to presentfactForm ADV
← MARTIN, WENDY, KAYOwnerMEMBER/TRUSTEE, ownership code C, individual
May 20, 2015 to presentfactForm ADV
← Dahl, Elizabeth, MarieOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 26, 2019 to presentfactForm ADV

Owns (1)

← JOEL H. MOSER 2014 TRUSTOwnerMEMBER, ownership code B, domestic entity
May 20, 2015 to presentfactForm ADV

Dated events

Occurred
Mar 26, 2019
Control person joined
Marie Elizabeth Dahl (Chief Operating Officer) appeared on Schedule A of Aqm Capital Llc
Form ADVobserved 3 days ago
Occurred
Aug 9, 2018
Regulatory AUM changed
Aqm Capital Llc reported RAUM $305.0M, down 40% from $505.0M (2018-03-06 to 2018-08-09)
Form ADVobserved 3 days ago
$-200M
Occurred
May 5, 2015
First Form ADV filing
Aqm Capital Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a4aef5c9-54fb-82f4-1ffc-33e2ab2a7acf
First observed: May 5, 2015
Last observed: Jan 6, 2020 81 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.

AQM CAPITAL LLC

CRD 175343

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:a4aef5c9-54fb-82f4-1ffc-33e2ab2a7acf

Data as of Jan 6, 2020 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:42 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

AQUAMARINE INVESTMENT PARTNERS L.P.

Real Estate Fund

$300M

Jan 6, 2020

May 5, 2015

reported

n/a

AQUAMARINE PARALLEL BLOCKER I LLC

Real Estate Fund

$5.0M

Jan 6, 2020

Apr 29, 2016

reported

n/a

AQUAMARINE PARALLEL BLOCKER I LLC

Real Estate Fund

$5.0M

Mar 30, 2016

dropped

n/a

AQUAMARINE PARALLEL FUND I, L.P.

Real Estate Fund

Mar 6, 2018

Sep 24, 2015

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Dahl, Elizabeth, Marie

CHIEF OPERATING OFFICER

yes

05/2018

Mar 26, 2019

Jan 6, 2020

MARTIN, WENDY, KAY

MEMBER/TRUSTEE

yes

06/2014

May 20, 2015

Jan 6, 2020

MOSER, JOEL, HENRY

MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER

yes

05/2014

May 5, 2015

Jan 6, 2020

JOEL H. MOSER 2014 TRUST

Member

06/2014

May 20, 2015

Jan 6, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

AQUAMARINE CAPITAL MANAGEMENT LTD.

n/a

yes

n/a

AQUAMARINE INVESTMENT PARTNERS LTD.

n/a

yes

n/a

AQUAMARINE PARALLEL PARTNERS I, LTD

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Jan 6, 2020

$305M

2018

Feb 12, 2019

$305M

2017

Mar 6, 2018

$505M

2016

Mar 27, 2017

$505M

n/a

$505M

2015

Mar 30, 2016

$255M

n/a

$255M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$305M

0.0%

$505M

-15.5%