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CRD 157868
NEW YORK, NY
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.
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| KCAP F3C SENIOR FUNDING, LLC | Securitized Asset Fund | $301M | Mar 29, 2018 | 16 | Jul 17, 2017 | reported | n/a |
| KATONAH 2007-I CLO LTD. | Securitized Asset Fund | $10.8M | Mar 29, 2018 | 2 | Feb 14, 2012 | reported | n/a |
| KATONAH IX CLO LTD. | Securitized Asset Fund | $0 | Jul 17, 2017 | 0 | Feb 14, 2012 | reported | n/a |
| KATONAH VIII CLO LTD. | Securitized Asset Fund | $0 | Jun 16, 2016 | 6 | Feb 14, 2012 | dropped | n/a |
| KATONAH X CLO LTD. | Securitized Asset Fund | $0 | Jul 17, 2017 | 0 | Feb 14, 2012 | reported | n/a |
| KATONAH VII CLO LTD. | Securitized Asset Fund | $0 | Jun 16, 2016 | 10 | Feb 14, 2012 | dropped | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CORLESS, ROBERT, JONATHAN | CIO OF KATONAH DEBT ADVISORS, LLC AND KCAP MANAGEMENT, LLC (RELYING ADVISER) | Na | yes | 07/2017 | Jul 17, 2017 | Mar 29, 2018 |
| GILLIGAN, DANIEL, PATRICK | CCO, VP AND DIRECTOR OF REGISTRANT AND OF KATONAH X MANAGEMENT LLC AND KATONAH 2007-1 MANAGEMENT LLC (RELYING ADVISERS) | Na | yes | 01/2016 | Feb 14, 2012 | Mar 29, 2018 |
| GILPIN, EDWARD, UDALL | CFO OF KATONAH DEBT ADVISORS, L.L.C. AND OF KATONAH X MANAGEMENT LLC AND KATONAH 2007-1 MANAGEMENT LLC (RELYING ADVISERS) | Na | yes | 12/2012 | Feb 14, 2013 | Mar 29, 2018 |
| KATONAH MANAGEMENT HOLDINGS, LLC | DIRECT OWNER OF KATONAH X MANAGEMENT LLC AND KATONAH 2007-1 MANAGEMENT LLC, (RELYING ADVISERS) | E | yes | 03/2007 | Feb 14, 2012 | Mar 29, 2018 |
| KCAP FINANCIAL, INC. | DIRECT OWNER | E | yes | 03/2007 | Feb 14, 2013 | Mar 29, 2018 |
| KCAP FINANCIAL, INC. | DIRECT OWNER AND SOLE MEMBER OF KATONAH DEBT ADVISORS, LLC AND KATONAH MANAGEMENT HOLDINGS, LLC | E | yes | 12/2006 | Feb 14, 2013 | Mar 29, 2018 |
| MAZZITELLI, DOMINICK, JOSEPH | PRESIDENT OF KATONAH DEBT ADVISORS, LLC AND OF KATONAH X MANAGEMENT LLC AND KATONAH 2007-1 MANAGEMENT LLC (RELYING ADVISERS) | Na | yes | 12/2012 | Feb 14, 2013 | Mar 29, 2018 |
| PEARSON, DAYL, WARD | VP OF KATONAH DEBT ADVISORS, LLC AND OF KATONAH X MANAGEMENT LLC AND KATONAH 2007-1 MANAGEMENT LLC (RELYING ADVISERS) | Na | yes | 12/2012 | Feb 14, 2013 | Mar 29, 2018 |
| O'KEEFE, JAMES, JOSEPH | VP OF KATONAH DEBT ADVISORS, LLC AND OF KATONAH X MANAGEMENT LLC AND KATONAH 2007-1 MANAGEMENT LLC (RELYING ADVISERS) | Na | no | 03/2015 | Mar 31, 2015 | Mar 29, 2018 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| TRIMARAN ADVISORS, LLC | n/a | Former SEC adviser | $2.7B | N | yes | n/a |
| TRIMARAN ADVISORS MANAGEMENT, L.L.C. | n/a | n/a | n/a | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2017 | Mar 29, 2018 | $311M | $311M | 12 | 8 | 0 | 2 | $311M |
| 2016 | Mar 30, 2017 | $216M | $216M | 12 | 8 | n/a | 3 | $216M |
| 2015 | Mar 29, 2016 | $247M | $247M | 12 | 8 | n/a | 5 | $247M |
| 2014 | Mar 31, 2015 | $712M | $712M | 12 | 8 | n/a | 5 | $712M |
| 2013 | Mar 31, 2014 | $1.4B | $1.4B | 12 | 8 | n/a | 5 | $1.4B |
| 2012 | Apr 1, 2013 | $1.9B | $1.9B | 13 | 9 | n/a | 5 | $1.9B |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2017 | $311M | $216M | 44.0% | $712M | -24.1% | 12 | 12 | 0 | n/a |