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

ELBROOK HOLDINGS

ELBROOK HOLDINGS, LLC, CRD 153142

CINCINNATI, OH

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:abadb0fc-1b62-1bd1-324d-1e53744cd98c

Data as of Mar 29, 2017 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 0
On other graphs: 1
Observed: Mar 28, 2012 to Mar 29, 2017
7 observations

Across DFX

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

Private Equityidentity

Elbrook Holdings

Private equity 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: $105MItem 5.F on the latest filing (2017-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $105M
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: 0
Advisory employees: 0
Accounts: 2
Custody, client assets: $105M
SEC number: 801-71198
CRD: 153142
Filings on the tape: 7
First filed: Mar 28, 2012
Latest filed: Mar 29, 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
PM MANAGER FUND, SPC. -- SEGREGATED PORTFOLIO 23	Hedge Fund	$47.7M	Mar 30, 2015	14	Mar 28, 2012	dropped	021-141055
ELBROOK OFFSHORE FUND, LTD.	Hedge Fund	$22.4M	Mar 30, 2015	10	Mar 28, 2013	dropped	021-180593
FSI SKYLINE FUND OC, LTD.	Private Equity Fund	$97,943	Mar 26, 2014	1	Mar 28, 2012	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
CROOG, CHARLES, FREDERICK	GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER	Na	yes	09/2003	Mar 28, 2012	Mar 29, 2017
FSI GROUP, LLC	Member	E	yes	09/2003	Mar 28, 2012	Mar 29, 2017
STEIN, JOHN, MAGRISH	Member	C	yes	04/2008	Mar 28, 2012	Mar 29, 2017
STEIN, JOHN, MAGRISH	Shareholder	C	yes	04/2008	Mar 28, 2012	Mar 29, 2017
STEIN, JOHN, MAGRISH	ELECTED MANAGER, PRESIDENT, CHIEF OPERATING OFFICER	Na	yes	09/2003	Mar 28, 2012	Mar 29, 2017
STEIN, STEVEN, NEAL	Member	C	yes	04/2008	Mar 28, 2012	Mar 29, 2017
STEIN, STEVEN, NEAL	Shareholder	D	yes	04/2008	Mar 28, 2012	Mar 29, 2017
STEIN, STEVEN, NEAL	ELECTED MANAGER, CHAIRMAN & CHIEF EXECUTIVE OFFICER	Na	yes	09/2003	Mar 28, 2012	Mar 29, 2017
WARM, ALEXANDER, DAVID	Shareholder	C	yes	04/2008	Mar 28, 2012	Mar 29, 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
FSI GROUP, LLC	n/a	Former SEC adviser	$89.5M	Y	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
WALNUT CREEK	CA	United States	n/a	no
Greenwich	Ct	United States	n/a	no

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 29, 2017	$105M	$105M	0	0	n/a	n/a	n/a
2015	Mar 29, 2016	$180M	$180M	0	0	n/a	n/a	n/a
2014	Mar 30, 2015	$249M	$249M	0	0	n/a	2	$70.1M
2013	Mar 26, 2014	$349M	$349M	0	0	n/a	3	$162M
2012	Mar 28, 2013	$316M	$316M	0	0	n/a	3	$106M
2011	Mar 28, 2012	$254M	$254M	n/a	n/a	n/a	n/a	n/a

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	$105M	$180M	-41.8%	$349M	-33.1%	0	0	n/a	n/a

Relationships

Affiliated with (1)

→ FSI GROUP, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, control
factForm ADV

Controls (5)

← FSI GROUP, LLCOwnerMEMBER, ownership code E, domestic entity
Mar 28, 2012 to presentfactForm ADV
← STEIN, STEVEN, NEALOwnerSHAREHOLDER, ownership code D, individual
Mar 28, 2012 to presentfactForm ADV
← STEIN, JOHN, MAGRISHOwnerSHAREHOLDER, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV
← WARM, ALEXANDER, DAVIDOwnerSHAREHOLDER, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV
← CROOG, CHARLES, FREDERICKOwnerGENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV

Advises (3)

→ ELBROOK OFFSHORE FUND, LTD.Private fundHedge Fund, IA, no longer reported
Mar 28, 2013 to Mar 30, 2015factForm ADV
→ PM MANAGER FUND, SPC. -- SEGREGATED PORTFOLIO 23Private fundHedge Fund, IA, no longer reported
Mar 28, 2012 to Mar 30, 2015factForm ADV
→ FSI SKYLINE FUND OC, LTD.Private fundPrivate Equity Fund, IA, no longer reported
Mar 28, 2012 to Mar 26, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:abadb0fc-1b62-1bd1-324d-1e53744cd98c
First observed: Mar 28, 2012
Last observed: Mar 29, 2017 115 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.

ELBROOK HOLDINGS

ELBROOK HOLDINGS, LLC, CRD 153142

CINCINNATI, OH

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:abadb0fc-1b62-1bd1-324d-1e53744cd98c

Data as of Mar 29, 2017 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:04 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

PM MANAGER FUND, SPC. -- SEGREGATED PORTFOLIO 23

Hedge Fund

$47.7M

Mar 30, 2015

Mar 28, 2012

dropped

021-141055

ELBROOK OFFSHORE FUND, LTD.

Hedge Fund

$22.4M

Mar 30, 2015

Mar 28, 2013

dropped

021-180593

FSI SKYLINE FUND OC, LTD.

Private Equity Fund

$97,943

Mar 26, 2014

Mar 28, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CROOG, CHARLES, FREDERICK

GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER

yes

09/2003

Mar 28, 2012

Mar 29, 2017

FSI GROUP, LLC

Member

yes

09/2003

Mar 28, 2012

Mar 29, 2017

STEIN, JOHN, MAGRISH

Member

yes

04/2008

Mar 28, 2012

Mar 29, 2017

STEIN, JOHN, MAGRISH

Shareholder

yes

04/2008

Mar 28, 2012

Mar 29, 2017

STEIN, JOHN, MAGRISH

ELECTED MANAGER, PRESIDENT, CHIEF OPERATING OFFICER

yes

09/2003

Mar 28, 2012

Mar 29, 2017

STEIN, STEVEN, NEAL

Member

yes

04/2008

Mar 28, 2012

Mar 29, 2017

STEIN, STEVEN, NEAL

Shareholder

yes

04/2008

Mar 28, 2012

Mar 29, 2017

STEIN, STEVEN, NEAL

ELECTED MANAGER, CHAIRMAN & CHIEF EXECUTIVE OFFICER

yes

09/2003

Mar 28, 2012

Mar 29, 2017

WARM, ALEXANDER, DAVID

Shareholder

yes

04/2008

Mar 28, 2012

Mar 29, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

FSI GROUP, LLC

n/a

Former SEC adviser

$89.5M

n/a

City

State

Country

Employees

Also broker-dealer

WALNUT CREEK

United States

n/a

Greenwich

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 29, 2017

$105M

n/a

2015

Mar 29, 2016

$180M

n/a

2014

Mar 30, 2015

$249M

n/a

$70.1M

2013

Mar 26, 2014

$349M

n/a

$162M

2012

Mar 28, 2013

$316M

n/a

$106M

2011

Mar 28, 2012

$254M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$105M

$180M

-41.8%

$349M

-33.1%

n/a