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CRD 157801
CHICAGO, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| NYSCRF PIONEER PARTNERSHIP FUND A, L.P. | Private Equity Fund | $214M | Aug 21, 2015 | 8 | Jan 3, 2012 | reported | 021-126564 |
| CALSTRS LOWER MIDDLE MARKET FUND IV, LLC | Private Equity Fund | $212M | Aug 21, 2015 | 8 | Jan 3, 2012 | reported | 021-138242 |
| CALSTRS LOWER MIDDLE MARKET FUND III, LLC | Private Equity Fund | $195M | Aug 21, 2015 | 7 | Jan 3, 2012 | reported | 021-99104 |
| NYSCRF PIONEER PARTNERSHIP FUND A-II, L.P. | Private Equity Fund | $152M | Aug 21, 2015 | 9 | Mar 10, 2015 | reported | 021-231913 |
| THE FIRST CAPITAL ACCESS FUND, L.P. | Private Equity Fund | $103M | Aug 21, 2015 | 8 | Mar 12, 2013 | reported | 021-177843 |
| CALSTRS LOWER MIDDLE MARKET FUND V, L.P. | Private Equity Fund | $101M | Aug 21, 2015 | 7 | Mar 10, 2015 | reported | 021-215927 |
| BANC OF AMERICA CALIFORNIA COMMUNITY VENTURE FUND, LLC | Private Equity Fund | $68.4M | Aug 21, 2015 | 6 | Jan 3, 2012 | reported | 021-52493 |
| CALSTRS CALIFORNIA IMPACT FUND, LLC | Private Equity Fund | $52.9M | Aug 21, 2015 | 6 | Jan 3, 2012 | reported | 021-5336 |
| HORIZON IMPACT FUND, L.P. | Private Equity Fund | $50.3M | Aug 21, 2015 | 8 | Mar 10, 2015 | reported | 021-220718 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BANC OF AMERICA STRATEGIC INVESTMENTS CORPORATION | MEMBER OF REGISTRANT | E | yes | 09/2006 | Jan 3, 2012 | Aug 21, 2015 |
| BANK OF AMERICA CORPORATION | Shareholder | E | yes | 06/2005 | Jan 3, 2012 | Aug 21, 2015 |
| BEALE, STEPHANIE, TERESE | TREASURER OF REGISTRANT AND RELYING ADVISER | Na | yes | 05/2007 | Apr 19, 2012 | Aug 21, 2015 |
| BRINKMAN, DANIEL, JOSEPH | SENIOR RISK PARTNER FOR BUSINESS BANKING OF REGISTRANT | Na | yes | 11/2013 | Dec 23, 2013 | Aug 21, 2015 |
| COSTIGAN, GREGORY, VINCENT | CHIEF COMPLIANCE OFFICER OF REGISTRANT AND RELYING ADVISER | Na | yes | 08/2013 | Sep 10, 2013 | Aug 21, 2015 |
| FOWLER, CRAIG, CAMERON | MANAGING DIRECTOR OF REGISTRANT AND RELYING ADVISER | Na | yes | 02/2003 | Apr 19, 2012 | Aug 21, 2015 |
| HOGANBRUEN, MATTHEW, GREGORY | MEMBER OF BOARD OF MANAGERS OF REGISTRANT | Na | yes | 11/2013 | Apr 19, 2012 | Aug 21, 2015 |
| LIM, DANIEL, SAE WHAN | MEMBER OF BOARD OF MANAGERS AND SENIOR RISK EXECUTIVE OF REGISTRANT | Na | yes | 10/2014 | Oct 24, 2014 | Aug 21, 2015 |
| PHILLIPS, JAMES, WILLIAM | ASSISTANT CONTROLLER OF REGISTRANT AND RELYING ADVISER | Na | yes | 09/2006 | Apr 19, 2012 | Aug 21, 2015 |
| POWERS, EDWARD, JOHN | PRESIDENT AND MEMBER OF BOARD OF MANAGERS OF REGISTRANT AND RELYING ADVISER | Na | yes | 09/2006 | Jan 3, 2012 | Aug 21, 2015 |
| SHAH, SANJIV, KANU | MEMBER OF BOARD OF MANAGERS OF REGISTRANT | Na | yes | 11/2013 | Apr 19, 2012 | Aug 21, 2015 |
| SMITH JR, GEORGE, W | MEMBER OF BOARD OF MANAGERS OF REGISTRANT AND RELYING ADVISER | Na | yes | 11/2011 | Jan 3, 2012 | Aug 21, 2015 |
| 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 | n/a |
| MERRILL LYNCH ALTERNATIVE INVESTMENTS LLC | n/a | Former SEC adviser | $93.3M | N | yes | n/a |
| BANK OF AMERICA, NATIONAL ASSOCIATION | n/a | n/a | n/a | N | yes | CA |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Washington | Dc | United States | n/a | no |
| Clayton | Mo | United States | n/a | no |
| NEW YORK | NY | United States | n/a | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2014 | Mar 10, 2015 | $1.1B | $990M | 18 | 11 | n/a | 9 | $1.1B |
| 2013 | Mar 10, 2014 | $837M | $818M | 18 | 11 | n/a | 6 | $837M |
| 2012 | Mar 12, 2013 | $855M | $771M | 21 | 11 | n/a | 6 | $855M |
| 2011 | Jan 3, 2012 | $667M | $544M | n/a | n/a | n/a | 5 | $667M |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2014 | $1.1B | $837M | 37.2% | $667M | 19.8% | 18 | 18 | n/a | n/a |