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

CHOTIN ASSET MANAGEMENT CORPORATION

CRD 151878

GREENWOOD VILLAGE, CO

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:b3c23fca-16e1-61cd-3aa1-7a734ac0386e

Data as of Oct 16, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 1
On other graphs: 0
Observed: Mar 23, 2012 to Oct 16, 2015
15 observations

Across DFX

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.

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: $692MItem 5.F on the latest filing (2015-10-16); 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: 12
Advisory employees: 6
Accounts: 4
SEC number: 801-70832
CRD: 151878
Filings on the tape: 15
First filed: Mar 23, 2012
Latest filed: Oct 16, 2015
Organised: Corporation, Colorado

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
MERCURY CDO 2004-1, LTD.	Securitized Asset Fund	$187M	Mar 13, 2015	10	Mar 21, 2013	reported	n/a
NEPTUNE CDO 2004-1, LTD.	Securitized Asset Fund	$186M	Jan 17, 2014	10	Mar 21, 2013	dropped	n/a
NEPTUNE CDO II, LTD.	Securitized Asset Fund	$88.3M	Jun 29, 2015	10	Mar 21, 2013	reported	n/a
SATURN VENTURES 2004 FUND AMERICA INVESTORS III, LTD.	Securitized Asset Fund	$45.4M	Jun 30, 2015	10	Mar 21, 2013	reported	n/a
NEPTUNE CDO V, LTD.	Securitized Asset Fund	$13.6M	Oct 1, 2015	10	Mar 21, 2013	reported	n/a
MERCURY CDO II, LTD.	Securitized Asset Fund	$0	Jan 17, 2014	10	Mar 21, 2013	dropped	n/a
NEPTUNE CDO III, LTD.	Securitized Asset Fund	$0	Jan 17, 2014	10	Mar 21, 2013	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
BROWN, NICOLE	CORPORATE SECRETARY OF CHOTIN FUND MANAGEMENT LLC (RELYING ADVISER)	Na	yes	11/2009	Mar 23, 2012	Oct 16, 2015
CHOTIN, STEVEN, BARRY	CHAIRMAN/CEO OF CHOTIN FUND MANAGEMENT LLC (RELYING ADVISER)	Na	yes	06/2005	Mar 23, 2012	Oct 16, 2015
DICKENS, HELEN, MARIE	PRESIDENT OF CHOTIN FUND MANAGEMENT LLC (RELYING ADVISER)	Na	yes	06/2005	Mar 23, 2012	Oct 16, 2015
FREDERICK, DAVID, DONALD	VICE PRESIDENT/TREASURER/CFO OF CHOTIN FUND MANAGEMENT LLC (RELYING ADVISER)	Na	yes	06/2005	Mar 23, 2012	Oct 16, 2015
LAND, JENNIFER, MARIE	EXECUTIVE VICE PRESIDENT OF CHOTIN FUND MANAGEMENT LLC (RELYING ADVISER)	Na	yes	11/2009	Mar 23, 2012	Oct 16, 2015
THE CHOTIN GROUP CORPORATION	100%	E	yes	06/2005	Mar 23, 2012	Oct 16, 2015
THE CHOTIN GROUP CORPORATION	Shareholder	E	yes	06/2005	Mar 23, 2012	Oct 16, 2015
WESTERHAUSEN, JOHN, ERIC	VICE PRESIDENT/CHIEF COMPLIANCE OFFICER OF CHOTIN FUND MANAGEMENT LLC (RELYING ADVISER)	Na	yes	04/2009	Mar 23, 2012	Oct 16, 2015

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
CHOTIN FUND MANAGEMENT, LLC	n/a	n/a	n/a	Y	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
2014	Mar 13, 2015	$692M	$0	12	6	n/a	4	$335M
2013	Mar 17, 2014	$799M	$0	12	6	n/a	4	$533M
2012	Mar 21, 2013	$1.4B	$0	13	6	n/a	7	$1.4B
2011	Mar 23, 2012	$2.4B	$2.4B	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
2014	$692M	$799M	-13.5%	$2.4B	-33.7%	12	12	n/a	n/a

Relationships

Controls (7)

← CHOTIN, STEVEN, BARRYOwnerCHAIRMAN/CEO OF CHOTIN FUND MANAGEMENT LLC (RELYING ADVISER), ownership code NA, individual
Mar 23, 2012 to presentfactForm ADV
← DICKENS, HELEN, MARIEOwnerPRESIDENT OF CHOTIN FUND MANAGEMENT LLC (RELYING ADVISER), ownership code NA, individual
Mar 23, 2012 to presentfactForm ADV
← FREDERICK, DAVID, DONALDOwnerVICE PRESIDENT/TREASURER/CFO OF CHOTIN FUND MANAGEMENT LLC (RELYING ADVISER), ownership code NA, individual
Mar 23, 2012 to presentfactForm ADV
← LAND, JENNIFER, MARIEOwnerEXECUTIVE VICE PRESIDENT OF CHOTIN FUND MANAGEMENT LLC (RELYING ADVISER), ownership code NA, individual
Mar 23, 2012 to presentfactForm ADV
← BROWN, NICOLEOwnerCORPORATE SECRETARY OF CHOTIN FUND MANAGEMENT LLC (RELYING ADVISER), ownership code NA, individual
Mar 23, 2012 to presentfactForm ADV
← WESTERHAUSEN, JOHN, ERICOwnerVICE PRESIDENT/CHIEF COMPLIANCE OFFICER OF CHOTIN FUND MANAGEMENT LLC (RELYING ADVISER), ownership code NA, individual
Mar 23, 2012 to presentfactForm ADV
← THE CHOTIN GROUP CORPORATIONOwner100%, ownership code E, domestic entity
Mar 23, 2012 to presentfactForm ADV

Advises (7)

→ NEPTUNE CDO V, LTD.Private fundSecuritized Asset Fund, IA
Mar 21, 2013 to presentfactForm ADV
→ SATURN VENTURES 2004 FUND AMERICA INVESTORS III, LTD.Private fundSecuritized Asset Fund, IA
Mar 21, 2013 to presentfactForm ADV
→ NEPTUNE CDO II, LTD.Private fundSecuritized Asset Fund, IA
Mar 21, 2013 to presentfactForm ADV
→ MERCURY CDO 2004-1, LTD.Private fundSecuritized Asset Fund, IA
Mar 21, 2013 to presentfactForm ADV
→ NEPTUNE CDO III, LTD.Private fundSecuritized Asset Fund, IA, no longer reported
Mar 21, 2013 to Jan 17, 2014factForm ADV
→ MERCURY CDO II, LTD.Private fundSecuritized Asset Fund, IA, no longer reported
Mar 21, 2013 to Jan 17, 2014factForm ADV
→ NEPTUNE CDO 2004-1, LTD.Private fundSecuritized Asset Fund, IA, no longer reported
Mar 21, 2013 to Jan 17, 2014factForm ADV

Dated events

Occurred
Jan 21, 2015
Succession filed (Item 4)
Chotin Asset Management Corporation reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b3c23fca-16e1-61cd-3aa1-7a734ac0386e
First observed: Mar 23, 2012
Last observed: Oct 16, 2015 133 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.

CHOTIN ASSET MANAGEMENT CORPORATION

CRD 151878

GREENWOOD VILLAGE, CO

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:b3c23fca-16e1-61cd-3aa1-7a734ac0386e

Data as of Oct 16, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:22 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

MERCURY CDO 2004-1, LTD.

Securitized Asset Fund

$187M

Mar 13, 2015

Mar 21, 2013

reported

n/a

NEPTUNE CDO 2004-1, LTD.

Securitized Asset Fund

$186M

Jan 17, 2014

Mar 21, 2013

dropped

n/a

NEPTUNE CDO II, LTD.

Securitized Asset Fund

$88.3M

Jun 29, 2015

Mar 21, 2013

reported

n/a

SATURN VENTURES 2004 FUND AMERICA INVESTORS III, LTD.

Securitized Asset Fund

$45.4M

Jun 30, 2015

Mar 21, 2013

reported

n/a

NEPTUNE CDO V, LTD.

Securitized Asset Fund

$13.6M

Oct 1, 2015

Mar 21, 2013

reported

n/a

MERCURY CDO II, LTD.

Securitized Asset Fund

Jan 17, 2014

Mar 21, 2013

dropped

n/a

NEPTUNE CDO III, LTD.

Securitized Asset Fund

Jan 17, 2014

Mar 21, 2013

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BROWN, NICOLE

CORPORATE SECRETARY OF CHOTIN FUND MANAGEMENT LLC (RELYING ADVISER)

yes

11/2009

Mar 23, 2012

Oct 16, 2015

CHOTIN, STEVEN, BARRY

CHAIRMAN/CEO OF CHOTIN FUND MANAGEMENT LLC (RELYING ADVISER)

yes

06/2005

Mar 23, 2012

Oct 16, 2015

DICKENS, HELEN, MARIE

PRESIDENT OF CHOTIN FUND MANAGEMENT LLC (RELYING ADVISER)

yes

06/2005

Mar 23, 2012

Oct 16, 2015

FREDERICK, DAVID, DONALD

VICE PRESIDENT/TREASURER/CFO OF CHOTIN FUND MANAGEMENT LLC (RELYING ADVISER)

yes

06/2005

Mar 23, 2012

Oct 16, 2015

LAND, JENNIFER, MARIE

EXECUTIVE VICE PRESIDENT OF CHOTIN FUND MANAGEMENT LLC (RELYING ADVISER)

yes

11/2009

Mar 23, 2012

Oct 16, 2015

THE CHOTIN GROUP CORPORATION

100%

yes

06/2005

Mar 23, 2012

Oct 16, 2015

THE CHOTIN GROUP CORPORATION

Shareholder

yes

06/2005

Mar 23, 2012

Oct 16, 2015

WESTERHAUSEN, JOHN, ERIC

VICE PRESIDENT/CHIEF COMPLIANCE OFFICER OF CHOTIN FUND MANAGEMENT LLC (RELYING ADVISER)

yes

04/2009

Mar 23, 2012

Oct 16, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CHOTIN FUND MANAGEMENT, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 13, 2015

$692M

n/a

$335M

2013

Mar 17, 2014

$799M

n/a

$533M

2012

Mar 21, 2013

$1.4B

n/a

$1.4B

2011

Mar 23, 2012

$2.4B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$692M

$799M

-13.5%

$2.4B

-33.7%

n/a