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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

HOULIHAN LOKEY

HOULIHAN LOKEY FINANCIAL ADVISORS, INC., CRD 112214

LOS ANGELES, CA

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:b6966758-46ef-a7d5-2d8b-e5c322fbabdc

Data as of Jun 30, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 1
Observed: Mar 30, 2012 to Jun 30, 2016
12 observations

Across DFX

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

Private Equityidentity

Houlihan Lokey

Intermediary · 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 177
Advisory employees: 0
SEC number: 801-54718
CRD: 112214
Filings on the tape: 12
First filed: Mar 30, 2012
Latest filed: Jun 30, 2016
Organised: Corporation, California

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
ALLEY, JAMES, LINDSEY	CHIEF FINANCIAL OFFICER	Na	yes	12/2012	Dec 7, 2012	Jun 30, 2016
BEISER, SCOTT, LEE	TRUSTEE/SERIES E COMMON	F	yes	04/2007	Mar 30, 2012	Jun 30, 2016
BEISER, SCOTT, LEE	TREASURER & DIRECTOR	Na	yes	12/2000	Mar 30, 2012	Jun 30, 2016
BERKA, JACK, WEBB	PRESIDENT & DIRECTOR	Na	yes	01/1997	Mar 30, 2012	Jun 30, 2016
CARTHANE, JULIE, ANN MARTELL	VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	Na	yes	10/2004	Mar 30, 2012	Jun 30, 2016
CRAIN, CHRISTOPHER, MADISON	GENERAL COUNSEL	Na	yes	10/2004	Mar 30, 2012	Jun 30, 2016
HL VOTING TRUST	TRUSTEE / CLASS B COMMON	D	yes	08/2015	Jun 30, 2016	Jun 30, 2016
HOULIHAN LOKEY, INC.	PARENT COMPANY	E	yes	01/1997	Mar 30, 2012	Jun 30, 2016
ORIX CAPITAL MARKETS, LLC	Owner	E	yes	10/2005	Mar 30, 2012	Jun 30, 2016
ORIX CORPORATION	Owner	E	yes	10/1981	Mar 30, 2012	Jun 30, 2016
ORIX HLHZ HOLDING LLC	SHAREHOLDER CLASS B COMMON	C	yes	08/2015	Mar 30, 2012	Jun 30, 2016
ORIX USA CORPORATION	Owner	E	yes	06/1999	Mar 30, 2012	Jun 30, 2016

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
HOULIHAN LOKEY CAPITAL, INC.	n/a	n/a	n/a	N	yes	n/a
HOULIHAN LOKEY REAL ESTATE GROUP, INC.	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
2016	Jun 30, 2016	n/a	n/a	177	0	n/a	n/a	n/a
2015	Jun 30, 2015	$110M	$0	151	10	n/a	n/a	n/a
2014	Jun 30, 2014	$120M	$0	142	10	n/a	n/a	n/a
2013	Jun 28, 2013	$136M	$0	117	10	n/a	n/a	n/a
2012	Jun 29, 2012	$134M	$0	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	n/a	$110M	n/a	$136M	n/a	177	151	n/a	n/a

Relationships

Controls (11)

← BERKA, JACK, WEBBOwnerPRESIDENT & DIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← BEISER, SCOTT, LEEOwnerTRUSTEE/SERIES E COMMON, ownership code F, individual
Mar 30, 2012 to presentfactForm ADV
← CARTHANE, JULIE, ANN MARTELLOwnerVICE PRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← ALLEY, JAMES, LINDSEYOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Dec 7, 2012 to presentfactForm ADV
← CRAIN, CHRISTOPHER, MADISONOwnerGENERAL COUNSEL, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← HL VOTING TRUSTOwnerTRUSTEE / CLASS B COMMON, ownership code D, domestic entity
Jun 30, 2016 to presentfactForm ADV
← HOULIHAN LOKEY, INC.OwnerPARENT COMPANY, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← ORIX CAPITAL MARKETS, LLCOwnerOWNER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← ORIX CORPORATIONOwnerOWNER, ownership code E, foreign entity
Mar 30, 2012 to presentfactForm ADV
← ORIX HLHZ HOLDING LLCOwnerSHAREHOLDER CLASS B COMMON, ownership code C, domestic entity
Mar 30, 2012 to presentfactForm ADV
← ORIX USA CORPORATIONOwnerOWNER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b6966758-46ef-a7d5-2d8b-e5c322fbabdc
First observed: Mar 30, 2012
Last observed: Jun 30, 2016 124 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.

HOULIHAN LOKEY

HOULIHAN LOKEY FINANCIAL ADVISORS, INC., CRD 112214

LOS ANGELES, CA

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:b6966758-46ef-a7d5-2d8b-e5c322fbabdc

Data as of Jun 30, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:29 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALLEY, JAMES, LINDSEY

CHIEF FINANCIAL OFFICER

yes

12/2012

Dec 7, 2012

Jun 30, 2016

BEISER, SCOTT, LEE

TRUSTEE/SERIES E COMMON

yes

04/2007

Mar 30, 2012

Jun 30, 2016

BEISER, SCOTT, LEE

TREASURER & DIRECTOR

yes

12/2000

Mar 30, 2012

Jun 30, 2016

BERKA, JACK, WEBB

PRESIDENT & DIRECTOR

yes

01/1997

Mar 30, 2012

Jun 30, 2016

CARTHANE, JULIE, ANN MARTELL

VICE PRESIDENT & CHIEF COMPLIANCE OFFICER

yes

10/2004

Mar 30, 2012

Jun 30, 2016

CRAIN, CHRISTOPHER, MADISON

GENERAL COUNSEL

yes

10/2004

Mar 30, 2012

Jun 30, 2016

HL VOTING TRUST

TRUSTEE / CLASS B COMMON

yes

08/2015

Jun 30, 2016

HOULIHAN LOKEY, INC.

PARENT COMPANY

yes

01/1997

Mar 30, 2012

Jun 30, 2016

ORIX CAPITAL MARKETS, LLC

Owner

yes

10/2005

Mar 30, 2012

Jun 30, 2016

ORIX CORPORATION

Owner

yes

10/1981

Mar 30, 2012

Jun 30, 2016

ORIX HLHZ HOLDING LLC

SHAREHOLDER CLASS B COMMON

yes

08/2015

Mar 30, 2012

Jun 30, 2016

ORIX USA CORPORATION

Owner

yes

06/1999

Mar 30, 2012

Jun 30, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

HOULIHAN LOKEY CAPITAL, INC.

n/a

yes

n/a

HOULIHAN LOKEY REAL ESTATE GROUP, INC.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Jun 30, 2016

n/a

177

n/a

2015

Jun 30, 2015

$110M

151

n/a

2014

Jun 30, 2014

$120M

142

n/a

2013

Jun 28, 2013

$136M

117

n/a

2012

Jun 29, 2012

$134M

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

n/a

$110M

n/a

$136M

n/a

177

151

n/a