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CRD 161694
NORWALK, CT
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| GEORGE MARK O'DOWD | n/a | NORWALK, CT | 6 | 14 | n/a | yes |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| PREMIUM CAPITAL APPRECIATION FUND B.V. | Hedge Fund | $149M | May 13, 2015 | 1,220 | Mar 31, 2014 | dropped | n/a |
| QUANTEK MASTER FUND SPC LTD. | Hedge Fund | $9.8M | May 13, 2019 | 105 | Mar 31, 2014 | reported | n/a |
| MADISON NICHE ASSETS FUND, LTD | Other Private Fund | $6.2M | May 13, 2019 | 24 | Mar 28, 2012 | reported | 021-115545 |
| WHITECAP OFFSHORE FUND II, LTD. | Hedge Fund | $753,372 | Jan 8, 2018 | 8 | Apr 16, 2014 | dropped | n/a |
| MADISON NICHE ASSETS FUND, LLC | Other Private Fund | $426,581 | May 13, 2019 | 10 | Mar 28, 2012 | reported | 021-128735 |
| MADISON NICHE OPPORTUNITIES FUND, LTD | Other Private Fund | $374,898 | May 13, 2019 | 27 | Mar 28, 2012 | reported | 021-115544 |
| OCTAVE-1 FUND, LTD. | Hedge Fund | $297,000 | Nov 6, 2014 | 4 | Apr 16, 2014 | dropped | n/a |
| MADISON NICHE OPPORTUNITIES FUND, LLC | Other Private Fund | $23,071 | May 13, 2019 | 14 | Mar 28, 2012 | reported | 021-68042 |
| MADISON NICHE ASSETS MASTER FUND, LTD | Other Private Fund | $0 | May 13, 2019 | 2 | Jan 30, 2013 | reported | n/a |
| MADISON NICHE OPPORTUNITIES MASTER FUND, LTD | Other Private Fund | $0 | May 13, 2019 | 2 | Jan 30, 2013 | reported | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| LAI, AMY | EXECUTIVE COMMITTEE MEMBER | Na | yes | 02/2012 | Mar 1, 2012 | May 13, 2019 |
| Locke, Guy | Manager | Na | yes | 06/2016 | Jun 27, 2016 | May 13, 2019 |
| MATTHEWS, JAMES, SPENCER | Owner | B | yes | 06/2016 | Jun 27, 2016 | May 13, 2019 |
| O'DOWD, GEORGE, MARK | Owner | E | yes | 06/2016 | Mar 1, 2012 | May 13, 2019 |
| O'DOWD, GEORGE, MARK | EXECUTIVE COMMITTEE MEMBER, MANAGER AND CHIEF COMPLIANCE OFFICER | Na | yes | 02/2012 | Mar 1, 2012 | May 13, 2019 |
| STAVELEY, MICHAEL, KENNETH | OWNER AND MANAGER | B | yes | 06/2016 | Mar 31, 2014 | May 13, 2019 |
| CORRIN, NICOLA, JAYNE | Owner | Na | no | 06/2016 | Jun 27, 2016 | May 13, 2019 |
| GERVAIS, DAVID | Owner | A | no | 06/2016 | Jun 27, 2016 | May 13, 2019 |
| GMOD LLC | Owner | B | no | 06/2016 | Jun 27, 2016 | May 13, 2019 |
| HIGGINS, DAVID, JOHN | Owner | A | no | 06/2016 | Jun 27, 2016 | May 13, 2019 |
| HORNER, EDWARD, MARCUS | Owner | B | no | 06/2016 | Jun 27, 2016 | May 13, 2019 |
| MORANDI, FABIO, NICOLA RAFFAELE | Owner | A | no | 06/2016 | Jun 27, 2016 | May 13, 2019 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| ERG SECURITIES (US) LLC | n/a | n/a | n/a | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2018 | Mar 29, 2019 | $16.9M | $0 | 3 | 2 | 0 | 7 | $16.9M |
| 2017 | Mar 29, 2018 | $573M | $0 | 6 | 3 | 1 | 7 | $32.2M |
| 2016 | Mar 30, 2017 | $526M | $0 | 8 | 3 | n/a | 8 | $36.8M |
| 2015 | Mar 30, 2016 | $587M | $0 | 8 | 3 | n/a | 2 | $17.8M |
| 2014 | Mar 30, 2015 | $654M | $149M | 8 | 3 | n/a | 3 | $196M |
| 2013 | Mar 31, 2014 | $643M | $149M | 10 | 2 | n/a | 2 | $209M |
| 2012 | Mar 28, 2013 | $502M | $0 | 10 | 2 | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2018 | $16.9M | $573M | -97.0% | $587M | -69.3% | 3 | 6 | 0 | 1 |