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

CERTIUM ASSET MANAGEMENT LLC

CRD 146028

ATLANTA, GA

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:bec0cf7b-7ff7-3d1d-c009-2d5ad7ca2df2

Data as of Jul 16, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Jul 16, 2015
10 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: $155MItem 5.F on the latest filing (2015-07-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $155M
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: 3
Advisory employees: 3
Accounts: 7
SEC number: 801-68742
CRD: 146028
Filings on the tape: 10
First filed: Mar 29, 2012
Latest filed: Jul 16, 2015
Organised: Limited Liability Company, Delaware

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
DEAKINS, JOHN, CHADWICK	CHIEF INVESTMENT OFFICER	Na	yes	01/2008	Mar 29, 2012	Jul 16, 2015
LIGHTYEAR FUND III AIV-2, L.P.	MEMBER; MAJORITY INTEREST HOLDER OF CLASS A-1 UNITS	D	yes	11/2013	Jun 26, 2014	Jul 16, 2015
PARIKH, ASHI, SARVABHAUM	CHIEF EXECUTIVE OFFICER	Na	yes	01/2008	Mar 29, 2012	Jul 16, 2015
RIDGEWORTH CAPITAL MANAGEMENT LLC	MANAGING MEMBER	E	yes	12/2007	Mar 29, 2012	Jul 16, 2015
RIDGEWORTH HOLDINGS LLC	Member	E	yes	11/2013	Jun 26, 2014	Jul 16, 2015
ROSSON, JOSIE, CLEMONS	CHIEF COMPLIANCE OFFICER	Na	yes	12/2010	Mar 29, 2012	Jul 16, 2015
SPACE ACQUISITION CO. LLC	Member	E	yes	05/2014	Jun 26, 2014	Jul 16, 2015
SPACE INTERMEDIATE LLC	Member	E	yes	11/2013	Jun 26, 2014	Jul 16, 2015
STEBBINS, JOHN, HOWARD	CHIEF FINANCIAL OFFICER	Na	yes	01/2008	Mar 29, 2012	Jul 16, 2015
WAY, GEORGE, MICHAEL	CHIEF OPERATING OFFICER	Na	yes	05/2014	Jun 26, 2014	Jul 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
SEIX INVESTMENT ADVISORS LLC	n/a	Other adviser	$35B	N	yes	n/a
CEREDEX VALUE ADVISORS LLC	n/a	Other adviser	$3.4B	N	yes	n/a
SILVANT CAPITAL MANAGEMENT LLC	n/a	Asset manager	$3.0B	N	yes	n/a
RIDGEWORTH CAPITAL MANAGEMENT LLC	n/a	Other adviser	$1.5B	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
Orlando	FL	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
2014	Mar 27, 2015	$155M	$155M	3	3	n/a	n/a	n/a
2013	Mar 10, 2014	$853M	$853M	3	3	n/a	n/a	n/a
2012	Mar 26, 2013	$1.2B	$1.2B	4	4	n/a	n/a	n/a
2011	Mar 29, 2012	$1.1B	$1.1B	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	$155M	$853M	-81.8%	$1.1B	-48.5%	3	3	n/a	n/a

Relationships

Affiliated with (5)

→ VIRTUS CAPITAL ADVISERS, LLCRegistered adviserother investment adviser, control
factForm ADV
→ CEREDEX VALUE ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ SILVANT CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
→ VIRTUS FIXED INCOME ADVISERS, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← STABLERIVER CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (10)

← RIDGEWORTH CAPITAL MANAGEMENT LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 29, 2012 to presentfactForm ADV
← ROSSON, JOSIE, CLEMONSOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← PARIKH, ASHI, SARVABHAUMOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← WAY, GEORGE, MICHAELOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Jun 26, 2014 to presentfactForm ADV
← STEBBINS, JOHN, HOWARDOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← DEAKINS, JOHN, CHADWICKOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← LIGHTYEAR FUND III AIV-2, L.P.OwnerMEMBER; MAJORITY INTEREST HOLDER OF CLASS A-1 UNITS, ownership code D, domestic entity
Jun 26, 2014 to presentfactForm ADV
← RIDGEWORTH HOLDINGS LLCOwnerMEMBER, ownership code E, domestic entity
Jun 26, 2014 to presentfactForm ADV
← SPACE ACQUISITION CO. LLCOwnerMEMBER, ownership code E, domestic entity
Jun 26, 2014 to presentfactForm ADV
← SPACE INTERMEDIATE LLCOwnerMEMBER, ownership code E, domestic entity
Jun 26, 2014 to presentfactForm ADV

Registered with (1)

← DARA BETH DAYAdvisorregistration: previous registration
Oct 17, 2008 to May 25, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bec0cf7b-7ff7-3d1d-c009-2d5ad7ca2df2
First observed: Mar 29, 2012
Last observed: Jul 16, 2015 136 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.

CERTIUM ASSET MANAGEMENT LLC

CRD 146028

ATLANTA, GA

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:bec0cf7b-7ff7-3d1d-c009-2d5ad7ca2df2

Data as of Jul 16, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:23 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DEAKINS, JOHN, CHADWICK

CHIEF INVESTMENT OFFICER

yes

01/2008

Mar 29, 2012

Jul 16, 2015

LIGHTYEAR FUND III AIV-2, L.P.

MEMBER; MAJORITY INTEREST HOLDER OF CLASS A-1 UNITS

yes

11/2013

Jun 26, 2014

Jul 16, 2015

PARIKH, ASHI, SARVABHAUM

CHIEF EXECUTIVE OFFICER

yes

01/2008

Mar 29, 2012

Jul 16, 2015

RIDGEWORTH CAPITAL MANAGEMENT LLC

MANAGING MEMBER

yes

12/2007

Mar 29, 2012

Jul 16, 2015

RIDGEWORTH HOLDINGS LLC

Member

yes

11/2013

Jun 26, 2014

Jul 16, 2015

ROSSON, JOSIE, CLEMONS

CHIEF COMPLIANCE OFFICER

yes

12/2010

Mar 29, 2012

Jul 16, 2015

SPACE ACQUISITION CO. LLC

Member

yes

05/2014

Jun 26, 2014

Jul 16, 2015

SPACE INTERMEDIATE LLC

Member

yes

11/2013

Jun 26, 2014

Jul 16, 2015

STEBBINS, JOHN, HOWARD

CHIEF FINANCIAL OFFICER

yes

01/2008

Mar 29, 2012

Jul 16, 2015

WAY, GEORGE, MICHAEL

CHIEF OPERATING OFFICER

yes

05/2014

Jun 26, 2014

Jul 16, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SEIX INVESTMENT ADVISORS LLC

n/a

Other adviser

$35B

yes

n/a

CEREDEX VALUE ADVISORS LLC

n/a

Other adviser

$3.4B

yes

n/a

SILVANT CAPITAL MANAGEMENT LLC

n/a

Asset manager

$3.0B

yes

n/a

RIDGEWORTH CAPITAL MANAGEMENT LLC

n/a

Other adviser

$1.5B

n/a

City

State

Country

Employees

Also broker-dealer

Orlando

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 27, 2015

$155M

n/a

2013

Mar 10, 2014

$853M

n/a

2012

Mar 26, 2013

$1.2B

n/a

2011

Mar 29, 2012

$1.1B

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

$155M

$853M

-81.8%

$1.1B

-48.5%

n/a