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CRD 108468
WALTHAM, MA
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 |
|---|---|---|---|---|---|---|---|
| DDJ CAPITAL MANAGEMENT GROUP TRUST - HIGH YIELD INVESTMENT FUND | Other Private Fund | $326M | Mar 29, 2022 | 4 | Mar 27, 2014 | dropped | n/a |
| DDJ ARVO HIGH YIELD FUND, L.P. | Hedge Fund | $249M | Mar 26, 2015 | 2 | Mar 27, 2014 | dropped | 021-191277 |
| DDJ CAPITAL MANAGEMENT GROUP TRUST - DDJ CUSTOM HIGH YIELD FUND 2017 | Other Private Fund | $208M | Jul 12, 2019 | 2 | Mar 28, 2018 | dropped | n/a |
| DDJ/TAF STRATEGIC INCOME FUND, L.P. | Hedge Fund | $99.6M | Jul 12, 2019 | 2 | Mar 27, 2014 | dropped | 021-195206 |
| POLEN CAPITAL FUNDS, LLC - POLEN CAPITAL OPPORTUNISTIC HIGH YIELD FUND | Other Private Fund | $15.5M | Apr 30, 2024 | 5 | Mar 30, 2023 | reported | 021-454834 |
| POLEN CAPITAL FUNDS, LLC - POLEN CAPITAL FLOATING RATE LOAN FUND | Other Private Fund | $10.8M | Apr 30, 2024 | 5 | Mar 30, 2023 | reported | 021-454817 |
| DDJ INSTITUTIONAL HIGH YIELD FUND, L.P. | Other Private Fund | $8.5M | Mar 26, 2015 | 13 | Mar 28, 2013 | dropped | 021-177555 |
| POLEN CAPITAL FUNDS, LLC - POLEN CAPITAL U.S. HIGH YIELD FUND | Other Private Fund | $4.0M | Apr 30, 2024 | 3 | Mar 30, 2023 | reported | 021-454839 |
| B IV CAPITAL PARTNERS, L.P. | Private Equity Fund | $3.9M | Jun 17, 2016 | 38 | Mar 28, 2012 | dropped | 021-9999999999 |
| B III CAPITAL PARTNERS, L.P. | Private Equity Fund | $824,078 | Apr 17, 2012 | 52 | Mar 28, 2012 | dropped | 021-9999999999 |
| DDJ TOTAL RETURN LOAN FUND, L.P. | Private Equity Fund | $775,794 | Mar 26, 2020 | 13 | Mar 28, 2012 | dropped | 021-71345 |
| DDJ/ONTARIO CREDIT OPPORTUNITIES FUND L.P. | Hedge Fund | $487,312 | Jun 17, 2016 | 2 | Mar 28, 2012 | dropped | n/a |
| B III-A CAPITAL PARTNERS, L.P. | Private Equity Fund | $8,429 | Jun 17, 2016 | 11 | Mar 28, 2012 | dropped | 021-9999999999 |
| POLEN DDJ STRATEGIC INCOME PLUS FUND, L.P. | Hedge Fund | $0 | Apr 30, 2024 | 8 | Mar 28, 2012 | reported | 021-143524 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| DANIEL A. DAVIDOWITZ REVOCABLE TRUST | LIMITED PARTNER | C | yes | 05/2022 | Jul 6, 2023 | Apr 30, 2024 |
| DANIEL A. DAVIDOWITZ REVOCABLE TRUST | Member | D | yes | 05/2022 | Jul 6, 2023 | Apr 30, 2024 |
| DAVIDOWITZ, DANIEL, ADAM | Trustee | F | yes | 02/2022 | Feb 9, 2022 | Apr 30, 2024 |
| MOSS, STANLEY, CHARLES | Trustee | F | yes | 10/2015 | Feb 9, 2022 | Apr 30, 2024 |
| MOSS, STANLEY, CHARLES | CHIEF EXECUTIVE OFFICER | Na | yes | 01/2022 | Feb 9, 2022 | Apr 30, 2024 |
| POLEN CAPITAL HOLDINGS GP, LLC | GENERAL PARTNER | F | yes | 01/2020 | Feb 9, 2022 | Apr 30, 2024 |
| POLEN CAPITAL HOLDINGS, LP | Member | D | yes | 01/2020 | Feb 9, 2022 | Apr 30, 2024 |
| POLEN CAPITAL MANAGEMENT, LLC | Member | E | yes | 01/2022 | Feb 9, 2022 | Apr 30, 2024 |
| STAN C. MOSS REVOCABLE TRUST | Member | D | yes | 01/2020 | Feb 9, 2022 | Apr 30, 2024 |
| STAN C. MOSS REVOCABLE TRUST | LIMITED PARTNER | C | yes | 01/2020 | Feb 9, 2022 | Apr 30, 2024 |
| MCCARTHY, JOSHUA, LIAM | CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL | Na | no | 01/2022 | Mar 28, 2012 | Apr 30, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| POLEN CAPITAL MANAGEMENT, LLC | n/a | Asset manager | $24B | Y | yes | n/a |
| POLEN CAPITAL CLO MANAGEMENT, LLC | n/a | Asset manager | $808M | Y | yes | n/a |
| POLEN CAPITAL UK LLP | n/a | Former SEC adviser | $997,037 | N | yes | n/a |
| INCOME PARTNERS ASSET MANAGEMENT (HK) LIMITED | n/a | n/a | n/a | Y | yes | n/a |
| POLEN CAPITAL CLO EQUITY GP LLC | n/a | n/a | n/a | Y | yes | n/a |
| POLEN CAPITAL HK LIMITED | n/a | n/a | n/a | N | yes | n/a |
| POLEN/GP STRATEGIC INCOME PLUS, LLC | n/a | n/a | n/a | Y | yes | n/a |
| SUMMIT RIDGE CAPITAL PARTNERS LTD. | n/a | n/a | n/a | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| BOCA RATON | FL | United States | 2 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 26, 2026 | $6.1B | $6.1B | 46 | 28 | 2 | 3 | n/a |
| 2024 | Mar 27, 2025 | $7.4B | $7.4B | 48 | 23 | 1 | 5 | n/a |
| 2023 | Mar 28, 2024 | $7.4B | $7.4B | 52 | 22 | 1 | 4 | $30.4M |
| 2022 | Mar 30, 2023 | $6.9B | $6.9B | 43 | 17 | 0 | 4 | $56.1M |
| 2021 | Mar 29, 2022 | $8.3B | $8.3B | 47 | 15 | 0 | 2 | $365M |
| 2020 | Mar 29, 2021 | $8.0B | $8.0B | 52 | 18 | 0 | 2 | $384M |
| 2019 | Mar 26, 2020 | $7.9B | $7.9B | 55 | 18 | 0 | 3 | $366M |
| 2018 | Mar 28, 2019 | $8.2B | $8.2B | 55 | 19 | 0 | 5 | $565M |
| 2017 | Mar 28, 2018 | $7.8B | $7.8B | 56 | 20 | 0 | 5 | $650M |
| 2016 | Mar 28, 2017 | $7.6B | $7.6B | 56 | 19 | n/a | 4 | $506M |
| 2015 | Mar 28, 2016 | $7.4B | $7.4B | 57 | 20 | n/a | 7 | $393M |
| 2014 | Mar 26, 2015 | $8.0B | $8.0B | 54 | 19 | n/a | 9 | $637M |
| 2013 | Mar 27, 2014 | $7.2B | $7.2B | 52 | 18 | n/a | 9 | $575M |
| 2012 | Mar 28, 2013 | $5.0B | $5.0B | 49 | 18 | n/a | 7 | $184M |
| 2011 | Mar 28, 2012 | $3.7B | $3.7B | n/a | n/a | n/a | 7 | $336M |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $6.1B | $7.4B | -17.0% | $6.9B | -3.7% | 46 | 48 | 2 | 1 |