DFX Intelligence

Data Factory

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

STRUCTURED ASSET INVESTORS, LLC

CRD 131539

NEW YORK, NY

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:cc977dc6-5cb1-ee1e-e505-1abaa010e1e9

Data as of Nov 13, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 2
On other graphs: 0
Observed: Mar 30, 2012 to Nov 13, 2018
37 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: $168MItem 5.F on the latest filing (2018-11-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $168M
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: 255
Advisory employees: 227
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 6
Custody, client assets: $20.4M
SEC number: 801-63263
CRD: 131539
Filings on the tape: 37
First filed: Mar 30, 2012
Latest filed: Nov 13, 2018
Organised: Limited Liability Company, Delaware

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
WACHOVIA CRE CDO 2006-1	Securitized Asset Fund	$276M	Aug 28, 2015	0	Mar 30, 2012	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
ADAMS, BENJAMIN, ROBERT	DIRECTOR/PORTFOLIO MANAGER	Na	yes	02/2016	Mar 30, 2012	Nov 13, 2018
DOLHARE, WALTER, ERNESTO	President	Na	yes	02/2016	Mar 30, 2012	Nov 13, 2018
DOUTHIT, PHILIP, S	DIRECTOR/PORTFOLIO MANAGER	Na	yes	02/2016	Mar 30, 2012	Nov 13, 2018
JEANNE, PAUL, ANDREW	Manager	Na	yes	07/2018	Sep 26, 2018	Nov 13, 2018
RILEY, MICHAEL, FRANCIS	EXECUTIVE VICE PRESIDENT	Na	yes	07/2017	Oct 23, 2017	Nov 13, 2018
SMITH, JESSICA, L	CHIEF COMPLIANCE OFFICER	Na	yes	12/2018	Dec 20, 2017	Nov 13, 2018
THREADGILL, WILLIAM, ANDREW	CHIEF ADMINISTRATIVE OFFICER; MANAGING DIRECTOR	Na	yes	02/2016	Mar 30, 2012	Nov 13, 2018
WELLS FARGO & COMPANY	Shareholder	E	yes	05/2004	Mar 30, 2012	Nov 13, 2018
BARROSO, VICTORIA	Secretary	Na	no	03/2016	Mar 24, 2016	Nov 13, 2018
LEA-KAHLE, DIANA, L	ASSISTANT SECRETARY	Na	no	02/2016	May 18, 2012	Nov 13, 2018
NELSON, STEPHEN, GREENWOOD	Treasurer	Na	no	04/2014	May 1, 2014	Nov 13, 2018

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
STRUCTURED CREDIT PARTNERS LLC	n/a	Former SEC adviser	$80.7M	N	yes	n/a
WELLS FARGO BANK NATIONAL ASSOCIATION	n/a	n/a	n/a	N	yes	n/a
WELLS FARGO PRIME SERVICES, LLC	n/a	n/a	n/a	N	yes	n/a
WELLS FARGO SECURITIES, LLC	n/a	n/a	n/a	N	yes	Nc

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Charlotte	Nc	United States	1	yes

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
2017	Mar 28, 2018	$437M	$437M	255	227	1	n/a	n/a
2016	Mar 25, 2017	$384M	$384M	19	2	n/a	n/a	n/a
2015	Mar 24, 2016	$383M	$383M	17	2	n/a	n/a	n/a
2014	Mar 31, 2015	$616M	$616M	20	3	n/a	1	$276M
2013	Jan 28, 2014	$616M	$616M	12	6	n/a	1	$616M
2012	Mar 26, 2013	$956M	$956M	12	6	n/a	1	$1.2B
2011	Mar 30, 2012	$1.2B	$1.2B	n/a	n/a	n/a	1	$1.2B

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
2017	$168M	$384M	-56.1%	$616M	-35.1%	255	19	1	n/a

Relationships

Affiliated with (2)

← STRUCTURED CREDIT PARTNERS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ STRUCTURED CREDIT PARTNERS LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (8)

← DOLHARE, WALTER, ERNESTOOwnerPRESIDENT, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← JEANNE, PAUL, ANDREWOwnerMANAGER, ownership code NA, individual
Sep 26, 2018 to presentfactForm ADV
← THREADGILL, WILLIAM, ANDREWOwnerCHIEF ADMINISTRATIVE OFFICER; MANAGING DIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← ADAMS, BENJAMIN, ROBERTOwnerDIRECTOR/PORTFOLIO MANAGER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← DOUTHIT, PHILIP, SOwnerDIRECTOR/PORTFOLIO MANAGER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← RILEY, MICHAEL, FRANCISOwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual
Oct 23, 2017 to presentfactForm ADV
← SMITH, JESSICA, LOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 20, 2017 to presentfactForm ADV
← WELLS FARGO & COMPANYOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Owns (3)

← LEA-KAHLE, DIANA, LOwnerASSISTANT SECRETARY, ownership code NA, individual
May 18, 2012 to presentfactForm ADV
← NELSON, STEPHEN, GREENWOODOwnerTREASURER, ownership code NA, individual
May 1, 2014 to presentfactForm ADV
← BARROSO, VICTORIAOwnerSECRETARY, ownership code NA, individual
Mar 24, 2016 to presentfactForm ADV

Advises (1)

→ WACHOVIA CRE CDO 2006-1Private fundSecuritized Asset Fund, IA, no longer reported
Mar 30, 2012 to Aug 28, 2015factForm ADV

Registered with (3)

← LISA ANNE SEGNERAdvisorregistration: previous registration
Dec 11, 2012 to Oct 8, 2013factForm ADV
← RYAN RAND TINGEYAdvisorregistration: previous registration
Oct 25, 2011 to Oct 3, 2013factForm ADV
← ROBERT CHARLES DAUMAdvisorregistration: previous registration
Mar 7, 2011 to Apr 4, 2012factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jun 28, 2018
Regulatory AUM changed
Structured Asset Investors, Llc reported RAUM $168.4M, down 61% from $436.8M (2018-04-23 to 2018-06-28)
Form ADVobserved 4 days ago
$-268M

Show 1 bookkeeping events

Occurred
Mar 28, 2018
Structured Asset Investors, Llc reported 236 state-registered advisory representatives, up from 6 (2017-12-20 to 2018-03-28)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cc977dc6-5cb1-ee1e-e505-1abaa010e1e9
First observed: Mar 30, 2012
Last observed: Nov 13, 2018 95 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.

STRUCTURED ASSET INVESTORS, LLC

CRD 131539

NEW YORK, NY

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:cc977dc6-5cb1-ee1e-e505-1abaa010e1e9

Data as of Nov 13, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:05 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

WACHOVIA CRE CDO 2006-1

Securitized Asset Fund

$276M

Aug 28, 2015

Mar 30, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ADAMS, BENJAMIN, ROBERT

DIRECTOR/PORTFOLIO MANAGER

yes

02/2016

Mar 30, 2012

Nov 13, 2018

DOLHARE, WALTER, ERNESTO

President

yes

02/2016

Mar 30, 2012

Nov 13, 2018

DOUTHIT, PHILIP, S

DIRECTOR/PORTFOLIO MANAGER

yes

02/2016

Mar 30, 2012

Nov 13, 2018

JEANNE, PAUL, ANDREW

Manager

yes

07/2018

Sep 26, 2018

Nov 13, 2018

RILEY, MICHAEL, FRANCIS

EXECUTIVE VICE PRESIDENT

yes

07/2017

Oct 23, 2017

Nov 13, 2018

SMITH, JESSICA, L

CHIEF COMPLIANCE OFFICER

yes

12/2018

Dec 20, 2017

Nov 13, 2018

THREADGILL, WILLIAM, ANDREW

CHIEF ADMINISTRATIVE OFFICER; MANAGING DIRECTOR

yes

02/2016

Mar 30, 2012

Nov 13, 2018

WELLS FARGO & COMPANY

Shareholder

yes

05/2004

Mar 30, 2012

Nov 13, 2018

BARROSO, VICTORIA

Secretary

03/2016

Mar 24, 2016

Nov 13, 2018

LEA-KAHLE, DIANA, L

ASSISTANT SECRETARY

02/2016

May 18, 2012

Nov 13, 2018

NELSON, STEPHEN, GREENWOOD

Treasurer

04/2014

May 1, 2014

Nov 13, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

STRUCTURED CREDIT PARTNERS LLC

n/a

Former SEC adviser

$80.7M

yes

n/a

WELLS FARGO BANK NATIONAL ASSOCIATION

n/a

yes

n/a

WELLS FARGO PRIME SERVICES, LLC

n/a

yes

n/a

WELLS FARGO SECURITIES, LLC

n/a

yes

City

State

Country

Employees

Also broker-dealer

Charlotte

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 28, 2018

$437M

255

227

n/a

2016

Mar 25, 2017

$384M

n/a

2015

Mar 24, 2016

$383M

n/a

2014

Mar 31, 2015

$616M

n/a

$276M

2013

Jan 28, 2014

$616M

n/a

$616M

2012

Mar 26, 2013

$956M

n/a

$1.2B

2011

Mar 30, 2012

$1.2B

n/a

$1.2B

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$168M

$384M

-56.1%

$616M

-35.1%

255

n/a