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STARK & ROTH LLC, CRD 137442
MILWAUKEE, WI
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.
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| SHEPHERD INVESTMENTS INTERNATIONAL, LTD. | Hedge Fund | $71.8M | Jun 6, 2018 | 423 | Mar 8, 2012 | reported | 021-109789 |
| STARK SELECT ASSET FUND LLC | Hedge Fund | $44.6M | Jun 6, 2018 | 398 | Mar 8, 2012 | reported | 021-9999999999 |
| SHEPHERD SELECT ASSET LTD. | Hedge Fund | $42.2M | Jun 6, 2018 | 488 | Mar 8, 2012 | reported | 021-9999999999 |
| STARK INVESTMENTS LIMITED PARTNERSHIP | Hedge Fund | $25.4M | Jun 6, 2018 | 398 | Mar 8, 2012 | reported | 021-93227 |
| STARK ENERGY INVESTORS LLC | Hedge Fund | $21.9M | Nov 15, 2013 | 13 | Mar 8, 2012 | dropped | 021-159529 |
| STARK SELECT ASSET MASTER LTD. | Hedge Fund | $10.9M | Jun 6, 2018 | 2 | Mar 8, 2012 | reported | n/a |
| STARK GLOBAL OPPORTUNITIES FUND LTD. | Hedge Fund | $7.1M | Jun 6, 2018 | 14 | Mar 8, 2012 | reported | 021-105432 |
| STARK GLOBAL OPPORTUNITIES MASTER FUND LTD. | Hedge Fund | $6.7M | Jun 6, 2018 | 2 | Mar 8, 2012 | reported | n/a |
| SHEPHERD GUARDIAN FUND, LTD. | Hedge Fund | $6.6M | Jun 6, 2018 | 8 | Mar 8, 2012 | reported | 021-159521 |
| DEEPHAVEN INTERNATIONAL VOLATILITY STRATEGIES TRADING LTD. | Hedge Fund | $4.3M | Mar 25, 2014 | 2 | Mar 8, 2012 | dropped | n/a |
| STARK MASTER FUND LTD. | Hedge Fund | $3.5M | Jun 6, 2018 | 3 | Mar 8, 2012 | reported | n/a |
| STARK ABS OPPORTUNITIES MASTER L.P. | Hedge Fund | $3.3M | Mar 28, 2017 | 19 | Mar 8, 2012 | dropped | 021-159681 |
| STARK ASIA MASTER FUND LTD. | Hedge Fund | $2.9M | Jun 6, 2018 | 2 | Mar 8, 2012 | reported | n/a |
| DEEPHAVEN INTERNATIONAL VOLATILITY STRATEGIES FUND LTD. | Hedge Fund | $2.9M | Mar 25, 2014 | 9 | Mar 8, 2012 | dropped | 021-9999999999 |
| STARK ASIA FUND LTD. | Hedge Fund | $2.6M | Jun 6, 2018 | 18 | Mar 8, 2012 | reported | 021-9999999999 |
| STARK STRATEGIC CAT FUND LTD. CLASS 2005 A1 | Hedge Fund | $2.3M | Mar 25, 2014 | 4 | Mar 8, 2012 | dropped | 021-90322 |
| STARK GLOBAL OPPORTUNITIES FUND LP | Hedge Fund | $2.2M | Jun 6, 2018 | 25 | Mar 8, 2012 | reported | 021-105434 |
| DEEPHAVEN GLOBAL VALUE PARTNERS FUND LLC | Hedge Fund | $2.2M | Mar 25, 2014 | 17 | Mar 8, 2012 | dropped | 021-96396 |
| STARK MORTGAGE OPPORTUNITIES MASTER LTD. | Hedge Fund | $2.1M | Jul 30, 2013 | 2 | Mar 8, 2012 | dropped | n/a |
| DEEPHAVEN EUROPEAN EVENT FUND (EUR) LTD. | Hedge Fund | $2.0M | Mar 31, 2015 | 12 | Mar 8, 2012 | dropped | 021-9999999999 |
| STARK MORTGAGE OPPORTUNITIES LP | Hedge Fund | $1.9M | Jul 30, 2013 | 15 | Mar 8, 2012 | dropped | 021-176014 |
| DEEPHAVEN INTERNATIONAL VOLATILITY STRATEGIES FUND LLC | Hedge Fund | $1.4M | Mar 25, 2014 | 9 | Mar 8, 2012 | dropped | 021-9999999999 |
| STARK ASIA FUND LP | Hedge Fund | $1.1M | Jun 6, 2018 | 7 | Mar 8, 2012 | reported | 021-63503 |
| DEEPHAVEN GLOBAL VALUE PARTNERS TRADING LTD. | Hedge Fund | $1.1M | Mar 25, 2014 | 2 | Mar 8, 2012 | dropped | n/a |
| DEEPHAVEN EUROPEAN EVENT FUND (USD) LTD. | Hedge Fund | $1.1M | Mar 31, 2015 | 19 | Mar 8, 2012 | dropped | 021-9999999999 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| ANDERSON, RYAN, ROBERT | CHIEF COMPLIANCE OFFICER | Na | yes | 07/2013 | Jul 30, 2013 | Jun 6, 2018 |
| BARNARD, ROBERT, JAMES | DEPUTY CHIEF INVESTMENT OFFICER AND PRINCIPAL | Na | yes | 01/2000 | Mar 8, 2012 | Jun 6, 2018 |
| MCNALLY, DANIEL, JOSEPH | CHIEF OPERATING OFFICER, GENERAL COUNSEL AND PRINCIPAL | Na | yes | 01/2006 | Mar 8, 2012 | Jun 6, 2018 |
| ROTH, MICHAEL, ANTHONY | COMMON STOCK SHAREHOLDER | C | yes | 12/2010 | Mar 8, 2012 | Jun 6, 2018 |
| ROTH, MICHAEL, ANTHONY | EXECUTIVE VICE PRESIDENT | Na | yes | 08/1993 | Mar 8, 2012 | Jun 6, 2018 |
| STARK & ROTH HOLDING INC. | Member | E | yes | 12/2010 | Mar 8, 2012 | Jun 6, 2018 |
| STARK, BRIAN, JAY | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | Na | yes | 08/1993 | Mar 8, 2012 | Jun 6, 2018 |
| STARK, BRIAN, JAY | COMMON STOCK SHAREHOLDER | E | yes | 12/2010 | Mar 8, 2012 | Jun 6, 2018 |
| TYLICKI, JOSEPH, ROY | CHIEF FINANCIAL OFFICER | Na | yes | 01/2011 | Mar 8, 2012 | Jun 6, 2018 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2017 | Mar 29, 2018 | $306M | $306M | 15 | 6 | 0 | 22 | $231M |
| 2016 | Mar 28, 2017 | $579M | $579M | 17 | 6 | n/a | 26 | $472M |
| 2015 | Mar 30, 2016 | $690M | $690M | 24 | 9 | n/a | 26 | $478M |
| 2014 | Mar 31, 2015 | $1.0B | $1.0B | 27 | 10 | n/a | 29 | $856M |
| 2013 | Mar 25, 2014 | $1.4B | $1.4B | 42 | 13 | n/a | 38 | $1.4B |
| 2012 | Mar 27, 2013 | $2.1B | $2.1B | 54 | 13 | n/a | 42 | $2.3B |
| 2011 | Mar 8, 2012 | $7.8B | $7.8B | n/a | n/a | n/a | 42 | $15B |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2017 | $306M | $579M | -47.2% | $1.0B | -33.4% | 15 | 17 | 0 | n/a |