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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

CNI TCEF ADVISORS, LLC

CRD 284532

LOS ANGELES, CA

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Search this name across graphsid dfx:ria:dad0c4f6-356c-3b7e-e982-249674127fe0

Data as of Mar 30, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 2
On other graphs: 0
Observed: Aug 5, 2016 to Mar 30, 2018
6 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: $0Item 5.F on the latest filing (2018-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 494
Advisory employees: 181
Offices: 4Schedule D 1.F, beyond the principal office
Accounts: 0
Custody, client assets: $0
SEC number: 801-108255
CRD: 284532
Filings on the tape: 6
First filed: Aug 5, 2016
Latest filed: Mar 30, 2018
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
BARRACK, THOMAS, JOSEPH	CHAIRMAN OF REGISTRANT; CHAIRMAN OF COLONY CAPITAL INVESTMENT ADVISORS, LLC; EXECUTIVE CHAIRMAN OF COLONY NORTHSTAR, INC.	Na	yes	01/2017	Feb 6, 2017	Mar 30, 2018
CNI ADVISOR HOLDINGS, LLC	Member	E	yes	01/2017	Feb 6, 2017	Mar 30, 2018
COLONY CAPITAL INVESTMENT ADVISORS, LLC	Member	E	yes	01/2017	Feb 6, 2017	Mar 30, 2018
COLONY CAPITAL INVESTMENT HOLDCO, LLC	Member	E	yes	04/2015	Feb 6, 2017	Mar 30, 2018
COLONY CAPITAL OP SUBSIDIARY, LLC	Member	E	yes	04/2015	Feb 6, 2017	Mar 30, 2018
COLONY CAPITAL OPERATING COMPANY, LLC	Member	E	yes	04/2015	Feb 6, 2017	Mar 30, 2018
COLONY NORTHSTAR, INC.	Member	E	yes	04/2015	Feb 6, 2017	Mar 30, 2018
FORMAN, SANDRA, MATRICK	CHIEF COMPLIANCE OFFICER	Na	yes	01/2017	Feb 6, 2017	Mar 30, 2018
HEDSTROM, MARK, MELVIN	VP OF REGISTRANT; VP OF COLONY CAPITAL INVESTMENT ADVISORS, LLC AND CHIEF OPERATING OFFICER OF COLONY NORTHSTAR, INC.	Na	yes	01/2017	Feb 6, 2017	Mar 30, 2018
SALTZMAN, RICHARD, BRETT	CHIEF EXECUTIVE OFFICER OF REGISTRANT	Na	yes	01/2017	Feb 6, 2017	Mar 30, 2018
SANDERS, RONALD, MARK	VP OF REGISTRANT; VICE PRESIDENT OF COLONY CAPITAL INVESTMENT ADVISORS, LLC AND CHIEF LEGAL OFFICER OF COLONY NORTHSTAR, INC.	Na	yes	01/2017	Feb 6, 2017	Mar 30, 2018
TANGEN, DARREN, JAMES	VP OF REGISTRANT; VP OF COLONY CAPITAL INVESTMENT ADVISORS, LLC AND CHIEF FINANCIAL OFFICER OF COLONY NORTHSTAR, INC.	Na	yes	01/2017	Feb 6, 2017	Mar 30, 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; showing 40 of 64

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
DIGITAL COLONY MANAGEMENT LLC	n/a	Asset manager	$61B	N	yes	n/a
CLNC MANAGER, LLC	n/a	Former SEC adviser	$6.2B	N	yes	n/a
CNI NRE ADVISORS, LLC	n/a	Former SEC adviser	$1.4B	N	yes	n/a
CNI NSHC ADVISORS, LLC	n/a	Former SEC adviser	$1.4B	N	yes	n/a
COLONY CAPITAL INVESTMENT ADVISORS, LLC	n/a	Other adviser	$336M	Y	no	n/a
CNI NS/RXR ADVISORS, LLC	n/a	Former SEC adviser	$51.4M	N	yes	n/a
CAPCOL MANAGEMENT LLC	n/a	Other adviser	$45.1M	N	yes	n/a
CNI NSI ADVISORS, LLC	n/a	Former SEC adviser	$33.6M	N	yes	n/a
CNI RECF ADVISORS, LLC	n/a	Former SEC adviser	$30.2M	N	yes	n/a
CDCF IV INVESTMENT ADVISOR, LLC	n/a	n/a	n/a	N	yes	n/a
CNI FCVP ADVISORS, LLC	n/a	n/a	n/a	N	yes	n/a
CNI ONE CAL PLAZA GP, LLC	n/a	n/a	n/a	N	yes	n/a
CNI ONE CAL PLAZA INVESTMENT ADVISOR, LLC	n/a	n/a	n/a	N	yes	n/a
COL INVEST ITALY S.R.L.	n/a	n/a	n/a	N	yes	n/a
COLARMONIA GP, LLC	n/a	n/a	n/a	N	yes	n/a
COLCOGP STRATEGIC PARTNERS III, LLC	n/a	n/a	n/a	N	yes	n/a
COLCOGP STRATEGIC PARTNERS, LLC	n/a	n/a	n/a	N	yes	n/a
COLFIN COBALT GENERAL PARTNER, LLC	n/a	n/a	n/a	N	yes	n/a
COLHMGP STRATEGIC PARTNERS, LLC	n/a	n/a	n/a	N	yes	n/a
COLONY 2011 ADC CO-INVESTMENT GENPAR, LLC	n/a	n/a	n/a	N	yes	n/a
COLONY AXLE CO-INVESTMENT GENPAR, LLC	n/a	n/a	n/a	N	yes	n/a
COLONY BULLS CO-INVESTMENT GENPAR, LLC	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL (PARALLEL) NA-RE VIII, LLC	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL (PARALLEL) VIII, LLC	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL (US) VIII, LLC	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL CREDIT II, L.P.	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL CREDIT III, L.P.	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL CREDIT IV, LLC	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL CREDIT, L.P.	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL III, L.P.	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL IV, L.P.	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL MENA, LLC	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL V, L.P.	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL VI, L.P.	n/a	n/a	n/a	N	yes	n/a
COLONY CAPITAL VII, L.P.	n/a	n/a	n/a	N	yes	n/a
COLONY INDUSTRIAL GP, LLC	n/a	n/a	n/a	N	yes	n/a
COLONY INDUSTRIAL INVESTMENT ADVISOR, LLC	n/a	n/a	n/a	N	yes	n/a
COLONY MF5 CO-INVESTMENT GENPAR, LLC	n/a	n/a	n/a	N	yes	n/a
COLONY MILESTONE CO-INVESTMENT GENPAR, LLC	n/a	n/a	n/a	N	yes	n/a
COLONY NORTHSTAR - N LUXEMBOURG S.A.R.L.	n/a	n/a	n/a	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	39	no
Dallas	TX	United States	33	no
Boston	Ma	United States	9	no
Irvine	CA	United States	2	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
2017	Mar 30, 2018	$0	$0	494	181	4	n/a	n/a
2016	Mar 30, 2017	n/a	n/a	507	201	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
2017	$0	n/a	n/a	n/a	n/a	494	507	4	n/a

Relationships

Affiliated with (11)

← CNI NS/RXR ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ COLONY CAPITAL INVESTMENT ADVISORS, LLCRegistered adviserother investment adviser, control
factForm ADV
→ CAPRA CREDIT MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ CNI RECF ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ TOWNSEND GROUP ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ DIGITALBRIDGE INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ CLNC MANAGER, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ CNI NRE ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ CNI NS/RXR ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ CNI NSHC ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ CNI NSI ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (12)

← BARRACK, THOMAS, JOSEPHOwnerCHAIRMAN OF REGISTRANT; CHAIRMAN OF COLONY CAPITAL INVESTMENT ADVISORS, LLC; EXECUTIVE CHAIRMAN OF COLONY NORTHSTAR, INC., ownership code NA, individual
Feb 6, 2017 to presentfactForm ADV
← COLONY CAPITAL INVESTMENT ADVISORS, LLCOwnerMEMBER, ownership code E, domestic entity
Feb 6, 2017 to presentfactForm ADV
← TANGEN, DARREN, JAMESOwnerVP OF REGISTRANT; VP OF COLONY CAPITAL INVESTMENT ADVISORS, LLC AND CHIEF FINANCIAL OFFICER OF COLONY NORTHSTAR, INC., ownership code NA, individual
Feb 6, 2017 to presentfactForm ADV
← HEDSTROM, MARK, MELVINOwnerVP OF REGISTRANT; VP OF COLONY CAPITAL INVESTMENT ADVISORS, LLC AND CHIEF OPERATING OFFICER OF COLONY NORTHSTAR, INC., ownership code NA, individual
Feb 6, 2017 to presentfactForm ADV
← SANDERS, RONALD, MARKOwnerVP OF REGISTRANT; VICE PRESIDENT OF COLONY CAPITAL INVESTMENT ADVISORS, LLC AND CHIEF LEGAL OFFICER OF COLONY NORTHSTAR, INC., ownership code NA, individual
Feb 6, 2017 to presentfactForm ADV
← FORMAN, SANDRA, MATRICKOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 6, 2017 to presentfactForm ADV
← SALTZMAN, RICHARD, BRETTOwnerCHIEF EXECUTIVE OFFICER OF REGISTRANT, ownership code NA, individual
Feb 6, 2017 to presentfactForm ADV
← CNI ADVISOR HOLDINGS, LLCOwnerMEMBER, ownership code E, domestic entity
Feb 6, 2017 to presentfactForm ADV
← COLONY CAPITAL INVESTMENT HOLDCO, LLCOwnerMEMBER, ownership code E, domestic entity
Feb 6, 2017 to presentfactForm ADV
← COLONY CAPITAL OP SUBSIDIARY, LLCOwnerMEMBER, ownership code E, domestic entity
Feb 6, 2017 to presentfactForm ADV
← COLONY CAPITAL OPERATING COMPANY, LLCOwnerMEMBER, ownership code E, domestic entity
Feb 6, 2017 to presentfactForm ADV
← COLONY NORTHSTAR, INC.OwnerMEMBER, ownership code E, domestic entity
Feb 6, 2017 to presentfactForm ADV

Dated events

Occurred
Jun 19, 2017
Succession filed (Item 4)
Cni Tcef Advisors, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 4 days ago
Occurred
Aug 5, 2016
First Form ADV filing
Nsam B-Tcef Ltd. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dad0c4f6-356c-3b7e-e982-249674127fe0
First observed: Aug 5, 2016
Last observed: Mar 30, 2018 103 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.

CNI TCEF ADVISORS, LLC

CRD 284532

LOS ANGELES, CA

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:dad0c4f6-356c-3b7e-e982-249674127fe0

Data as of Mar 30, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:38 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BARRACK, THOMAS, JOSEPH

CHAIRMAN OF REGISTRANT; CHAIRMAN OF COLONY CAPITAL INVESTMENT ADVISORS, LLC; EXECUTIVE CHAIRMAN OF COLONY NORTHSTAR, INC.

yes

01/2017

Feb 6, 2017

Mar 30, 2018

CNI ADVISOR HOLDINGS, LLC

Member

yes

01/2017

Feb 6, 2017

Mar 30, 2018

COLONY CAPITAL INVESTMENT ADVISORS, LLC

Member

yes

01/2017

Feb 6, 2017

Mar 30, 2018

COLONY CAPITAL INVESTMENT HOLDCO, LLC

Member

yes

04/2015

Feb 6, 2017

Mar 30, 2018

COLONY CAPITAL OP SUBSIDIARY, LLC

Member

yes

04/2015

Feb 6, 2017

Mar 30, 2018

COLONY CAPITAL OPERATING COMPANY, LLC

Member

yes

04/2015

Feb 6, 2017

Mar 30, 2018

COLONY NORTHSTAR, INC.

Member

yes

04/2015

Feb 6, 2017

Mar 30, 2018

FORMAN, SANDRA, MATRICK

CHIEF COMPLIANCE OFFICER

yes

01/2017

Feb 6, 2017

Mar 30, 2018

HEDSTROM, MARK, MELVIN

VP OF REGISTRANT; VP OF COLONY CAPITAL INVESTMENT ADVISORS, LLC AND CHIEF OPERATING OFFICER OF COLONY NORTHSTAR, INC.

yes

01/2017

Feb 6, 2017

Mar 30, 2018

SALTZMAN, RICHARD, BRETT

CHIEF EXECUTIVE OFFICER OF REGISTRANT

yes

01/2017

Feb 6, 2017

Mar 30, 2018

SANDERS, RONALD, MARK

VP OF REGISTRANT; VICE PRESIDENT OF COLONY CAPITAL INVESTMENT ADVISORS, LLC AND CHIEF LEGAL OFFICER OF COLONY NORTHSTAR, INC.

yes

01/2017

Feb 6, 2017

Mar 30, 2018

TANGEN, DARREN, JAMES

VP OF REGISTRANT; VP OF COLONY CAPITAL INVESTMENT ADVISORS, LLC AND CHIEF FINANCIAL OFFICER OF COLONY NORTHSTAR, INC.

yes

01/2017

Feb 6, 2017

Mar 30, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

DIGITAL COLONY MANAGEMENT LLC

n/a

Asset manager

$61B

yes

n/a

CLNC MANAGER, LLC

n/a

Former SEC adviser

$6.2B

yes

n/a

CNI NRE ADVISORS, LLC

n/a

Former SEC adviser

$1.4B

yes

n/a

CNI NSHC ADVISORS, LLC

n/a

Former SEC adviser

$1.4B

yes

n/a

COLONY CAPITAL INVESTMENT ADVISORS, LLC

n/a

Other adviser

$336M

n/a

CNI NS/RXR ADVISORS, LLC

n/a

Former SEC adviser

$51.4M

yes

n/a

CAPCOL MANAGEMENT LLC

n/a

Other adviser

$45.1M

yes

n/a

CNI NSI ADVISORS, LLC

n/a

Former SEC adviser

$33.6M

yes

n/a

CNI RECF ADVISORS, LLC

n/a

Former SEC adviser

$30.2M

yes

n/a

CDCF IV INVESTMENT ADVISOR, LLC

n/a

yes

n/a

CNI FCVP ADVISORS, LLC

n/a

yes

n/a

CNI ONE CAL PLAZA GP, LLC

n/a

yes

n/a

CNI ONE CAL PLAZA INVESTMENT ADVISOR, LLC

n/a

yes

n/a

COL INVEST ITALY S.R.L.

n/a

yes

n/a

COLARMONIA GP, LLC

n/a

yes

n/a

COLCOGP STRATEGIC PARTNERS III, LLC

n/a

yes

n/a

COLCOGP STRATEGIC PARTNERS, LLC

n/a

yes

n/a

COLFIN COBALT GENERAL PARTNER, LLC

n/a

yes

n/a

COLHMGP STRATEGIC PARTNERS, LLC

n/a

yes

n/a

COLONY 2011 ADC CO-INVESTMENT GENPAR, LLC

n/a

yes

n/a

COLONY AXLE CO-INVESTMENT GENPAR, LLC

n/a

yes

n/a

COLONY BULLS CO-INVESTMENT GENPAR, LLC

n/a

yes

n/a

COLONY CAPITAL (PARALLEL) NA-RE VIII, LLC

n/a

yes

n/a

COLONY CAPITAL (PARALLEL) VIII, LLC

n/a

yes

n/a

COLONY CAPITAL (US) VIII, LLC

n/a

yes

n/a

COLONY CAPITAL CREDIT II, L.P.

n/a

yes

n/a

COLONY CAPITAL CREDIT III, L.P.

n/a

yes

n/a

COLONY CAPITAL CREDIT IV, LLC

n/a

yes

n/a

COLONY CAPITAL CREDIT, L.P.

n/a

yes

n/a

COLONY CAPITAL III, L.P.

n/a

yes

n/a

COLONY CAPITAL IV, L.P.

n/a

yes

n/a

COLONY CAPITAL MENA, LLC

n/a

yes

n/a

COLONY CAPITAL V, L.P.

n/a

yes

n/a

COLONY CAPITAL VI, L.P.

n/a

yes

n/a

COLONY CAPITAL VII, L.P.

n/a

yes

n/a

COLONY INDUSTRIAL GP, LLC

n/a

yes

n/a

COLONY INDUSTRIAL INVESTMENT ADVISOR, LLC

n/a

yes

n/a

COLONY MF5 CO-INVESTMENT GENPAR, LLC

n/a

yes

n/a

COLONY MILESTONE CO-INVESTMENT GENPAR, LLC

n/a

yes

n/a

COLONY NORTHSTAR - N LUXEMBOURG S.A.R.L.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

Dallas

United States

Boston

United States

Irvine

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 30, 2018

494

181

n/a

2016

Mar 30, 2017

n/a

507

201

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

n/a

494

507

n/a