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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

WCAS FRASER SULLIVAN INVESTMENT MANAGEMENT, LLC

FRASER SULLIVAN INVESTMENT MANAGEMENT, LLC, CRD 159727

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:dc5cad85-59df-49fa-c097-07fe28646a8b

Data as of Mar 28, 2013 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 0
On other graphs: 0
Observed: Nov 30, 2011 to Mar 28, 2013
12 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: $1.3BItem 5.F on the latest filing (2013-03-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.3B
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: 12
Advisory employees: 6
Accounts: 3
Private funds: 3Schedule D 7.B(1)
Private fund GAV: $1.3Bgross asset value as reported per fund; never fund size
SEC number: 801-72932
CRD: 159727
Filings on the tape: 12
First filed: Nov 30, 2011
Latest filed: Mar 28, 2013
Organised: Limited Liability Company, New York

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
FRASER SULLIVAN CLO V LTD.	Securitized Asset Fund	$393M	Mar 28, 2013	0	Nov 2, 2012	reported	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
BASOV, GENE, "NMN"	CHIEF FINANCIAL OFFICER	Na	yes	08/2009	Nov 30, 2011	Mar 28, 2013
CHANG, FRANCIS, JOSEPH	PORTFOLIO MANAGER	Na	yes	09/2011	Nov 30, 2011	Mar 28, 2013
ENDLER, DAVID, SCOTT	MEMBER & PORTFOLIO MANAGER	Na	yes	10/2007	Nov 30, 2011	Mar 28, 2013
FRASER SULLIVAN & CO, LLC	MANAGING MEMBER	C	yes	10/2007	Nov 30, 2011	Mar 28, 2013
FRASER, JOHN, WILLIAM	MANAGING MEMBER	D	yes	08/2005	Nov 30, 2011	Mar 28, 2013
FRASER, JOHN, WILLIAM	MANAGING PARTNER & CHIEF INVESTMENT OFFICER	B	yes	10/2007	Nov 30, 2011	Mar 28, 2013
MALONEY, PATRICK, BRADY	GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	Na	yes	10/2011	Nov 30, 2011	Mar 28, 2013
NADEAU, DAVID, ARTHUR	MEMBER & PORTFOLIO MANAGER	Na	yes	10/2007	Nov 30, 2011	Mar 28, 2013
RATHER, JONATHAN, M (MI ONLY)	MANAGING MEMBER	F	yes	11/2007	Dec 21, 2011	Mar 28, 2013
SOSLAND, MATTHEW, ABRAHAM	MEMBER & PORTFOLIO MANAGER	Na	yes	10/2007	Nov 30, 2011	Mar 28, 2013
SULLIVAN, ESTATE OF TIGHE, PETER	MANAGING MEMBER	C	yes	08/2005	Nov 30, 2011	Mar 28, 2013

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
3I DEBT MANAGEMENT US LLC	n/a	Asset manager	$12B	N	yes	n/a
FS COA MANAGEMENT LLC	n/a	Former SEC adviser	$1.1B	N	yes	n/a
FASER SULLIVAN CLO I INVESTORS, LLC	n/a	n/a	n/a	N	yes	n/a
FRASER SULLIVAN CLO II INVESTORS, LLC	n/a	n/a	n/a	N	yes	n/a
FS COA INCENTIVE MANAGEMENT LLC	n/a	n/a	n/a	N	yes	n/a
FSW PARTNERS LLC	n/a	n/a	n/a	N	yes	n/a
WCAS FRASER SULLIVAN INVESTMENT MANAGEMENT (UK) LLP	n/a	n/a	n/a	N	yes	n/a
WCAS FRASER SULLIVAN UK HOLDCO LTD	n/a	n/a	n/a	Y	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
Darien	Ct	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
2012	Mar 27, 2013	$1.3B	$1.3B	12	6	n/a	3	$1.3B
2011	Mar 23, 2012	$4.2B	$4.2B	n/a	n/a	n/a	1	$51.5M

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
2012	$1.3B	$4.2B	-69.2%	n/a	n/a	12	n/a	n/a	n/a

Relationships

Affiliated with (3)

← FS COA MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
→ FS COA MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
→ INVESTCORP CREDIT MANAGEMENT US LLCRegistered adviserother investment adviser, common control
factForm ADV

Advises (1)

→ FRASER SULLIVAN CLO V LTD.Private fundSecuritized Asset Fund, IA
Nov 2, 2012 to presentfactForm ADV

Controls (10)

← SOSLAND, MATTHEW, ABRAHAMOwnerMEMBER & PORTFOLIO MANAGER, ownership code NA, individual
Nov 30, 2011 to presentfactForm ADV
← MALONEY, PATRICK, BRADYOwnerGENERAL COUNSEL & CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 30, 2011 to presentfactForm ADV
← SULLIVAN, ESTATE OF TIGHE, PETEROwnerMANAGING MEMBER, ownership code C, individual
Nov 30, 2011 to presentfactForm ADV
← FRASER, JOHN, WILLIAMOwnerMANAGING MEMBER, ownership code D, individual
Nov 30, 2011 to presentfactForm ADV
← NADEAU, DAVID, ARTHUROwnerMEMBER & PORTFOLIO MANAGER, ownership code NA, individual
Nov 30, 2011 to presentfactForm ADV
← ENDLER, DAVID, SCOTTOwnerMEMBER & PORTFOLIO MANAGER, ownership code NA, individual
Nov 30, 2011 to presentfactForm ADV
← CHANG, FRANCIS, JOSEPHOwnerPORTFOLIO MANAGER, ownership code NA, individual
Nov 30, 2011 to presentfactForm ADV
← RATHER, JONATHAN, M (MI ONLY)OwnerMANAGING MEMBER, ownership code F, individual
Dec 21, 2011 to presentfactForm ADV
← BASOV, GENE, "NMN"OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Nov 30, 2011 to presentfactForm ADV
← FRASER SULLIVAN & CO, LLCOwnerMANAGING MEMBER, ownership code C, domestic entity
Nov 30, 2011 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dc5cad85-59df-49fa-c097-07fe28646a8b
First observed: Nov 30, 2011
Last observed: Mar 28, 2013 164 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.

WCAS FRASER SULLIVAN INVESTMENT MANAGEMENT, LLC

FRASER SULLIVAN INVESTMENT MANAGEMENT, LLC, CRD 159727

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:dc5cad85-59df-49fa-c097-07fe28646a8b

Data as of Mar 28, 2013 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:39 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

FRASER SULLIVAN CLO V LTD.

Securitized Asset Fund

$393M

Mar 28, 2013

Nov 2, 2012

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BASOV, GENE, "NMN"

CHIEF FINANCIAL OFFICER

yes

08/2009

Nov 30, 2011

Mar 28, 2013

CHANG, FRANCIS, JOSEPH

PORTFOLIO MANAGER

yes

09/2011

Nov 30, 2011

Mar 28, 2013

ENDLER, DAVID, SCOTT

MEMBER & PORTFOLIO MANAGER

yes

10/2007

Nov 30, 2011

Mar 28, 2013

FRASER SULLIVAN & CO, LLC

MANAGING MEMBER

yes

10/2007

Nov 30, 2011

Mar 28, 2013

FRASER, JOHN, WILLIAM

MANAGING MEMBER

yes

08/2005

Nov 30, 2011

Mar 28, 2013

FRASER, JOHN, WILLIAM

MANAGING PARTNER & CHIEF INVESTMENT OFFICER

yes

10/2007

Nov 30, 2011

Mar 28, 2013

MALONEY, PATRICK, BRADY

GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER

yes

10/2011

Nov 30, 2011

Mar 28, 2013

NADEAU, DAVID, ARTHUR

MEMBER & PORTFOLIO MANAGER

yes

10/2007

Nov 30, 2011

Mar 28, 2013

RATHER, JONATHAN, M (MI ONLY)

MANAGING MEMBER

yes

11/2007

Dec 21, 2011

Mar 28, 2013

SOSLAND, MATTHEW, ABRAHAM

MEMBER & PORTFOLIO MANAGER

yes

10/2007

Nov 30, 2011

Mar 28, 2013

SULLIVAN, ESTATE OF TIGHE, PETER

MANAGING MEMBER

yes

08/2005

Nov 30, 2011

Mar 28, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

3I DEBT MANAGEMENT US LLC

n/a

Asset manager

$12B

yes

n/a

FS COA MANAGEMENT LLC

n/a

Former SEC adviser

$1.1B

yes

n/a

FASER SULLIVAN CLO I INVESTORS, LLC

n/a

yes

n/a

FRASER SULLIVAN CLO II INVESTORS, LLC

n/a

yes

n/a

FS COA INCENTIVE MANAGEMENT LLC

n/a

yes

n/a

FSW PARTNERS LLC

n/a

yes

n/a

WCAS FRASER SULLIVAN INVESTMENT MANAGEMENT (UK) LLP

n/a

yes

n/a

WCAS FRASER SULLIVAN UK HOLDCO LTD

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Darien

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Mar 27, 2013

$1.3B

n/a

$1.3B

2011

Mar 23, 2012

$4.2B

n/a

$51.5M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$1.3B

$4.2B

-69.2%

n/a