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

CAZENOVIA CREEK INVESTMENT MANAGEMENT, LLC

CRD 152536

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:e5798954-8529-83a2-2c40-c18c92eac506

Data as of Mar 17, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 1
Observed: Mar 30, 2012 to Mar 17, 2016
5 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Cazenovia Creek Investment Management, LLC

Private equity manager · shared crd

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: $153MItem 5.F on the latest filing (2016-03-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $153M
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: 5
Advisory employees: 4
Accounts: 2
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $153Mgross asset value as reported per fund; never fund size
Custody, client assets: $153M
SEC number: 801-71079
CRD: 152536
Filings on the tape: 5
First filed: Mar 30, 2012
Latest filed: Mar 17, 2016
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
CAZ CREEK TAX LIEN FUND, LLC	Private Equity Fund	$153M	Mar 17, 2016	89	Mar 27, 2015	reported	n/a
CAZENOVIA CREEK FUND I	Hedge Fund	$9.2M	Jul 17, 2014	2	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
COHANE, WILLIAM, JOHN	CHIEF COMPLIANCE OFFICER	C	yes	06/2010	Mar 30, 2012	Mar 17, 2016
GREEN, WILLIAM, COLLINS	CHIEF INVESTMENT OFFICER	D	yes	06/2010	Mar 30, 2012	Mar 17, 2016
CHUNIAS, STEPHEN	CHIEF FINANCIAL OFFICER	A	no	12/2013	Mar 27, 2014	Mar 17, 2016

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
2015	Mar 17, 2016	$153M	$153M	5	4	n/a	1	$153M
2014	Mar 27, 2015	$145M	$145M	5	4	n/a	1	$145M
2013	Mar 27, 2014	$165M	$165M	5	4	n/a	1	$9.2M
2011	Mar 30, 2012	$101M	$101M	n/a	n/a	n/a	1	$9.2M

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
2015	$153M	$145M	5.1%	n/a	n/a	5	5	n/a	n/a

Relationships

Advises (2)

→ CAZ CREEK TAX LIEN FUND, LLCPrivate fundPrivate Equity Fund, IA
Mar 27, 2015 to presentfactForm ADV
→ CAZENOVIA CREEK FUND IPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Jul 17, 2014factForm ADV

Controls (2)

← GREEN, WILLIAM, COLLINSOwnerCHIEF INVESTMENT OFFICER, ownership code D, individual
Mar 30, 2012 to presentfactForm ADV
← COHANE, WILLIAM, JOHNOwnerCHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV

Owns (1)

← CHUNIAS, STEPHENOwnerCHIEF FINANCIAL OFFICER, ownership code A, individual
Mar 27, 2014 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e5798954-8529-83a2-2c40-c18c92eac506
First observed: Mar 30, 2012
Last observed: Mar 17, 2016 128 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.

CAZENOVIA CREEK INVESTMENT MANAGEMENT, LLC

CRD 152536

CHARLOTTE, NC

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:e5798954-8529-83a2-2c40-c18c92eac506

Data as of Mar 17, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:33 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

CAZ CREEK TAX LIEN FUND, LLC

Private Equity Fund

$153M

Mar 17, 2016

Mar 27, 2015

reported

n/a

CAZENOVIA CREEK FUND I

Hedge Fund

$9.2M

Jul 17, 2014

Mar 30, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

COHANE, WILLIAM, JOHN

CHIEF COMPLIANCE OFFICER

yes

06/2010

Mar 30, 2012

Mar 17, 2016

GREEN, WILLIAM, COLLINS

CHIEF INVESTMENT OFFICER

yes

06/2010

Mar 30, 2012

Mar 17, 2016

CHUNIAS, STEPHEN

CHIEF FINANCIAL OFFICER

12/2013

Mar 27, 2014

Mar 17, 2016

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 17, 2016

$153M

n/a

$153M

2014

Mar 27, 2015

$145M

n/a

$145M

2013

Mar 27, 2014

$165M

n/a

$9.2M

2011

Mar 30, 2012

$101M

n/a

$9.2M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$153M

$145M

5.1%

n/a