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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

GE COMMERCIAL FINANCE INVESTMENT ADVISORY SERVICES LLC

CRD 145592

NORWALK, CT

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:e5ae5973-942c-fe3d-27af-6a2c28c04d84

Data as of Mar 31, 2015 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Mar 31, 2015
5 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: $11BItem 5.F on the latest filing (2015-03-31); 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
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 24
Advisory employees: 24
Accounts: 3
SEC number: 801-68701
CRD: 145592
Filings on the tape: 5
First filed: Mar 29, 2012
Latest filed: Mar 31, 2015
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
CFS MANAGEMENT LLC	MANAGING MEMBER	E	yes	11/2007	Mar 29, 2012	Mar 31, 2015
ERARDI, VINCENZO, ALPHONSO	FINANCE MANAGER AND SECRETARY	Na	yes	10/2012	Nov 20, 2012	Mar 31, 2015
GENERAL ELECTRIC CAPITAL CORPORATION	MANAGING MEMBER	F	yes	11/2007	Mar 29, 2012	Mar 31, 2015
GENERAL ELECTRIC CAPITAL SERVICES, INC.	Shareholder	E	yes	05/1984	Mar 29, 2012	Mar 31, 2015
GENERAL ELECTRIC COMPANY	Shareholder	E	yes	04/1892	Mar 29, 2012	Mar 31, 2015
LIEPERT, MATTHEW, DOUGLAS	MANAGING DIRECTOR	Na	yes	02/2008	Mar 29, 2012	Mar 31, 2015
LYNE, TIMOTHY, GERARD	SENIOR MANAGING DIRECTOR/PRESIDENT	Na	yes	03/2010	Mar 29, 2012	Mar 31, 2015
PRESCOTT, JONATHAN, MILES MCMILLEN	CHIEF COMPLIANCE OFFICER	Na	yes	11/2007	Mar 29, 2012	Mar 31, 2015
SOMMERFELD, BRIAN, EDWARD	MANAGING DIRECTOR	Na	yes	11/2012	Nov 20, 2012	Mar 31, 2015

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
GE CAPITAL MARKETS, INC.	n/a	n/a	n/a	N	yes	n/a
GENERAL ELECTRIC CAPITAL CORPORATION	n/a	n/a	n/a	Y	no	Ct

Offices

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

City	State	Country	Employees	Also broker-dealer
Chicago	IL	United States	n/a	no
NEW YORK	NY	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
2014	Mar 31, 2015	$11B	$0	24	24	n/a	n/a	n/a
2013	Mar 27, 2014	$8.7B	$0	24	24	n/a	n/a	n/a
2012	Mar 11, 2013	$6.3B	$0	27	27	n/a	n/a	n/a
2011	Mar 29, 2012	$5.0B	$0	n/a	n/a	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
2014	$11B	$8.7B	23.2%	$5.0B	28.8%	24	24	n/a	n/a

Relationships

Controls (9)

← LYNE, TIMOTHY, GERARDOwnerSENIOR MANAGING DIRECTOR/PRESIDENT, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← PRESCOTT, JONATHAN, MILES MCMILLENOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← SOMMERFELD, BRIAN, EDWARDOwnerMANAGING DIRECTOR, ownership code NA, individual
Nov 20, 2012 to presentfactForm ADV
← LIEPERT, MATTHEW, DOUGLASOwnerMANAGING DIRECTOR, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← ERARDI, VINCENZO, ALPHONSOOwnerFINANCE MANAGER AND SECRETARY, ownership code NA, individual
Nov 20, 2012 to presentfactForm ADV
← CFS MANAGEMENT LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 29, 2012 to presentfactForm ADV
← GENERAL ELECTRIC CAPITAL CORPORATIONOwnerMANAGING MEMBER, ownership code F, domestic entity
Mar 29, 2012 to presentfactForm ADV
← GENERAL ELECTRIC CAPITAL SERVICES, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 29, 2012 to presentfactForm ADV
← GENERAL ELECTRIC COMPANYOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 29, 2012 to presentfactForm ADV

Affiliated with (2)

← GE CAPITAL DEBT ADVISORS LLCRegistered adviserother investment adviser
factForm ADV
← MUBADALA GE CAPITAL PJSCRegistered adviserother investment adviser, common control
factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e5ae5973-942c-fe3d-27af-6a2c28c04d84
First observed: Mar 29, 2012
Last observed: Mar 31, 2015 139 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.

GE COMMERCIAL FINANCE INVESTMENT ADVISORY SERVICES LLC

CRD 145592

NORWALK, CT

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:e5ae5973-942c-fe3d-27af-6a2c28c04d84

Data as of Mar 31, 2015 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:40 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CFS MANAGEMENT LLC

MANAGING MEMBER

yes

11/2007

Mar 29, 2012

Mar 31, 2015

ERARDI, VINCENZO, ALPHONSO

FINANCE MANAGER AND SECRETARY

yes

10/2012

Nov 20, 2012

Mar 31, 2015

GENERAL ELECTRIC CAPITAL CORPORATION

MANAGING MEMBER

yes

11/2007

Mar 29, 2012

Mar 31, 2015

GENERAL ELECTRIC CAPITAL SERVICES, INC.

Shareholder

yes

05/1984

Mar 29, 2012

Mar 31, 2015

GENERAL ELECTRIC COMPANY

Shareholder

yes

04/1892

Mar 29, 2012

Mar 31, 2015

LIEPERT, MATTHEW, DOUGLAS

MANAGING DIRECTOR

yes

02/2008

Mar 29, 2012

Mar 31, 2015

LYNE, TIMOTHY, GERARD

SENIOR MANAGING DIRECTOR/PRESIDENT

yes

03/2010

Mar 29, 2012

Mar 31, 2015

PRESCOTT, JONATHAN, MILES MCMILLEN

CHIEF COMPLIANCE OFFICER

yes

11/2007

Mar 29, 2012

Mar 31, 2015

SOMMERFELD, BRIAN, EDWARD

MANAGING DIRECTOR

yes

11/2012

Nov 20, 2012

Mar 31, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

GE CAPITAL MARKETS, INC.

n/a

yes

n/a

GENERAL ELECTRIC CAPITAL CORPORATION

n/a

City

State

Country

Employees

Also broker-dealer

Chicago

United States

n/a

NEW YORK

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 31, 2015

$11B

n/a

2013

Mar 27, 2014

$8.7B

n/a

2012

Mar 11, 2013

$6.3B

n/a

2011

Mar 29, 2012

$5.0B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$11B

$8.7B

23.2%

$5.0B

28.8%

n/a