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

OPEN DOOR CAPITAL ADVISORS (US), LLC

CRD 158895

SAN FRANCISCO, 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:e5d5594a-099f-7584-cf5a-8579d210d4ce

Data as of Nov 11, 2015 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Feb 3, 2012 to Nov 11, 2015
10 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: $435MItem 5.F on the latest filing (2015-11-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $435M
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: 10
Advisory employees: 2
Accounts: 6
SEC number: 801-72734
CRD: 158895
Filings on the tape: 10
First filed: Feb 3, 2012
Latest filed: Nov 11, 2015
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
PERMAL CHINA HEALTHCARE LTD.	Hedge Fund	$42.0M	Mar 31, 2014	11	Mar 13, 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
ABRACADABRA INVESTMENTS, LTD.	Shareholder	D	yes	07/2011	Feb 3, 2012	Nov 11, 2015
DALY, CHARLES, JAMES	CHIEF COMPLIANCE OFFICER	Na	yes	11/2015	Nov 11, 2015	Nov 11, 2015
KE, SHIFENG	Shareholder	C	yes	07/2011	Feb 3, 2012	Nov 11, 2015
OPEN DOOR CAPITAL MANAGEMENT, LTD.	MANAGING MEMBER	E	yes	07/2011	Feb 3, 2012	Nov 11, 2015
OPEN SESAME INVESTMENTS, LTD.	Shareholder	C	yes	07/2011	Feb 3, 2012	Nov 11, 2015
RUFFLE, CHRISTOPHER, BENTHAM	Shareholder	D	yes	07/2011	Feb 3, 2012	Nov 11, 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
OPEN DOOR INVESTMENT MANAGEMENT LTD.	n/a	Asset manager	$183M	N	yes	n/a
HEARTLAND INVESTMENT MANAGEMENT LIMITED	n/a	n/a	n/a	N	yes	n/a

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 27, 2015	$435M	$435M	10	2	n/a	n/a	n/a
2013	Mar 31, 2014	$418M	$418M	9	2	n/a	6	$412M
2012	Mar 8, 2013	$522M	$504M	10	3	n/a	6	$477M
2011	Feb 3, 2012	$606M	$606M	n/a	n/a	n/a	4	$606M

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	$435M	$418M	3.9%	$606M	-10.5%	10	9	n/a	n/a

Relationships

Affiliated with (1)

→ OPEN DOOR INVESTMENT MANAGEMENT LTD.Registered adviserother investment adviser, common control
factForm ADV

Controls (6)

← RUFFLE, CHRISTOPHER, BENTHAMOwnerSHAREHOLDER, ownership code D, individual
Feb 3, 2012 to presentfactForm ADV
← KE, SHIFENGOwnerSHAREHOLDER, ownership code C, individual
Feb 3, 2012 to presentfactForm ADV
← DALY, CHARLES, JAMESOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 11, 2015 to presentfactForm ADV
← ABRACADABRA INVESTMENTS, LTD.OwnerSHAREHOLDER, ownership code D, foreign entity
Feb 3, 2012 to presentfactForm ADV
← OPEN DOOR CAPITAL MANAGEMENT, LTD.OwnerMANAGING MEMBER, ownership code E, foreign entity
Feb 3, 2012 to presentfactForm ADV
← OPEN SESAME INVESTMENTS, LTD.OwnerSHAREHOLDER, ownership code C, foreign entity
Feb 3, 2012 to presentfactForm ADV

Advises (1)

→ PERMAL CHINA HEALTHCARE LTD.Private fundHedge Fund, IA, no longer reported
Mar 13, 2012 to Mar 31, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e5d5594a-099f-7584-cf5a-8579d210d4ce
First observed: Feb 3, 2012
Last observed: Nov 11, 2015 132 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.

OPEN DOOR CAPITAL ADVISORS (US), LLC

CRD 158895

SAN FRANCISCO, 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:e5d5594a-099f-7584-cf5a-8579d210d4ce

Data as of Nov 11, 2015 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:12 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

PERMAL CHINA HEALTHCARE LTD.

Hedge Fund

$42.0M

Mar 31, 2014

Mar 13, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ABRACADABRA INVESTMENTS, LTD.

Shareholder

yes

07/2011

Feb 3, 2012

Nov 11, 2015

DALY, CHARLES, JAMES

CHIEF COMPLIANCE OFFICER

yes

11/2015

Nov 11, 2015

KE, SHIFENG

Shareholder

yes

07/2011

Feb 3, 2012

Nov 11, 2015

OPEN DOOR CAPITAL MANAGEMENT, LTD.

MANAGING MEMBER

yes

07/2011

Feb 3, 2012

Nov 11, 2015

OPEN SESAME INVESTMENTS, LTD.

Shareholder

yes

07/2011

Feb 3, 2012

Nov 11, 2015

RUFFLE, CHRISTOPHER, BENTHAM

Shareholder

yes

07/2011

Feb 3, 2012

Nov 11, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

OPEN DOOR INVESTMENT MANAGEMENT LTD.

n/a

Asset manager

$183M

yes

n/a

HEARTLAND INVESTMENT MANAGEMENT LIMITED

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 27, 2015

$435M

n/a

2013

Mar 31, 2014

$418M

n/a

$412M

2012

Mar 8, 2013

$522M

$504M

n/a

$477M

2011

Feb 3, 2012

$606M

n/a

$606M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$435M

$418M

3.9%

$606M

-10.5%

n/a