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

BARCLAYS CAPITAL INC.

CRD 19714

NEW YORK, NY

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Search this name across graphsid dfx:ria:e74ae650-a872-4bcd-418a-9892a4a4e5f3

Data as of Dec 15, 2015 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 594
Dated events: 0
On other graphs: 3
Observed: Mar 15, 2012 to Dec 15, 2015
96 observations

Across DFX

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

Private Equityidentity

Barclays Capital Inc.

Intermediary · shared crd

Independent Sponsorsidentity

Intermediary · shared crd

Real Estate Fundsidentity

Barclays Capital Inc.

Affiliate · 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: $13BItem 5.F on the latest filing (2015-12-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $12B
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: 765
Advisory employees: 204
Accounts: 2,786
Private funds: 7Schedule D 7.B(1)
Private fund GAV: $1.2Bgross asset value as reported per fund; never fund size
Custody, client assets: $9.2B
SEC number: 801-69700
CRD: 19714
Filings on the tape: 96
First filed: Mar 15, 2012
Latest filed: Dec 15, 2015
Organised: Corporation, Connecticut

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
BARCLAYS WEALTH ADVISOR SERIES- GLOBAL EQUITY MASTER FUND L.P.	Other Private Fund	$2.7M	Dec 15, 2015	0	Mar 15, 2012	reported	n/a
BARCLAYS WEALTH ADVISOR SERIES - INTERNATIONAL CORE EQUITY MASTER FUND L.P.	Other Private Fund	$1.7M	Feb 14, 2013	22	Mar 15, 2012	dropped	021-117146
BARCLAYS WEALTH ADVISOR SERIES- GLOBAL BOND MASTER FUND L.P.	Other Private Fund	$736,019	Dec 15, 2015	0	Mar 15, 2012	reported	n/a
BARCLAYS CAPITAL GTAA FUND, LLC	Hedge Fund	$51,330	Mar 19, 2014	1	Mar 15, 2012	dropped	n/a
REAL RETURN USD MASTER FUND, LTD	Hedge Fund	$0	Mar 19, 2014	0	Apr 1, 2013	dropped	n/a
BARCLAYS WEALTH ADVISOR SERIES-MULTI-MANAGER INTERNATIONAL EQUITY LTD.	Other Private Fund	$0	Feb 14, 2013	0	Mar 15, 2012	dropped	021-117149

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
ABBOTT, KENNETH CHARLES	BOARD DIRECTOR	Na	yes	11/2015	Dec 15, 2015	Dec 15, 2015
BARCLAYS BANK PLC	SOLE SHAREHOLDER	E	yes	01/2000	Mar 15, 2012	Dec 15, 2015
BARCLAYS GROUP US INC.	OWNS BARCLAYS CAPITAL INC.	E	yes	12/1999	Mar 15, 2012	Dec 15, 2015
BARCLAYS PLC	SOLE SHAREHOLDER	E	yes	01/1985	Mar 15, 2012	Dec 15, 2015
BUSUTTIL, JOSEPH MICHAEL	BOARD DIRECTOR	Na	yes	07/2013	Aug 1, 2013	Dec 15, 2015
CORCORAN, JOSEPH JAMES III	BOARD DIRECTOR	Na	yes	05/2013	Jun 11, 2013	Dec 15, 2015
FORREST, MONTY LEE	CHIEF OPERATIONS OFFICER	Na	yes	05/2015	Jul 8, 2015	Dec 15, 2015
GOLD, JOSEPH ALLEN	BOARD DIRECTOR	Na	yes	05/2014	May 30, 2014	Dec 15, 2015
LAROCCA, GERARD SEBASTIAN	BOARD DIRECTOR	Na	yes	10/2005	Mar 15, 2012	Dec 15, 2015
MCGUIRE, THOMAS JAMES	BOARD DIRECTOR	Na	yes	05/2014	May 30, 2014	Dec 15, 2015
BANCONE, ANTHONY	ROSFP - DISTRIBUTION	Na	no	08/2013	Sep 6, 2013	Dec 15, 2015
CAIRNEY, WILLIAM FRANCIS	CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISER	Na	no	11/2014	Nov 19, 2014	Dec 15, 2015
IMUNDO, JONATHAN MICHAEL	ROSFP - INVESTOR SOLUTIONS	Na	no	08/2013	Sep 6, 2013	Dec 15, 2015
JAISING, RAHUL	ROSFP - PRIME SERVICES	Na	no	08/2013	Sep 6, 2013	Dec 15, 2015
MCKAY, KEVIN JOHN	CHIEF LEGAL OFFICER - WEALTH	Na	no	03/2015	Apr 22, 2015	Dec 15, 2015
MELI, JEFFREY ANTHONY	CO-HEAD OF RESEARCH	Na	no	07/2015	Aug 12, 2015	Dec 15, 2015
OSTERGAARD, JILL WENZLAFF	CHIEF COMPLIANCE OFFICER - BD	Na	no	03/2012	Mar 19, 2012	Dec 15, 2015
RIFFAUD, MARCELO LEONCIO	CHIEF LEGAL OFFICER	Na	no	07/2015	Jun 10, 2014	Dec 15, 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
BARCLAYS BANK DELAWARE	n/a	n/a	n/a	N	yes	De
BARCLAYS BANK PLC	n/a	n/a	n/a	Y	yes	n/a
BARCLAYS WEALTH TRUSTEES (U.S.), N.A.	n/a	n/a	n/a	N	yes	De

Offices

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

City	State	Country	Employees	Also broker-dealer
LOS ANGELES	CA	United States	n/a	no
SAN FRANCISCO	CA	United States	n/a	no
WASHINGTON, DC	Dc	United States	n/a	no
Miami	FL	United States	n/a	no
PALM BEACH	FL	United States	n/a	no
Atlanta	Ga	United States	n/a	no
Chicago	IL	United States	n/a	no
Boston	Ma	United States	n/a	no
NEW YORK	NY	United States	n/a	no
Philadelphia	Pa	United States	n/a	no
Dallas	TX	United States	n/a	no
Houston	TX	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	$14B	$13B	765	204	n/a	5	$1.2B
2013	Mar 31, 2014	$13B	$12B	1,061	272	n/a	7	$1.4B
2012	Apr 1, 2013	$12B	$11B	1,101	272	n/a	9	$1.3B
2011	Mar 30, 2012	$12B	$7.0B	n/a	n/a	n/a	10	$1.0B

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	$13B	$13B	-1.9%	$12B	1.9%	765	1,061	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction; showing 20 of 36

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MORGAN STANLEY	3	Dec 15, 2015	Aug 28, 2018	NEW YORK, NY	Team lift out	Other	17.6%
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	3	Dec 15, 2015	Jan 9, 2018	NEW YORK, NY	Team lift out	Other	17.6%
UBS FINANCIAL SERVICES INC.	3	Dec 10, 2015	Dec 18, 2015	NEW YORK, NY	Team lift out	Other	16.7%
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	2	Nov 12, 2015	Oct 26, 2015	PALM BEACH, FL	Team lift out	Other	1.2%
J.P. MORGAN SECURITIES LLC	4	Nov 12, 2015	Nov 4, 2015	NEW YORK, NY	Team lift out	Other	2.4%
RBC CAPITAL MARKETS, LLC	2	Oct 29, 2015	Oct 12, 2015	ATLANTA, GA	Team lift out	Other	1.2%
SUMMIT TRAIL ADVISORS, LLC	4	Oct 22, 2015	Oct 12, 2015	NEW YORK, NY	Team lift out	Other	2.3%
RAYMOND JAMES & ASSOCIATES, INC.	4	Oct 14, 2015	Jun 23, 2017	NEW YORK, NY	Team lift out	Other	2.2%
MORGAN STANLEY	3	Oct 7, 2015	Sep 21, 2015	BOSTON, MA	Team lift out	Other	1.6%
MORGAN STANLEY	2	Sep 30, 2015	Dec 22, 2015	NEW YORK, NY	Team lift out	Other	1.1%
BLACKROCK INVESTMENT MANAGEMENT, LLC	2	Sep 10, 2015	Mar 27, 2017	NEW YORK, NY	Team lift out	Other	1.1%
SUMMIT TRAIL ADVISORS, LLC	2	Aug 25, 2015	Oct 14, 2015	SAN FRANCISCO, CA	Team lift out	Other	1.1%
SUMMIT TRAIL ADVISORS, LLC	3	Aug 8, 2015	Jan 1, 2026	SAN FRANCISCO, CA	Team lift out	Other	1.4%
SUMMIT TRAIL ADVISORS, LLC	2	Aug 8, 2015	Aug 10, 2015	CHICAGO, IL	Team lift out	Other	0.9%
SUMMIT TRAIL ADVISORS, LLC	2	Aug 8, 2015	Jul 29, 2021	NEW YORK, NY	Team lift out	Other	0.9%
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	2	Aug 8, 2015	Sep 4, 2015	PALM BEACH, FL	Team lift out	Other	0.9%
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	3	Aug 8, 2015	Sep 3, 2015	CHICAGO, IL	Team lift out	Other	1.4%
MORGAN STANLEY	3	Jul 31, 2015	Jul 14, 2015	CHICAGO, IL	Team lift out	Other	1.3%
MORGAN STANLEY	4	Jul 31, 2015	Jul 15, 2015	NEW YORK, NY	Team lift out	Other	1.8%
UBS FINANCIAL SERVICES INC.	4	Jul 23, 2015	Jul 10, 2015	NEW YORK, NY	Team lift out	Other	1.7%

Relationships

showing 80 of 594

Advises (2)

→ BARCLAYS WEALTH ADVISOR SERIES- GLOBAL EQUITY MASTER FUND L.P.Private fundOther Private Fund, IA
Mar 15, 2012 to presentfactForm ADV
→ BARCLAYS WEALTH ADVISOR SERIES- GLOBAL BOND MASTER FUND L.P.Private fundOther Private Fund, IA
Mar 15, 2012 to presentfactForm ADV

Owns (8)

← MCKAY, KEVIN JOHNOwnerCHIEF LEGAL OFFICER - WEALTH, ownership code NA, individual
Apr 22, 2015 to presentfactForm ADV
← BANCONE, ANTHONYOwnerROSFP - DISTRIBUTION, ownership code NA, individual
Sep 6, 2013 to presentfactForm ADV
← CAIRNEY, WILLIAM FRANCISOwnerCHIEF COMPLIANCE OFFICER - INVESTMENT ADVISER, ownership code NA, individual
Nov 19, 2014 to presentfactForm ADV
← RIFFAUD, MARCELO LEONCIOOwnerCHIEF LEGAL OFFICER, ownership code NA, individual
Jun 10, 2014 to presentfactForm ADV
← OSTERGAARD, JILL WENZLAFFOwnerCHIEF COMPLIANCE OFFICER - BD, ownership code NA, individual
Mar 19, 2012 to presentfactForm ADV
← IMUNDO, JONATHAN MICHAELOwnerROSFP - INVESTOR SOLUTIONS, ownership code NA, individual
Sep 6, 2013 to presentfactForm ADV
← MELI, JEFFREY ANTHONYOwnerCO-HEAD OF RESEARCH, ownership code NA, individual
Aug 12, 2015 to presentfactForm ADV
← JAISING, RAHULOwnerROSFP - PRIME SERVICES, ownership code NA, individual
Sep 6, 2013 to presentfactForm ADV

Controls (10)

← CORCORAN, JOSEPH JAMES IIIOwnerBOARD DIRECTOR, ownership code NA, individual
Jun 11, 2013 to presentfactForm ADV
← ABBOTT, KENNETH CHARLESOwnerBOARD DIRECTOR, ownership code NA, individual
Dec 15, 2015 to presentfactForm ADV
← LAROCCA, GERARD SEBASTIANOwnerBOARD DIRECTOR, ownership code NA, individual
Mar 15, 2012 to presentfactForm ADV
← BUSUTTIL, JOSEPH MICHAELOwnerBOARD DIRECTOR, ownership code NA, individual
Aug 1, 2013 to presentfactForm ADV
← MCGUIRE, THOMAS JAMESOwnerBOARD DIRECTOR, ownership code NA, individual
May 30, 2014 to presentfactForm ADV
← GOLD, JOSEPH ALLENOwnerBOARD DIRECTOR, ownership code NA, individual
May 30, 2014 to presentfactForm ADV
← FORREST, MONTY LEEOwnerCHIEF OPERATIONS OFFICER, ownership code NA, individual
Jul 8, 2015 to presentfactForm ADV
← BARCLAYS BANK PLCOwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Mar 15, 2012 to presentfactForm ADV
← BARCLAYS GROUP US INC.OwnerOWNS BARCLAYS CAPITAL INC., ownership code E, domestic entity
Mar 15, 2012 to presentfactForm ADV
← BARCLAYS PLCOwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Mar 15, 2012 to presentfactForm ADV

Affiliated with (2)

← BARCLAYS ASSET MANAGEMENT GROUP LLCRegistered adviserother investment adviser, broker-dealer, bank, trust company, pooled vehicle sponsor, common control
factForm ADV
← BARCLAYS PRIVATE CREDIT PARTNERS LLCRegistered adviserother investment adviser, broker-dealer, bank, trust company, common control
factForm ADV

Moved with (6)

→ SUMMIT TRAIL ADVISORS, LLCRegistered adviser3 advisors, team lift out, same day
Aug 8, 2015 to Jan 1, 2026factForm ADV
→ MORGAN STANLEYRegistered adviser5 advisors, team lift out
Jul 7, 2015 to Oct 10, 2018factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviser3 advisors, team lift out, same day
Dec 15, 2015 to Jan 9, 2018factForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviser4 advisors, team lift out, same day
Oct 14, 2015 to Jun 23, 2017factForm ADV
→ BLACKROCK INVESTMENT MANAGEMENT, LLCRegistered adviser2 advisors, team lift out, same day
Sep 10, 2015 to Mar 27, 2017factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviser3 advisors, team lift out
Dec 10, 2015 to Dec 18, 2015factForm ADV

Registered with (49)

← AIXA ROSADOAdvisorregistration: previous registration
Jan 21, 2009 to Dec 28, 2015factForm ADV
← JAMES PATRICK KNOXAdvisorregistration: previous registration
Apr 9, 2013 to Dec 28, 2015factForm ADV
← SARAH NICOLE WAGNER FIORELLIAdvisorregistration: previous registration
Sep 1, 2010 to Dec 28, 2015factForm ADV
← Roberto C IriasAdvisorregistration: previous registration
May 11, 2015 to Dec 28, 2015factForm ADV
← JASON ADAM ORLOSKYAdvisorregistration: previous registration
Aug 17, 2010 to Dec 17, 2015factForm ADV
← STACY LYNN BEATTIEAdvisorregistration: previous registration
Jan 21, 2009 to Dec 17, 2015factForm ADV
← CHRISTOPHER ADAM FARISHAdvisorregistration: previous registration
Oct 22, 2012 to Dec 16, 2015factForm ADV
← Teresa LEIGH DrummondAdvisorregistration: previous registration
Jan 21, 2009 to Dec 15, 2015factForm ADV
← Daniel F ThompsonAdvisorregistration: previous registration
Jan 8, 2014 to Dec 15, 2015factForm ADV
← JOHN P O'NEILAdvisorregistration: previous registration
Mar 10, 2015 to Dec 15, 2015factForm ADV
← SCOTT TAYLOR SHEFFERAdvisorregistration: previous registration
Jan 21, 2009 to Dec 15, 2015factForm ADV
← Enrique PetrieAdvisorregistration: previous registration
May 6, 2013 to Dec 15, 2015factForm ADV
← MARYLIN MILAGRO GONZALEZAdvisorregistration: previous registration
Jan 21, 2009 to Dec 15, 2015factForm ADV
← Emily L ParkerAdvisorregistration: previous registration
Mar 12, 2012 to Dec 15, 2015factForm ADV
← NICHOLAS STEVEN SHANEAdvisorregistration: previous registration
Apr 16, 2014 to Dec 15, 2015factForm ADV
← HARRIS EVAN MANDELAdvisorregistration: previous registration
Jan 7, 2015 to Dec 15, 2015factForm ADV
← Frank DeBenedittisAdvisorregistration: previous registration
Jun 19, 2012 to Dec 15, 2015factForm ADV
← CHASE WRIGHT LANDRETHAdvisorregistration: previous registration
Jan 21, 2009 to Dec 10, 2015factForm ADV
← ROBERT DEAN SPERBERAdvisorregistration: previous registration
Dec 6, 2013 to Dec 9, 2015factForm ADV
← GARY EDWARD ADKINAdvisorregistration: previous registration
Jan 21, 2009 to Dec 9, 2015factForm ADV
← GARY EVERETT KRIEGERAdvisorregistration: previous registration
Jun 3, 2010 to Dec 9, 2015factForm ADV
← Melanie RiveraAdvisorregistration: previous registration
Aug 9, 2010 to Dec 9, 2015factForm ADV
← ELYSSA JOY KUPFERBERGAdvisorregistration: previous registration
Nov 29, 2013 to Dec 9, 2015factForm ADV
← RYAN RICHARD MASTERSAdvisorregistration: previous registration
Nov 4, 2010 to Dec 9, 2015factForm ADV
← THOMAS C APPLEBYAdvisorregistration: previous registration
Aug 6, 2012 to Dec 9, 2015factForm ADV
← ERIK MULLERAdvisorregistration: previous registration
Jan 21, 2009 to Dec 4, 2015factForm ADV
← BRIAN KENT MADDOXAdvisorregistration: previous registration
Mar 31, 2011 to Dec 4, 2015factForm ADV
← ADAM VARTAN TOPALIANAdvisorregistration: previous registration
Nov 1, 2013 to Dec 4, 2015factForm ADV
← CAROL ANN BALLAdvisorregistration: previous registration
Jan 21, 2009 to Dec 4, 2015factForm ADV
← MARK LOREN MYERSAdvisorregistration: previous registration
Jan 21, 2009 to Dec 4, 2015factForm ADV
and 19 more

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e74ae650-a872-4bcd-418a-9892a4a4e5f3
First observed: Mar 15, 2012
Last observed: Dec 15, 2015 131 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.