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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

NANTAHALA CAPITAL MANAGEMENT, LLC

CRD 158081

NEW CANAAN, CT

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Search this name across graphsid dfx:ria:ee4f8fb0-ac71-4e1d-9353-321f2a39b3a5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 10
On other graphs: 0
Observed: Mar 30, 2012 to Sep 14, 2026
31 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $3.1BItem 5.F on the latest filing (2026-09-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $3.1B
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: 14
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 11
Custody, client assets: $417M
SEC number: 801-72481
CIK: 1472322
CRD: 158081
Filings on the tape: 31
First filed: Mar 30, 2012
Latest filed: Sep 14, 2026
Organised: Limited Liability Company, MA
Website: nantahalapartners.com

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
Sma2	Hedge Fund	$963M	May 29, 2024	4	Mar 28, 2013	reported	n/a
NANTAHALA CAPITAL PARTNERS SI, LP	Hedge Fund	$389M	May 29, 2024	5	Mar 30, 2016	reported	021-240432
NANTAHALA CAPITAL PARTNERS LIMITED PARTNERSHIP	Hedge Fund	$287M	May 29, 2024	56	Mar 30, 2012	reported	021-149331
NCP RFM LP	Hedge Fund	$278M	May 29, 2024	7	Feb 22, 2021	reported	n/a
NANTAHALA CAPITAL PARTNERS CL, LP	Hedge Fund	$103M	Mar 28, 2013	11	Mar 30, 2012	dropped	021-154543
NCP CB LP	Hedge Fund	$89.8M	May 29, 2024	5	Feb 3, 2022	reported	n/a
NCP QR LP	Hedge Fund	$69.1M	Jun 14, 2023	5	Aug 26, 2019	reported	021-336387
NANTAHALA CAPITAL PARTNERS II LIMITED PARTNERSHIP	Hedge Fund	$53.1M	Jun 14, 2023	16	Mar 30, 2012	reported	021-149696
Sma3	Hedge Fund	$16.0M	Mar 30, 2012	1	Mar 30, 2012	dropped	n/a
Sma3	Hedge Fund	$872,000	May 29, 2024	1	Mar 28, 2013	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
Buba, Jonathan, Zanetos	Member	B	yes	11/2016	Dec 14, 2016	May 29, 2024
HARKEY, WILMOT, B.	MANAGING MEMBER	C	yes	05/2004	Mar 30, 2012	May 29, 2024
MACK, DANIEL, J.	MANAGING MEMBER	C	yes	07/2007	Mar 30, 2012	May 29, 2024
VASILAKIS, DEMETRIOS (TAKI)	CHIEF COMPLIANCE OFFICER	Na	yes	01/2022	Feb 3, 2022	May 29, 2024
ZHONG, QIANQIAN	CHIEF FINANCIAL OFFICER	Na	yes	04/2018	Apr 13, 2018	May 29, 2024

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
CB GP LLC	n/a	n/a	n/a	N	yes	n/a
NANTAHALA CAPITAL GP, LLC	n/a	n/a	n/a	N	yes	n/a
RF GP LLC	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
2025	Mar 30, 2026	$3.1B	$3.1B	14	6	0	3	n/a
2024	Mar 31, 2025	$2.3B	$2.3B	15	6	0	4	n/a
2023	Mar 28, 2024	$2.3B	$2.3B	14	6	0	6	$2.0B
2022	Mar 30, 2023	$2.5B	$2.5B	16	7	0	8	$2.4B
2021	Mar 31, 2022	$3.5B	$3.5B	17	7	0	8	$3.4B
2020	Mar 31, 2021	$4.2B	$4.2B	19	9	0	7	$4.1B
2019	Mar 30, 2020	$3.2B	$3.2B	16	8	0	6	$3.2B
2018	Mar 31, 2019	$2.2B	$2.2B	13	5	0	5	$2.1B
2017	Mar 30, 2018	$1.7B	$1.7B	13	5	0	5	$1.6B
2016	Mar 31, 2017	$1.1B	$1.1B	10	4	n/a	5	$1.0B
2015	Mar 30, 2016	$964M	$964M	10	4	n/a	5	$803M
2014	Mar 30, 2015	$669M	$669M	10	4	n/a	4	$620M
2013	Mar 31, 2014	$614M	$614M	10	4	n/a	4	$590M
2012	Mar 28, 2013	$708M	$708M	11	5	n/a	5	$697M
2011	Mar 30, 2012	$310M	$310M	n/a	n/a	n/a	5	$303M

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
2025	$3.1B	$2.3B	32.8%	$2.5B	8.0%	14	15	0	0

Relationships

Advises (10)

→ NANTAHALA CAPITAL PARTNERS SI, LPPrivate fundHedge Fund, IA
Mar 30, 2016 to presentfactForm ADV
→ NCP RFM LPPrivate fundHedge Fund, IA
Feb 22, 2021 to presentfactForm ADV
→ SMA2Private fundHedge Fund, IA
Mar 28, 2013 to presentfactForm ADV
→ SMA3Private fundHedge Fund, IA
Mar 28, 2013 to presentfactForm ADV
→ NCP CB LPPrivate fundHedge Fund, IA
Feb 3, 2022 to presentfactForm ADV
→ NANTAHALA CAPITAL PARTNERS LIMITED PARTNERSHIPPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ NANTAHALA CAPITAL PARTNERS II LIMITED PARTNERSHIPPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ NCP QR LPPrivate fundHedge Fund, IA
Aug 26, 2019 to presentfactForm ADV
→ NANTAHALA CAPITAL PARTNERS CL, LPPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Mar 28, 2013factForm ADV
→ SMA3Private fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Mar 30, 2012factForm ADV

Controls (5)

← VASILAKIS, DEMETRIOS (TAKI)OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 3, 2022 to May 29, 2024factForm ADV
← HARKEY, WILMOT, B.OwnerMANAGING MEMBER, ownership code C, individual
Mar 30, 2012 to May 29, 2024factForm ADV
← MACK, DANIEL, J.OwnerMANAGING MEMBER, ownership code C, individual
Mar 30, 2012 to May 29, 2024factForm ADV
← Buba, Jonathan, ZanetosOwnerMEMBER, ownership code B, individual
Dec 14, 2016 to May 29, 2024factForm ADV
← ZHONG, QIANQIANOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Apr 13, 2018 to May 29, 2024factForm ADV

Dated events

Occurred
Mar 30, 2026
Regulatory AUM changed
Nantahala Capital Management, Llc reported RAUM $3.1B, up 33% from $2.3B (2025-08-28 to 2026-03-30)
Form ADVobserved 4 days ago
$769M
Occurred
Mar 30, 2023
Regulatory AUM changed
Nantahala Capital Management, Llc reported RAUM $2.5B, down 30% from $3.5B (2022-07-01 to 2023-03-30)
Form ADVobserved 4 days ago
$-1.1B
Occurred
Mar 30, 2023
Control person left
Paul Rehm (Chief Operating Officer) no longer on Schedule A of Nantahala Capital Management, Llc (listed 2022-07-01, absent 2023-03-30)
Form ADVobserved 4 days ago
Occurred
Feb 3, 2022
Control person joined
Demetrios (Taki) Vasilakis (Chief Compliance Officer) appeared on Schedule A of Nantahala Capital Management, Llc
Form ADVobserved 4 days ago
Occurred
Mar 31, 2021
Regulatory AUM changed
Nantahala Capital Management, Llc reported RAUM $4.2B, up 31% from $3.2B (2021-02-22 to 2021-03-31)
Form ADVobserved 4 days ago
$985M
Occurred
Mar 30, 2020
Regulatory AUM changed
Nantahala Capital Management, Llc reported RAUM $3.2B, up 47% from $2.2B (2019-08-26 to 2020-03-30)
Form ADVobserved 4 days ago
$1.0B
Occurred
Mar 31, 2019
Regulatory AUM changed
Nantahala Capital Management, Llc reported RAUM $2.2B, up 30% from $1.7B (2018-04-13 to 2019-03-31)
Form ADVobserved 4 days ago
$503M
Occurred
Mar 31, 2019
Control person left
Harris Steven Bloom (Manager) no longer on Schedule A of Nantahala Capital Management, Llc (listed 2018-04-13, absent 2019-03-31)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2019
Control person left
Rosen Susan Bloom (Manager) no longer on Schedule A of Nantahala Capital Management, Llc (listed 2018-04-13, absent 2019-03-31)
Form ADVobserved 4 days ago
Occurred
Mar 30, 2018
Regulatory AUM changed
Nantahala Capital Management, Llc reported RAUM $1.7B, up 56% from $1.1B (2017-04-27 to 2018-03-30)
Form ADVobserved 4 days ago
$596M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ee4f8fb0-ac71-4e1d-9353-321f2a39b3a5
First observed: Mar 30, 2012
Last observed: Sep 14, 2026 5 days 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.

NANTAHALA CAPITAL MANAGEMENT, LLC

CRD 158081

NEW CANAAN, 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:ee4f8fb0-ac71-4e1d-9353-321f2a39b3a5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:00 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

Sma2

Hedge Fund

$963M

May 29, 2024

Mar 28, 2013

reported

n/a

NANTAHALA CAPITAL PARTNERS SI, LP

Hedge Fund

$389M

May 29, 2024

Mar 30, 2016

reported

021-240432

NANTAHALA CAPITAL PARTNERS LIMITED PARTNERSHIP

Hedge Fund

$287M

May 29, 2024

Mar 30, 2012

reported

021-149331

NCP RFM LP

Hedge Fund

$278M

May 29, 2024

Feb 22, 2021

reported

n/a

NANTAHALA CAPITAL PARTNERS CL, LP

Hedge Fund

$103M

Mar 28, 2013

Mar 30, 2012

dropped

021-154543

NCP CB LP

Hedge Fund

$89.8M

May 29, 2024

Feb 3, 2022

reported

n/a

NCP QR LP

Hedge Fund

$69.1M

Jun 14, 2023

Aug 26, 2019

reported

021-336387

NANTAHALA CAPITAL PARTNERS II LIMITED PARTNERSHIP

Hedge Fund

$53.1M

Jun 14, 2023

Mar 30, 2012

reported

021-149696

Sma3

Hedge Fund

$16.0M

Mar 30, 2012

dropped

n/a

Sma3

Hedge Fund

$872,000

May 29, 2024

Mar 28, 2013

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Buba, Jonathan, Zanetos

Member

yes

11/2016

Dec 14, 2016

May 29, 2024

HARKEY, WILMOT, B.

MANAGING MEMBER

yes

05/2004

Mar 30, 2012

May 29, 2024

MACK, DANIEL, J.

MANAGING MEMBER

yes

07/2007

Mar 30, 2012

May 29, 2024

VASILAKIS, DEMETRIOS (TAKI)

CHIEF COMPLIANCE OFFICER

yes

01/2022

Feb 3, 2022

May 29, 2024

ZHONG, QIANQIAN

CHIEF FINANCIAL OFFICER

yes

04/2018

Apr 13, 2018

May 29, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CB GP LLC

n/a

yes

n/a

NANTAHALA CAPITAL GP, LLC

n/a

yes

n/a

RF GP LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$3.1B

n/a

2024

Mar 31, 2025

$2.3B

n/a

2023

Mar 28, 2024

$2.3B

$2.0B

2022

Mar 30, 2023

$2.5B

$2.4B

2021

Mar 31, 2022

$3.5B

$3.4B

2020

Mar 31, 2021

$4.2B

$4.1B

2019

Mar 30, 2020

$3.2B

2018

Mar 31, 2019

$2.2B

$2.1B

2017

Mar 30, 2018

$1.7B

$1.6B

2016

Mar 31, 2017

$1.1B

n/a

$1.0B

2015

Mar 30, 2016

$964M

n/a

$803M

2014

Mar 30, 2015

$669M

n/a

$620M

2013

Mar 31, 2014

$614M

n/a

$590M

2012

Mar 28, 2013

$708M

n/a

$697M

2011

Mar 30, 2012

$310M

n/a

$303M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$3.1B

$2.3B

32.8%

$2.5B

8.0%