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CRD 156395
NEW YORK, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| JRW IRREVOCABLE TRUST | Owner | D | yes | 01/2011 | Mar 27, 2012 | Apr 18, 2012 |
| RICHARD R. WATERFIELD INSURANCE TRUST | Owner | D | yes | 01/2011 | Mar 27, 2012 | Apr 18, 2012 |
| WATERFIELD, JOHN, RANDALL | TRUSTEE OF TRUST | F | yes | 01/2011 | Mar 27, 2012 | Apr 18, 2012 |
| WATERFIELD, JOHN, RANDALL | CHIEF COMPLIANCE OFFICER, MANAGING MEMBER AND TRUSTEE OF TRUST | Na | yes | 02/2011 | Mar 27, 2012 | Apr 18, 2012 |
| WATERFIELD, RICHARD, RHINEHART | TRUSTEE OF TRUST | F | yes | 01/2011 | Mar 27, 2012 | Apr 18, 2012 |
| WATERFIELD, RICHARD, RHINEHART | MANAGING MEMBER AND TRUSTEE OF TRUST | Na | yes | 01/2011 | Mar 27, 2012 | Apr 18, 2012 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| CAPPELLO CAPITAL CORP. | n/a | n/a | n/a | N | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| NEWPORT BEACH | CA | United States | n/a | no |
| n/a | n/a | n/a | n/a | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2011 | Mar 27, 2012 | $2.4B | $132M | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2011 | $2.4B | n/a | n/a | n/a | n/a | n/a | n/a | n/a | n/a |