DFX Intelligence

Data Factory

The intelligence graph connecting private capital, companies and real assets. Public records ingested on their own cadence, resolved to one identity by shared identifier, connected by typed relationships with a date and a source on every edge, and read by detectors that say what changed and what it means. Facts, derived metrics, signals, anomalies and inferences are labelled as such.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

COVARIANCE CAPITAL MANAGEMENT, INC.

CRD 154984

HOUSTON, TX

Full profile on RIA / Wealth Management →Search this name across graphsid dfx:ria:ef1bfd37-d32e-c31f-4789-db79d5d0dbc8

Data as of Aug 30, 2017 (this record's last observation) from sec_form_adv_history, sec_adv_roster, iapd_firm_feed. Page built Sep 18, 2026, 11:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 27
Dated events: 0
On other graphs: 1
Observed: Dec 2, 2011 to Aug 30, 2017
27 observations

Across DFX

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

Private Equityidentity

Covariance Capital Management, Inc.

Private equity manager · 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: $3.8BItem 5.F on the latest filing (2017-08-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $3.8B
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: 33
Advisory employees: 16
Accounts: 31
Private funds: 23Schedule D 7.B(1)
Private fund GAV: $2.7Bgross asset value as reported per fund; never fund size
Custody, client assets: $3.8B
SEC number: 801-71843
CRD: 154984
Filings on the tape: 27
First filed: Dec 2, 2011
Latest filed: Aug 30, 2017
Organised: Corporation, 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
CCAP FUND EF, L.P.	Hedge Fund	$105M	Aug 30, 2017	1	Mar 28, 2016	reported	021-243646
CCAP FUND 6-2016, L.P.	Private Equity Fund	$46.0M	Mar 31, 2017	2	Mar 31, 2017	reported	021-264182
CCAP FUND 3, L.P.	Hedge Fund	$37.6M	Aug 30, 2017	1	Mar 29, 2012	reported	021-171347
CCAP FUND 4, L.P.	Hedge Fund	$10.1M	Apr 24, 2015	1	Mar 29, 2012	dropped	021-171348

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
BARAKAT, MICHAEL, NEDDAL	CHIEF COMPLIANCE OFFICER	NA	yes	08/2014	Sep 2, 2014	Aug 30, 2017
DECKBAR, CAROL, WARD	DIRECTOR	NA	yes	04/2016	Apr 25, 2016	Aug 30, 2017
DEVANY, SARAH, ESTERLY	CHIEF OPERATING OFFICER	NA	yes	08/2017	Aug 30, 2017	Aug 30, 2017
FERGUSON, ROGER, WALTON	DIRECTOR	NA	yes	08/2010	Dec 2, 2011	Aug 30, 2017
GERHARZ, JOSEPH, PATRICK	CHIEF FINANCIAL OFFICER	NA	yes	08/2017	Aug 30, 2017	Aug 30, 2017
GUTIERREZ, JORGE, CLAUDIO	TREASURER	NA	yes	06/2010	Dec 2, 2011	Aug 30, 2017
HESS, LISA, WOLFSON	DIRECTOR	NA	yes	03/2012	Mar 29, 2012	Aug 30, 2017
JAWOR, MICHAEL, JAY	CHIEF INVESTMENT OFFICER	NA	yes	01/2017	Dec 2, 2011	Aug 30, 2017
KAHN, MICHAEL, BRUCE	DIRECTOR	NA	yes	08/2017	Aug 30, 2017	Aug 30, 2017
O'LEARY, KEVIN, J	CHIEF EXECUTIVE OFFICER, DIRECTOR	NA	yes	08/2017	Aug 30, 2017	Aug 30, 2017
PRESSMAN, RONALD, RICHARD	DIRECTOR	NA	yes	11/2012	Feb 8, 2013	Aug 30, 2017
TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA	SOLE OWNER	E	yes	08/2010	Dec 2, 2011	Aug 30, 2017
TIAA BOARD OF OVERSEERS	SHAREHOLDER	E	yes	08/2010	Dec 2, 2011	Aug 30, 2017
TIAA-CREF REDWOOD, LLC	SOLE DIRECT OWNER	E	yes	08/2010	Dec 2, 2011	Aug 30, 2017

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
TEACHERS ADVISORS, LLC	n/a	FORMER SEC ADVISER	$436B	N	yes	n/a
TIAA-CREF INVESTMENT MANAGEMENT LLC	n/a	ASSET MANAGER	$292B	N	yes	n/a
TIAA-CREF ALTERNATIVES ADVISORS, LLC	n/a	INSTITUTIONAL MANAGER	$142B	N	yes	n/a
TIAA-CREF TUITION FINANCING, INC.	n/a	INSTITUTIONAL MANAGER	$71B	N	yes	n/a
CHURCHILL ASSET MANAGEMENT LLC	n/a	OTHER ADVISER	$56B	N	yes	n/a
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC	n/a	BD AFFILIATED WEALTH	$38B	N	yes	n/a
KASPICK & COMPANY, LLC	n/a	INSTITUTIONAL MANAGER	$8.7B	N	yes	n/a
GREENWOOD RESOURCES CAPITAL MANAGEMENT LLC	n/a	FORMER SEC ADVISER	$1.3B	N	yes	n/a
AGR PARTNERS LLC	n/a	ASSET MANAGER	$1.2B	N	yes	n/a
CASA PARTNERS VI, GP LLC	n/a	n/a	n/a	N	yes	n/a
CASA STUDENT HOUSING FUND GP, LLC	n/a	n/a	n/a	N	yes	n/a
CCAP GP, LLC	n/a	n/a	n/a	Y	yes	n/a
GLOBAL INVESTORS GP II, L.L.C.	n/a	n/a	n/a	N	yes	n/a
GLOBAL INVESTORS GP IV, L.L.C.	n/a	n/a	n/a	N	yes	n/a
GLOBAL INVESTORS GP, L.L.C.	n/a	n/a	n/a	N	yes	n/a
GTFF GP LLC	n/a	n/a	n/a	N	yes	n/a
HENDERSON PROPERTY UK AIMF LIMITED	n/a	n/a	n/a	N	yes	n/a
HENDERSON REAL ESTATE ASSET MANAGEMENT LIMITED	n/a	n/a	n/a	N	yes	n/a
T-C 685 THIRD AVENUE MEMBER LLC	n/a	n/a	n/a	N	yes	n/a
T-C SMA I, LLC	n/a	n/a	n/a	N	yes	n/a
T-C SMA III, LLC	n/a	n/a	n/a	N	yes	n/a
T-C U.S. SUPER REGIONAL MALL FUND GP, LLC	n/a	n/a	n/a	Y	yes	n/a
TCAM DOF GP, LLC	n/a	n/a	n/a	N	yes	n/a
TCAM GLOBAL UK, LIMITED	n/a	n/a	n/a	N	yes	n/a
TCGA II INVESTOR FUND GP LLC	n/a	n/a	n/a	N	yes	n/a
TCGA INVESTOR FUND GP LLC	n/a	n/a	n/a	N	yes	n/a
TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA	n/a	n/a	n/a	Y	yes	n/a
TEACHERS PERSONAL INVESTORS SERVICES, INC.	n/a	n/a	n/a	N	yes	n/a
TIAA-CREF ASSET MANAGEMENT LLC	n/a	n/a	n/a	N	yes	n/a
TIAA-CREF ASSET MANAGEMENT UK LIMITED	n/a	n/a	n/a	N	yes	n/a
TIAA-CREF INSURANCE AGENCY, LLC	n/a	n/a	n/a	N	yes	n/a
TIAA-CREF LIFE INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a
TIAA, FSB	n/a	n/a	n/a	N	yes	n/a
U.S. CITIES FUND GP LLC	n/a	n/a	n/a	N	yes	n/a
U.S. CITIES FUND OPERATING GP LLC	n/a	n/a	n/a	N	yes	n/a

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
CHARLOTTE	NC	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
2016	Mar 31, 2017	$3.8B	$3.8B	33	16	n/a	23	$2.7B
2015	Mar 28, 2016	$2.3B	$2.3B	27	15	n/a	13	$1.4B
2014	Mar 27, 2015	$1.4B	$1.4B	20	13	n/a	10	$1.4B
2013	Mar 31, 2014	$1.3B	$1.3B	27	12	n/a	11	$1.3B
2012	Apr 1, 2013	$1.1B	$1.1B	20	13	n/a	11	$1.3B
2011	Mar 29, 2012	$1.1B	$1.1B	n/a	n/a	n/a	11	$1.1B

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
2016	$3.8B	$2.3B	68.8%	$1.3B	43.0%	33	27	n/a	n/a

Relationships

Affiliated with (9)

→ TIAA KASPICK, LLCRegistered adviserother investment adviser, common control
factsec_form_adv_history
→ TEACHERS ADVISORS, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factsec_form_adv_history
→ TIAA-CREF INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, common control
factsec_form_adv_history
→ TIAA-CREF TUITION FINANCING, INC.Registered adviserother investment adviser, common control
factsec_form_adv_history
→ GREENWOOD RESOURCES CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, common control
factsec_form_adv_history
→ NUVEEN ALTERNATIVES ADVISORS LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factsec_form_adv_history
→ CHURCHILL ASSET MANAGEMENT LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factsec_form_adv_history
→ ADVICE AND PLANNING SERVICESRegistered adviserother investment adviser, broker-dealer, common control
factsec_form_adv_history
→ AGR PARTNERS LLCRegistered adviserother investment adviser, common control
factsec_form_adv_history

Advises (4)

→ CCAP FUND 3, L.P.Private fundHedge Fund, IA
Mar 29, 2012 to presentfactsec_form_adv_history
→ CCAP FUND EF, L.P.Private fundHedge Fund, IA
Mar 28, 2016 to presentfactsec_form_adv_history
→ CCAP FUND 6-2016, L.P.Private fundPrivate Equity Fund, IA
Mar 31, 2017 to presentfactsec_form_adv_history
→ CCAP FUND 4, L.P.Private fundHedge Fund, IA, no longer reported
Mar 29, 2012 to Apr 24, 2015factsec_form_adv_history

Controls (14)

← PRESSMAN, RONALD, RICHARDOwnerDIRECTOR, ownership code NA, individual
Feb 8, 2013 to presentfactsec_form_adv_history
← GUTIERREZ, JORGE, CLAUDIOOwnerTREASURER, ownership code NA, individual
Dec 2, 2011 to presentfactsec_form_adv_history
← DEVANY, SARAH, ESTERLYOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Aug 30, 2017 to presentfactsec_form_adv_history
← BARAKAT, MICHAEL, NEDDALOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 2, 2014 to presentfactsec_form_adv_history
← DECKBAR, CAROL, WARDOwnerDIRECTOR, ownership code NA, individual
Apr 25, 2016 to presentfactsec_form_adv_history
← O'LEARY, KEVIN, JOwnerCHIEF EXECUTIVE OFFICER, DIRECTOR, ownership code NA, individual
Aug 30, 2017 to presentfactsec_form_adv_history
← KAHN, MICHAEL, BRUCEOwnerDIRECTOR, ownership code NA, individual
Aug 30, 2017 to presentfactsec_form_adv_history
← JAWOR, MICHAEL, JAYOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Dec 2, 2011 to presentfactsec_form_adv_history
← GERHARZ, JOSEPH, PATRICKOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Aug 30, 2017 to presentfactsec_form_adv_history
← FERGUSON, ROGER, WALTONOwnerDIRECTOR, ownership code NA, individual
Dec 2, 2011 to presentfactsec_form_adv_history
← HESS, LISA, WOLFSONOwnerDIRECTOR, ownership code NA, individual
Mar 29, 2012 to presentfactsec_form_adv_history
← TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICAOwnerSOLE OWNER, ownership code E, domestic entity
Dec 2, 2011 to presentfactsec_form_adv_history
← TIAA BOARD OF OVERSEERSOwnerSHAREHOLDER, ownership code E, domestic entity
Dec 2, 2011 to presentfactsec_form_adv_history
← TIAA-CREF REDWOOD, LLCOwnerSOLE DIRECT OWNER, ownership code E, domestic entity
Dec 2, 2011 to presentfactsec_form_adv_history

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ef1bfd37-d32e-c31f-4789-db79d5d0dbc8
First observed: Dec 2, 2011
Last observed: Aug 30, 2017 110 months ago
Sources: sec_form_adv_history, sec_adv_roster, iapd_firm_feed
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.

COVARIANCE CAPITAL MANAGEMENT, INC.

CRD 154984

HOUSTON, TX

Data as of Aug 30, 2017 (this record's last observation) from sec_form_adv_history, sec_adv_roster, iapd_firm_feed. Page built Sep 18, 2026, 11:10 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

CCAP FUND EF, L.P.

Hedge Fund

$105M

Aug 30, 2017

Mar 28, 2016

reported

021-243646

CCAP FUND 6-2016, L.P.

Private Equity Fund

$46.0M

Mar 31, 2017

reported

021-264182

CCAP FUND 3, L.P.

Hedge Fund

$37.6M

Aug 30, 2017

Mar 29, 2012

reported

021-171347

CCAP FUND 4, L.P.

Hedge Fund

$10.1M

Apr 24, 2015

Mar 29, 2012

dropped

021-171348

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BARAKAT, MICHAEL, NEDDAL

CHIEF COMPLIANCE OFFICER

yes

08/2014

Sep 2, 2014

Aug 30, 2017

DECKBAR, CAROL, WARD

DIRECTOR

yes

04/2016

Apr 25, 2016

Aug 30, 2017

DEVANY, SARAH, ESTERLY

CHIEF OPERATING OFFICER

yes

08/2017

Aug 30, 2017

FERGUSON, ROGER, WALTON

DIRECTOR

yes

08/2010

Dec 2, 2011

Aug 30, 2017

GERHARZ, JOSEPH, PATRICK

CHIEF FINANCIAL OFFICER

yes

08/2017

Aug 30, 2017

GUTIERREZ, JORGE, CLAUDIO

TREASURER

yes

06/2010

Dec 2, 2011

Aug 30, 2017

HESS, LISA, WOLFSON

DIRECTOR

yes

03/2012

Mar 29, 2012

Aug 30, 2017

JAWOR, MICHAEL, JAY

CHIEF INVESTMENT OFFICER

yes

01/2017

Dec 2, 2011

Aug 30, 2017

KAHN, MICHAEL, BRUCE

DIRECTOR

yes

08/2017

Aug 30, 2017

O'LEARY, KEVIN, J

CHIEF EXECUTIVE OFFICER, DIRECTOR

yes

08/2017

Aug 30, 2017

PRESSMAN, RONALD, RICHARD

DIRECTOR

yes

11/2012

Feb 8, 2013

Aug 30, 2017

TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA

SOLE OWNER

yes

08/2010

Dec 2, 2011

Aug 30, 2017

TIAA BOARD OF OVERSEERS

SHAREHOLDER

yes

08/2010

Dec 2, 2011

Aug 30, 2017

TIAA-CREF REDWOOD, LLC

SOLE DIRECT OWNER

yes

08/2010

Dec 2, 2011

Aug 30, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

TEACHERS ADVISORS, LLC

n/a

FORMER SEC ADVISER

$436B

yes

n/a

TIAA-CREF INVESTMENT MANAGEMENT LLC

n/a

ASSET MANAGER

$292B

yes

n/a

TIAA-CREF ALTERNATIVES ADVISORS, LLC

n/a

INSTITUTIONAL MANAGER

$142B

yes

n/a

TIAA-CREF TUITION FINANCING, INC.

n/a

INSTITUTIONAL MANAGER

$71B

yes

n/a

CHURCHILL ASSET MANAGEMENT LLC

n/a

OTHER ADVISER

$56B

yes

n/a

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

n/a

BD AFFILIATED WEALTH

$38B

yes

n/a

KASPICK & COMPANY, LLC

n/a

INSTITUTIONAL MANAGER

$8.7B

yes

n/a

GREENWOOD RESOURCES CAPITAL MANAGEMENT LLC

n/a

FORMER SEC ADVISER

$1.3B

yes

n/a

AGR PARTNERS LLC

n/a

ASSET MANAGER

$1.2B

yes

n/a

CASA PARTNERS VI, GP LLC

n/a

yes

n/a

CASA STUDENT HOUSING FUND GP, LLC

n/a

yes

n/a

CCAP GP, LLC

n/a

yes

n/a

GLOBAL INVESTORS GP II, L.L.C.

n/a

yes

n/a

GLOBAL INVESTORS GP IV, L.L.C.

n/a

yes

n/a

GLOBAL INVESTORS GP, L.L.C.

n/a

yes

n/a

GTFF GP LLC

n/a

yes

n/a

HENDERSON PROPERTY UK AIMF LIMITED

n/a

yes

n/a

HENDERSON REAL ESTATE ASSET MANAGEMENT LIMITED

n/a

yes

n/a

T-C 685 THIRD AVENUE MEMBER LLC

n/a

yes

n/a

T-C SMA I, LLC

n/a

yes

n/a

T-C SMA III, LLC

n/a

yes

n/a

T-C U.S. SUPER REGIONAL MALL FUND GP, LLC

n/a

yes

n/a

TCAM DOF GP, LLC

n/a

yes

n/a

TCAM GLOBAL UK, LIMITED

n/a

yes

n/a

TCGA II INVESTOR FUND GP LLC

n/a

yes

n/a

TCGA INVESTOR FUND GP LLC

n/a

yes

n/a

TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA

n/a

yes

n/a

TEACHERS PERSONAL INVESTORS SERVICES, INC.

n/a

yes

n/a

TIAA-CREF ASSET MANAGEMENT LLC

n/a

yes

n/a

TIAA-CREF ASSET MANAGEMENT UK LIMITED

n/a

yes

n/a

TIAA-CREF INSURANCE AGENCY, LLC

n/a

yes

n/a

TIAA-CREF LIFE INSURANCE COMPANY

n/a

yes

n/a

TIAA, FSB

n/a

yes

n/a

U.S. CITIES FUND GP LLC

n/a

yes

n/a

U.S. CITIES FUND OPERATING GP LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

CHICAGO

United States

n/a

CHARLOTTE

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 31, 2017

$3.8B

n/a

$2.7B

2015

Mar 28, 2016

$2.3B

n/a

$1.4B

2014

Mar 27, 2015

$1.4B

n/a

$1.4B

2013

Mar 31, 2014

$1.3B

n/a

$1.3B

2012

Apr 1, 2013

$1.1B

n/a

$1.3B

2011

Mar 29, 2012

$1.1B

n/a

$1.1B

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$3.8B

$2.3B

68.8%

$1.3B

43.0%

n/a