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

DIRECT LENDING INVESTMENTS, LLC

CRD 282476

GLENDALE, CA

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Search this name across graphsid dfx:ria:f31185d5-1c2a-a89d-299d-c61edb97a02e

Data as of Feb 25, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 4
On other graphs: 1
Observed: Jan 6, 2016 to Feb 25, 2019
17 observations

Across DFX

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

Private Creditidentity

DIRECT LENDING INVESTMENTS, LLC

Private credit 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: $866MItem 5.F on the latest filing (2019-02-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $866M
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: 27
Advisory employees: 7
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 3
Private funds: 3Schedule D 7.B(1)
Private fund GAV: $1.7Bgross asset value as reported per fund; never fund size
Custody, client assets: $866M
SEC number: 801-107150
CRD: 282476
Filings on the tape: 17
First filed: Jan 6, 2016
Latest filed: Feb 25, 2019
Organised: Limited Liability Company, California

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
DLI CAPITAL, INC.	Other Private Fund	$856M	Feb 25, 2019	2	Oct 28, 2016	reported	n/a
DIRECT LENDING INCOME FUND, LP	Other Private Fund	$649M	Feb 25, 2019	950	Apr 29, 2016	reported	021-195571
DIRECT LENDING INCOME FEEDER FUND, LTD.	Other Private Fund	$217M	Feb 25, 2019	57	Oct 28, 2016	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
BALLAS, STEPHEN, B	GENERAL COUNSEL	Na	yes	12/2018	Dec 18, 2018	Feb 25, 2019
BIGOS, CHRISTOPHER, JOHN	MANAGING DIRECTOR, INVESTMENTS	Na	yes	01/2019	Jan 25, 2019	Feb 25, 2019
Kim, Andrew, J	CHIEF FINANCIAL OFFICER	Na	yes	07/2017	Jul 31, 2017	Feb 25, 2019
LABRAN, RENEE, ELIZABETH	Director	Na	yes	06/2016	Oct 28, 2016	Feb 25, 2019
ROSS, BRENDAN, MATTHEW	CHIEF EXECUTIVE OFFICER, MANAGING MEMBER	E	yes	09/2015	Jan 6, 2016	Feb 25, 2019
SMITH, JEFFREY, ANDREW	CHIEF COMPLIANCE OFFICER	Na	yes	06/2018	Jul 12, 2018	Feb 25, 2019
Tirelli, Frank, Xavier	Director	Na	yes	06/2016	Oct 28, 2016	Feb 25, 2019

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
2017	Mar 31, 2018	$933M	$933M	29	6	1	3	$1.8B
2016	Mar 23, 2017	$910M	$910M	24	4	n/a	3	$1.8B

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
2017	$866M	$910M	-4.8%	n/a	n/a	27	24	1	n/a

Relationships

Advises (3)

→ DLI CAPITAL, INC.Private fundOther Private Fund, IA
Oct 28, 2016 to presentfactForm ADV
→ DIRECT LENDING INCOME FEEDER FUND, LTD.Private fundOther Private Fund, IA
Oct 28, 2016 to presentfactForm ADV
→ DIRECT LENDING INCOME FUND, LPPrivate fundOther Private Fund, IA
Apr 29, 2016 to presentfactForm ADV

Controls (7)

← SMITH, JEFFREY, ANDREWOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 12, 2018 to presentfactForm ADV
← BIGOS, CHRISTOPHER, JOHNOwnerMANAGING DIRECTOR, INVESTMENTS, ownership code NA, individual
Jan 25, 2019 to presentfactForm ADV
← ROSS, BRENDAN, MATTHEWOwnerCHIEF EXECUTIVE OFFICER, MANAGING MEMBER, ownership code E, individual
Jan 6, 2016 to presentfactForm ADV
← LABRAN, RENEE, ELIZABETHOwnerDIRECTOR, ownership code NA, individual
Oct 28, 2016 to presentfactForm ADV
← BALLAS, STEPHEN, BOwnerGENERAL COUNSEL, ownership code NA, individual
Dec 18, 2018 to presentfactForm ADV
← Tirelli, Frank, XavierOwnerDIRECTOR, ownership code NA, individual
Oct 28, 2016 to presentfactForm ADV
← Kim, Andrew, JOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jul 31, 2017 to presentfactForm ADV

Dated events

Occurred
Feb 25, 2019
Control person left
C Bryce Mason (Executive Vice President, Research) no longer on Schedule A of Direct Lending Investments, Llc (listed 2019-02-06, absent 2019-02-25)
Form ADVobserved 4 days ago
Occurred
Feb 6, 2019
Control person left
Bernard Frank Turner (Chief Investment Officer) no longer on Schedule A of Direct Lending Investments, Llc (listed 2019-01-25, absent 2019-02-06)
Form ADVobserved 4 days ago
Occurred
Jan 25, 2019
Control person joined
John Christopher Bigos (Managing Director, Investments) appeared on Schedule A of Direct Lending Investments, Llc
Form ADVobserved 4 days ago
Occurred
Jan 6, 2016
First Form ADV filing
Direct Lending Income Fund Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f31185d5-1c2a-a89d-299d-c61edb97a02e
First observed: Jan 6, 2016
Last observed: Feb 25, 2019 92 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.

DIRECT LENDING INVESTMENTS, LLC

CRD 282476

GLENDALE, 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:f31185d5-1c2a-a89d-299d-c61edb97a02e

Data as of Feb 25, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:54 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

DLI CAPITAL, INC.

Other Private Fund

$856M

Feb 25, 2019

Oct 28, 2016

reported

n/a

DIRECT LENDING INCOME FUND, LP

Other Private Fund

$649M

Feb 25, 2019

950

Apr 29, 2016

reported

021-195571

DIRECT LENDING INCOME FEEDER FUND, LTD.

Other Private Fund

$217M

Feb 25, 2019

Oct 28, 2016

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BALLAS, STEPHEN, B

GENERAL COUNSEL

yes

12/2018

Dec 18, 2018

Feb 25, 2019

BIGOS, CHRISTOPHER, JOHN

MANAGING DIRECTOR, INVESTMENTS

yes

01/2019

Jan 25, 2019

Feb 25, 2019

Kim, Andrew, J

CHIEF FINANCIAL OFFICER

yes

07/2017

Jul 31, 2017

Feb 25, 2019

LABRAN, RENEE, ELIZABETH

Director

yes

06/2016

Oct 28, 2016

Feb 25, 2019

ROSS, BRENDAN, MATTHEW

CHIEF EXECUTIVE OFFICER, MANAGING MEMBER

yes

09/2015

Jan 6, 2016

Feb 25, 2019

SMITH, JEFFREY, ANDREW

CHIEF COMPLIANCE OFFICER

yes

06/2018

Jul 12, 2018

Feb 25, 2019

Tirelli, Frank, Xavier

Director

yes

06/2016

Oct 28, 2016

Feb 25, 2019

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 31, 2018

$933M

$1.8B

2016

Mar 23, 2017

$910M

n/a

$1.8B

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$866M

$910M

-4.8%

n/a