DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Duke Funding Management, L.L.C.
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2012 · 30 filings
SEC status approved since Apr 5, 2002
RAUM
$127M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
164
68 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$127M as of Mar 30, 2026
Mar 30, 2012$1.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 30, 20120 then
Employees (5.A)164 as of Mar 30, 2026
Mar 28, 2013123 then
Private funds4 as of Mar 30, 2026
Mar 30, 201211 then
RAUM -16% over the last fiscal year-8.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $31.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -16%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$127M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=8.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Duke Funding High Grade I, Ltd.no longer reported | Securitized Asset Fund | $419M | 6 | Mar 30, 2012 |
| Duke Funding Viii, Ltd.no longer reported | Securitized Asset Fund | $76.5M | 5 | Mar 30, 2012 |
| Duke Funding Ix, Ltd. | Securitized Asset Fund | $72.1M | 23 | Mar 30, 2012 |
| Duke Funding Vii, Ltd. | Securitized Asset Fund | $42.8M | 7 | Mar 30, 2012 |
| Duke Funding Vi, Ltd. | Securitized Asset Fund | $21.6M | 14 | Mar 30, 2012 |
| Duke Funding High Grade V, Ltd.no longer reported | Securitized Asset Fund | $18.2M | 6 | Mar 30, 2012 |
| Duke Funding X, Ltd.no longer reported | Securitized Asset Fund | $17.9M | 4 | Mar 30, 2012 |
| Duke Funding V, Ltd. | Securitized Asset Fund | $13.9M | 10 | Mar 30, 2012 |
| Duke Funding High Grade Vi, Ltd.no longer reported | Securitized Asset Fund | $7.4M | 10 | Mar 30, 2012 |
| Duke Funding High Grade IV, Ltd.no longer reported | Securitized Asset Fund | $4.7M | 7 | Mar 30, 2012 |
| Duke Funding Xi, Ltd.no longer reported | Securitized Asset Fund | $16,093 | 2 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Anthony Richard Daley · Managing Director And Chief Operating Officercontrolsince 12/2004 · owns less than 5%
- Deno John Geanakoplos · Managing Directorcontrolsince 04/2001 · owns less than 5%
- Brady Patrick Maloney · Chief Compliance Officer & Associate General Counselcontrolsince 01/2024 · owns less than 5%
- Reuven Daniel Margolis · General Counselcontrolsince 05/2010 · owns less than 5%
- Eric Laurence Penn · Vice Chairmancontrolsince 04/2001 · owns less than 5%
- Ira Mark Tecotzky · Vice Chairmancontrolsince 01/2008 · owns less than 5%
- Andrew Vranos · Managing Directorcontrolsince 03/2021 · owns less than 5%
- William Michael Vranos · Chief Executive Officercontrolsince 04/2001 · owns less than 5%
- William Michael Vranos · Limited Partnercontrolsince 04/2007 · owns 25% to 50% of Emg Holdings, L.P.
- William Michael Vranos · Managing Membercontrolsince 08/1995 · owns 75% or more of Vc Investments, L.L.C.
Entity owners
- Ellington Management Group, L.L.C. · Memberdirect · owns 75% or more
- Emg Holdings, L.P. · Memberindirect · owns 75% or more of Ellington Management Group, L.L.C.
- Vc Investments, L.L.C. · General Partnerindirect · owns F of Emg Holdings, L.P.
- Vc Investments, L.L.C. · Managing Memberindirect · owns F of Ellington Management Group, L.L.C.
Related persons
Schedule D 7.A
- Armstrong Securities LLCbroker-dealern
- Cii Gp LLCbankpooled vehicle sponsorn
- E/S Mbs Gp I LLCbankpooled vehicle sponsorn
- E/S Mbs Gp II LLCbankpooled vehicle sponsorn
- Ecop Gp LLCbankpooled vehicle sponsorn
- Ecre Gp LLCbankpooled vehicle sponsorn
- Eei Mm LLCbankpooled vehicle sponsorn
- Ellington Clo Management LLCinvestment advisern
- Ellington Financial Management LLCinvestment adviserbanknRAUM $19B
- Ellington Global Asset Management, LLCinvestment adviserbanknRAUM $9.2B
- Ellington M Credit Gp LLCbankpooled vehicle sponsorn
- Ellington Management Group (Uk) Llpinvestment advisern
- Ellington Management Group, L.L.C.investment adviserbankpooled vehicle sponsoryRAUM $21B
- Ellington Credit Company Management LLCinvestment adviserbanknRAUM $415M
- Empire Mm LLCbankpooled vehicle sponsorn
- Emr Gp II LLCbankpooled vehicle sponsorn
- Emr Gp LLCbankpooled vehicle sponsorn
- Eof Gp LLCbankpooled vehicle sponsorn
- Epo Gp LLCbankpooled vehicle sponsorn
- Epo II Gp LLCbankpooled vehicle sponsorn
- Epo III Gp LLCbankpooled vehicle sponsorn
- Eso Mm LLCbankpooled vehicle sponsorn
- Esop Gp LLCbankpooled vehicle sponsorn
- Esrv Mm LLCbankpooled vehicle sponsorn
- Hhe Investors II LLCpooled vehicle sponsorn
- Nmp Mm LLCbankpooled vehicle sponsorn
Advisers that list Duke Funding Management, L.L.C. as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 160 to 164Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $152M to $127MMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $152M to $127MMar 31, 2025 to Mar 30, 2026
- RAUM · $152M to $127MMar 31, 2025 to Mar 30, 2026
- Advisory employees · 69 to 68Mar 27, 2024 to Mar 31, 2025
- Employees · 162 to 160Mar 27, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $150M to $152MMar 27, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $150M to $152MMar 27, 2024 to Mar 31, 2025
- RAUM · $150M to $152MMar 27, 2024 to Mar 31, 2025
- Advisory employees · 71 to 69Jan 11, 2024 to Mar 27, 2024
- BD registered reps · 5 to 8Jan 11, 2024 to Mar 27, 2024
- Discretionary RAUM · $166M to $150MJan 11, 2024 to Mar 27, 2024
- Pooled vehicle RAUM · $166M to $150MJan 11, 2024 to Mar 27, 2024
- RAUM · $166M to $150MJan 11, 2024 to Mar 27, 2024
- Accounts · 5 to 4May 20, 2022 to Mar 30, 2023
- Advisory employees · 84 to 71May 20, 2022 to Mar 30, 2023
- BD registered reps · 0 to 5May 20, 2022 to Mar 30, 2023
- Pooled vehicle clients · 5 to 4May 20, 2022 to Mar 30, 2023
- Employees · 173 to 162May 20, 2022 to Mar 30, 2023
- Private funds · 5 to 4May 20, 2022 to Mar 30, 2023
- Discretionary RAUM · $624M to $166MMay 20, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $624M to $166MMay 20, 2022 to Mar 30, 2023
- RAUM · $624M to $166MMay 20, 2022 to Mar 30, 2023
- Related broker-dealer · false to trueMay 20, 2022 to Mar 30, 2023
- Advisory employees · 70 to 84Oct 21, 2021 to Mar 29, 2022
- Employees · 142 to 173Oct 21, 2021 to Mar 29, 2022
- Discretionary RAUM · $693M to $624MOct 21, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $693M to $624MOct 21, 2021 to Mar 29, 2022
- RAUM · $693M to $624MOct 21, 2021 to Mar 29, 2022
- Accounts · 7 to 5Apr 1, 2020 to Mar 31, 2021
- Advisory employees · 61 to 70Apr 1, 2020 to Mar 31, 2021
- Pooled vehicle clients · 7 to 5Apr 1, 2020 to Mar 31, 2021
- Employees · 141 to 142Apr 1, 2020 to Mar 31, 2021
- Private funds · 7 to 5Apr 1, 2020 to Mar 31, 2021
- Discretionary RAUM · $787M to $693MApr 1, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $787M to $693MApr 1, 2020 to Mar 31, 2021
- RAUM · $787M to $693MApr 1, 2020 to Mar 31, 2021
- Advisory employees · 56 to 61Jun 5, 2019 to Apr 1, 2020
- Employees · 142 to 141Jun 5, 2019 to Apr 1, 2020
Signals
13 dated events
- Joseph Daniel Caffarelli (Chief Compliance Officer) no longer on Schedule A of Duke Funding Management, L.L.C. (listed 2023-11-15, absent 2024-01-11)Jan 11, 2024 · Control person left · inference
- Brady Patrick Maloney (Chief Compliance Officer & Associate General Counsel) appeared on Schedule A of Duke Funding Management, L.L.C.Jan 11, 2024 · Control person joined · fact
- Henry Robert Kinderman (Vice Chairman) no longer on Schedule A of Duke Funding Management, L.L.C. (listed 2023-03-30, absent 2023-07-20)Jul 20, 2023 · Control person left · inference
- Duke Funding Management, L.L.C. reported RAUM $166.1M, down 73% from $623.6M (2022-05-20 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Joseph Daniel Caffarelli (Chief Compliance Officer) appeared on Schedule A of Duke Funding Management, L.L.C.Mar 29, 2022 · Control person joined · fact
- Steven Olivier Cojot-Goldberg (Vice Chairman) no longer on Schedule A of Duke Funding Management, L.L.C. (listed 2021-10-21, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- Anthony Paul Asaro (Chief Financial Officer And Managing Director) no longer on Schedule A of Duke Funding Management, L.L.C. (listed 2021-10-21, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- S Peter Lin (Chief Compliance Officer) no longer on Schedule A of Duke Funding Management, L.L.C. (listed 2021-05-26, absent 2021-10-21)Oct 21, 2021 · Control person left · inference
- Charles David Rice (Chief Compliance Officer) no longer on Schedule A of Duke Funding Management, L.L.C. (listed 2021-05-03, absent 2021-05-26)May 26, 2021 · Control person left · inference
- S Peter Lin (Chief Compliance Officer) appeared on Schedule A of Duke Funding Management, L.L.C.May 26, 2021 · Control person joined · fact
- Andrew Vranos (Managing Director) appeared on Schedule A of Duke Funding Management, L.L.C.Mar 31, 2021 · Control person joined · fact
- Gregg Richard Brounstein (Vice Chairman) no longer on Schedule A of Duke Funding Management, L.L.C. (listed 2019-03-30, absent 2019-06-05)Jun 5, 2019 · Control person left · inference
- Robert Kinderman (Managing Director) appeared on Schedule A of Duke Funding Management, L.L.C.Jun 5, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- ELLINGTON.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-698-1200reportedpublic record, Form ADV, Mar 30, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026