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.

Former SEC-registered adviser

361 Capital LLC

Former SEC-registered adviserDenver, ColoradoCRD 118203SEC 801-60813IAPD
Latest filing Mar 26, 2021
First filing on the tape Nov 9, 2011 · 29 filings
RAUM
$734M
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
18
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$734M as of Mar 26, 2021
Mar 30, 2012$156M then
HNW client RAUM$67.1M as of Mar 30, 2020
Mar 31, 2018$66.8M then
State-registered IARs (5.B.3)0 as of Mar 26, 2021
Mar 30, 20120 then
Employees (5.A)18 as of Mar 26, 2021
Apr 1, 201316 then
Private funds1 as of Mar 29, 2016
Mar 30, 20127 then
RAUM -52% over the last fiscal year-21% a year over threeIARs 2 to 0
Practice profile
derived from the filing of Mar 26, 2021; 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
$367MderivedRAUM 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
-52%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 5.G
Ownership
a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$734M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
8 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Absolute Return Series - 361 Partners, LPno longer reportedHedge Fund$16.7M3Mar 30, 2012
Real Asset Series - 361 Partners, LPno longer reportedHedge Fund$15.9M3Mar 30, 2012
Foreign Equity Series - 361 Partners, LPno longer reportedHedge Fund$10.3M3Mar 30, 2012
Domestic Equity Series - 361 Partners, LPno longer reportedHedge Fund$9.2M3Mar 30, 2012
361 Global Macro LPno longer reportedHedge Fund$3.9M1Nov 6, 2013
Private Investment Series - 361 Partners, LPno longer reportedHedge Fund$3.6M1Mar 30, 2012
361 Long Short Equity Fund, LPno longer reportedHedge Fund$1.3M1Mar 30, 2012
361 Triplepoint LPno longer reportedHedge Fund$215,8152Mar 30, 2012
Owners and control persons
Schedule A and B, latest filing
  • Ibberson Thomas Florence · Member; Chairman; Chief Executive Officercontrol
    since 09/2009 · owns less than 5%
  • Paul Joseph Paonessa · Chief Financial Officercontrol
    since 05/2018 · owns less than 5%
  • Jaye Joshua Vail · Presidentcontrol
    since 09/2018 · owns less than 5%
  • Mccarthy Megan Florence · Member & Secretarycontrol
    since 03/2004 · owns 75% or more of Forestview Ventures, LLC
  • Ibberson Thomas Florence · Member, Manager & Presidentcontrol
    since 03/2004 · owns F of Forestview Ventures, LLC
  • Aaron Wade Clouse · Chief Compliance Officer
    since 10/2018 · owns less than 5%
  • Preston Blaine Rollins · Member
    since 03/2011 · owns 10% to 25%
Entity owners
  • Forestview Ventures, LLC · Managing Member
    direct · owns 25% to 50%
  • Fund III Ugp LLC · Sole General Partner
    indirect · owns 75% or more of Lovell Minnick Equity Advisors III LP
  • Hfa Lighthouse Holdings Corp. · Owner
    indirect · owns 75% or more of Lighthouse Investment Partners, LLC
  • Lhp Investments, LLC · Owner
    indirect · owns 75% or more of Lighthouse Investment Partners, LLC
  • Lm 361 Capital Investment Holdings Inc. · Owner
    indirect · owns 75% or more of Lm 361 Capital Investment, LP
  • Lovell Minnick Equity Advisors III LP · Sole General Partner
    indirect · owns F of Lm 361 Capital Investment, LP
  • Lovell Minnick Equity Advisors III LP · Sole General Partner
    indirect · owns F of Lovell Minnick Equity Partners III-A LP
  • Lovell Minnick Equity Advisors III LP · Sole General Partner
    indirect · owns F of Lovell Minnick Equity Partners III LP
  • Lovell Minnick Equity Partners III-A LP · Owner
    indirect · owns 75% or more of Lm 361 Capital Investment Holdings Inc.
  • Lovell Minnick Partners LLC · Sole Managing Member
    indirect · owns 75% or more of Fund III Ugp LLC
  • Navigator Global Investments Limited · Owner
    indirect · owns 75% or more of Hfa Lighthouse Holdings Corp.
  • Lighthouse Investment Partners, LLC · Member
    direct · owns 10% to 25%
  • Lm 361 Capital Investment Partnership LP · Member
    direct · owns 5% to 10%
  • Lovell Minnick Equity Partners III LP · Member
    direct · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list 361 Capital LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 4 to 2
    Jul 7, 2020 to Mar 26, 2021
  • BD registered reps · 12 to 9
    Jul 7, 2020 to Mar 26, 2021
  • Employees · 23 to 18
    Jul 7, 2020 to Mar 26, 2021
  • State-registered IARs · 2 to 0
    Jul 7, 2020 to Mar 26, 2021
  • Discretionary RAUM · $809M to $734M
    Jul 7, 2020 to Mar 26, 2021
  • RAUM · $809M to $734M
    Jul 7, 2020 to Mar 26, 2021
  • Accounts · 141 to 4
    Mar 30, 2020 to Jul 7, 2020
  • Advisory employees · 8 to 2
    Mar 30, 2020 to Jul 7, 2020
  • Advisory activities · 4 to 1
    Mar 30, 2020 to Jul 7, 2020
  • Corporate clients · 1.0 to unset
    Mar 30, 2020 to Jul 7, 2020
  • HNW clients · 89.0 to unset
    Mar 30, 2020 to Jul 7, 2020
  • Individual clients · 32.0 to unset
    Mar 30, 2020 to Jul 7, 2020
  • Pension plan clients · 5.0 to unset
    Mar 30, 2020 to Jul 7, 2020
  • Employees · 32 to 23
    Mar 30, 2020 to Jul 7, 2020
  • Discretionary RAUM · $1.5B to $809M
    Mar 30, 2020 to Jul 7, 2020
  • HNW RAUM · 67111538.0 to unset
    Mar 30, 2020 to Jul 7, 2020
  • Individual RAUM · 9884363.0 to unset
    Mar 30, 2020 to Jul 7, 2020
  • Pension RAUM · 19091799.0 to unset
    Mar 30, 2020 to Jul 7, 2020
  • RAUM · $1.5B to $809M
    Mar 30, 2020 to Jul 7, 2020
  • Wrap assets (manager) · 7956464.0 to unset
    Mar 30, 2020 to Jul 7, 2020
  • Wrap assets (sponsor) · 0.0 to unset
    Mar 30, 2020 to Jul 7, 2020
  • Accounts · 152 to 141
    May 17, 2019 to Mar 30, 2020
  • BD registered reps · 14 to 12
    May 17, 2019 to Mar 30, 2020
  • HNW clients · 91 to 89
    May 17, 2019 to Mar 30, 2020
  • Individual clients · 38 to 32
    May 17, 2019 to Mar 30, 2020
  • Pooled vehicle clients · 2.0 to unset
    May 17, 2019 to Mar 30, 2020
  • Employees · 33 to 32
    May 17, 2019 to Mar 30, 2020
  • Discretionary RAUM · $1.5B to $1.5B
    May 17, 2019 to Mar 30, 2020
  • HNW RAUM · $54.4M to $67.1M
    May 17, 2019 to Mar 30, 2020
  • Individual RAUM · $9.1M to $9.9M
    May 17, 2019 to Mar 30, 2020
  • Pension RAUM · $15.5M to $19.1M
    May 17, 2019 to Mar 30, 2020
  • Pooled vehicle RAUM · 178340056.0 to unset
    May 17, 2019 to Mar 30, 2020
  • RAUM · $1.5B to $1.5B
    May 17, 2019 to Mar 30, 2020
  • Wrap assets (manager) · $7.1M to $8.0M
    May 17, 2019 to Mar 30, 2020
  • Accounts · 142 to 152
    Oct 2, 2018 to Mar 25, 2019
  • Advisory employees · 7 to 8
    Oct 2, 2018 to Mar 25, 2019
  • BD registered reps · 10 to 14
    Oct 2, 2018 to Mar 25, 2019
  • HNW clients · 87 to 91
    Oct 2, 2018 to Mar 25, 2019
  • Individual clients · 33 to 38
    Oct 2, 2018 to Mar 25, 2019
  • Pension plan clients · 7 to 5
    Oct 2, 2018 to Mar 25, 2019
Signals
3 dated events
  • 361 Capital Llc reported RAUM $809.1M, down 47% from $1.5B (2020-03-30 to 2020-07-07)
    Jul 7, 2020 · RAUM change · derived
  • Jaye Joshua Vail (President) appeared on Schedule A of 361 Capital Llc
    Mar 25, 2019 · Control person joined · fact
  • P Joseph Paonessa (Chief Financial Officer) appeared on Schedule A of 361 Capital Llc
    Mar 25, 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.
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
Former SEC-registered adviserderiveda 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