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

Lyxor Asset Management LLC

Former SEC-registered adviserNew York, New YorkCRD 121552SEC 801-61375IAPD

Latest filing Feb 26, 2024

First filing on the tape Mar 28, 2012 · 66 filings

RAUM

$28B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$28B gross assets

History

66 filings and snapshots on the tape

RAUM$28B as of Mar 31, 2023

Mar 28, 2012$2.8B then

HNW client RAUM$0 as of Mar 31, 2023

Mar 30, 2018$0 then

State-registered IARs (5.B.3)0 as of Mar 31, 2023

Mar 26, 20130 then

Employees (5.A)33 as of Mar 31, 2023

Mar 26, 201332 then

Private funds18 as of Mar 31, 2023

Mar 28, 20124 then

RAUM +2.0% over the last fiscal year-16% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Feb 26, 2024; 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: $1.2BderivedRAUM 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: +2.0%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities: portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody: $28B, 22 clientsreportedItem 9.A
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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$28B100%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 23reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $28B for 22 clientsreported
Compensation: % of AUM, fixed, performancereported
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

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

14 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
Co-Map Alphadyne Fund Spcno longer reported	Hedge Fund	$32B	3	Mar 28, 2012
Cmap Fort Fund Limited	Hedge Fund	$2.2B	1	Feb 27, 2017
Cmap Graticule Fund Limited	Hedge Fund	$1.7B	1	Jul 3, 2014
Lyxor/Mkp Global Fund Limitedno longer reported	Hedge Fund	$1.0B	1	Jan 10, 2013
Cmap Aqr Fund Limitedno longer reported	Hedge Fund	$650M	1	Aug 18, 2015
Condorcet Global Opportunity Master Fundno longer reported	Hedge Fund	$567M	3	Jul 3, 2014
Cmap Macro Gm Fund Limited	Hedge Fund	$529M	1	Feb 26, 2024
Lyxor Premium Fundno longer reported	Hedge Fund	$266M	82	Mar 28, 2012
Wm Alternatives Emso Long/Short Credit Master Fund Limitedno longer reported	Hedge Fund	$117M	163	Nov 29, 2018
Lyxor Selective Opportunities Program Spc - Lyxsop Segregated Portfolio 3no longer reported	Hedge Fund	$94.6M	1	Aug 28, 2019
Lyxor Selective Opportunities Program Spc - Lyxsop Segregated Portfolio 4no longer reported	Hedge Fund	$53.4M	1	Aug 28, 2019
Lyxor Premium LLCno longer reported	Hedge Fund	$2.6M	126	Mar 28, 2012
Lyxor Premium Sub-Fund II LLCno longer reported	Hedge Fund	$1.3M	99	Mar 31, 2015
Lyxor Starway Fof Ltd.no longer reported	Hedge Fund	$191,327	0	Mar 28, 2012

Owners and control persons

Schedule A and B, latest filing

Emily Brown · Chief Financial Officercontrol
since 08/2022 · owns less than 5%
Suh Moon Sandy Choi · General Counsel, Chief Compliance Officercontrol
since 12/2023 · owns less than 5%
James Scott Condron · Chief Operating Officercontrol
since 03/2022 · owns less than 5%
Andrew Dabinett · Co-Head Alternative Managed Accountscontrol
since 12/2023 · owns less than 5%
Jacob Darren Edelstein · Head Of Alternative Managed Accounts Legalcontrol
since 12/2023 · owns less than 5%
Jason Hubschman · Co-Head Alternative Managed Accountscontrol
since 12/2023 · owns less than 5%
Reed Lawrence Miller · Chief Technology Officercontrol
since 02/2022 · owns less than 5%
A Jason Schwarz · Deputy Chief Executive Officer And Presidentcontrol
since 01/2014 · owns less than 5%
Robert Anthony Andrew Stewart · Chief Executive Officercontrol
since 07/2021 · owns less than 5%
Phu Chinh Chu · Trusteecontrol
since 01/2012 · owns F of Chinh E. Chu Descendants Trust
Phu Chinh Chu · Limited Partnercontrol
since 02/2018 · owns 75% or more of Cec Investors, LP
Phu Chinh Chu · Managing Membercontrol
since 02/2018 · owns 75% or more of Cc Capital Gp LLC
Robert Paul Luc Heyvaert · Membercontrol
since 01/2016 · owns 75% or more of Rob Exploration, LLC
Robert Paul Luc Heyvaert · Limited Partnercontrol
since 10/2018 · owns 75% or more of Motive Partners Holdings II, LP
Stephen Mark Makepeace · Limited Partnercontrol
since 12/2020 · owns 50% to 75% of St. Giles Global LP

Entity owners

Wilshire Advisors LLC · Member
direct · owns 75% or more
Cc Capital Gp LLC · General Partner
indirect · owns F of Cc Capital Sp, LP
Cc Capital Gp LLC · General Partner
indirect · owns 75% or more of Cec Investors, LP
Cc Capital Sp, LP · Managing Member
indirect · owns 75% or more of Cc Monica Holdings, LLC
Cc Monica Holdings, LLC · Limited Partner
indirect · owns F of Monica Holdings (Jersey) Gp, LP
Cc Monica Holdings, LLC · Managing Member
indirect · owns 50% to 75% of Cc-Sgg Monica Aggregator, LLC
Cc-Sgg Monica Aggregator, LLC · Member
indirect · owns 50% to 75% of Monica Top Gp (Cayman), LLC
Cec Investors, LP · Limited Partner
indirect · owns 75% or more of Cc Capital Sp, LP
Chinh E. Chu Descendants Trust · Trust
indirect · owns F of Chu, Chinh, Phu
Monica Guarantor, LP · Shareholder
indirect · owns 75% or more of Monica Holdco (US) Inc.
Monica Holdco (US) Inc. · Shareholder
indirect · owns 75% or more of Wilshire Advisors LLC
Monica Holdings (Jersey) Gp, LP · General Partner
indirect · owns F of Monica Holdings (Jersey), LP
Monica Holdings (Jersey), LP · Member
indirect · owns 75% or more of Monica Intermediate Holdings Gp, LLC
Monica Holdings (Jersey), LP · Limited Partner
indirect · owns 75% or more of Monica Intermediate LP
Monica Intermediate Holdings Gp, LLC · Limited Partner
indirect · owns 75% or more of Monica Guarantor, LP
Monica Intermediate Holdings Gp, LLC · General Partner
indirect · owns F of Monica Intermediate LP
Monica Intermediate LP · Limited Partner
indirect · owns 75% or more of Monica Guarantor, LP
Monica Partners Gp, LLC · General Partner
indirect · owns F of Motive Monica LP
Monica Top Gp (Cayman), LLC · General Partner
indirect · owns F of Monica Holdings (Jersey) Gp, LP
Motive Capital Management LLC · Limited Partner
indirect · owns 25% to 50% of Motive Monica Gp Holdings, LP

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Business name · LYXOR ASSET MANAGEMENT INC. to LYXOR ASSET MANAGEMENT LLC
Dec 19, 2023 to Feb 26, 2024
Private funds · 19 to 20
Dec 19, 2023 to Feb 26, 2024
Succession · true to false
Dec 19, 2023 to Feb 26, 2024
Succession · false to true
Dec 15, 2023 to Dec 19, 2023
Organization form · Corporation to Limited Liability Company
Sep 29, 2023 to Dec 15, 2023
Related broker-dealer · true to false
Sep 29, 2023 to Dec 15, 2023
Related insurance company · true to false
Sep 29, 2023 to Dec 15, 2023
Succession · false to true
Sep 29, 2023 to Dec 15, 2023
Legal name · LYXOR ASSET MANAGEMENT INC. to LYXOR ASSET MANAGEMENT LLC
Dec 15, 2023 to Dec 15, 2023
Succession · true to false
Dec 15, 2023 to Dec 15, 2023
Private funds · 18 to 19
Jun 1, 2023 to Sep 29, 2023
BD registered reps · 8 to 7
May 4, 2023 to May 19, 2023
Accounts · 22 to 23
Feb 3, 2023 to Mar 31, 2023
BD registered reps · 7 to 8
Feb 3, 2023 to Mar 31, 2023
Pooled vehicle clients · 21 to 23
Feb 3, 2023 to Mar 31, 2023
Assets in custody · $24B to $28B
Feb 3, 2023 to Mar 31, 2023
Employees · 31 to 33
Feb 3, 2023 to Mar 31, 2023
Private funds · 19 to 18
Feb 3, 2023 to Mar 31, 2023
Discretionary RAUM · $24B to $28B
Feb 3, 2023 to Mar 31, 2023
Non-discretionary RAUM · $3.2B to $0
Feb 3, 2023 to Mar 31, 2023
Pooled vehicle RAUM · $24B to $28B
Feb 3, 2023 to Mar 31, 2023
RAUM · $27B to $28B
Feb 3, 2023 to Mar 31, 2023
Private funds · 17 to 19
Aug 8, 2022 to Feb 3, 2023
Private funds · 16 to 17
Mar 31, 2022 to Aug 8, 2022
Accounts · 26 to 22
Jan 20, 2022 to Mar 31, 2022
Advisory activities · 2 to 3
Jan 20, 2022 to Mar 31, 2022
BD registered reps · 6 to 7
Jan 20, 2022 to Mar 31, 2022
Pooled vehicle clients · 25 to 21
Jan 20, 2022 to Mar 31, 2022
Assets in custody · $19B to $24B
Jan 20, 2022 to Mar 31, 2022
Employees · 29 to 31
Jan 20, 2022 to Mar 31, 2022
Private funds · 17 to 16
Jan 20, 2022 to Mar 31, 2022
Discretionary RAUM · $20B to $24B
Jan 20, 2022 to Mar 31, 2022
Non-discretionary RAUM · $0 to $3.2B
Jan 20, 2022 to Mar 31, 2022
Pooled vehicle RAUM · $20B to $24B
Jan 20, 2022 to Mar 31, 2022
RAUM · $20B to $27B
Jan 20, 2022 to Mar 31, 2022
Related insurance company · false to true
Jan 20, 2022 to Mar 31, 2022
Private funds · 18 to 17
Aug 18, 2021 to Aug 25, 2021
Private funds · 17 to 18
Jun 25, 2021 to Aug 18, 2021
Advisory activities · 3 to 2
Nov 12, 2020 to Mar 30, 2021
Pension plan clients · 1 to 0
Nov 12, 2020 to Mar 30, 2021

Signals

30 dated events

Lyxor Asset Management Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
Dec 15, 2023 · Succession (Item 4) · fact
Suh Moon Sandy Choi (General Counsel, Chief Compliance Officer) appeared on Schedule A of Lyxor Asset Management Llc
Dec 15, 2023 · Control person joined · fact
A Jason Schwarz (Deputy Chief Executive Officer And President) appeared on Schedule A of Lyxor Asset Management Llc
Dec 15, 2023 · Control person joined · fact
Robert Anthony Andrew Stewart (Chief Executive Officer) appeared on Schedule A of Lyxor Asset Management Llc
Dec 15, 2023 · Control person joined · fact
James Scott Condron (Chief Operating Officer) appeared on Schedule A of Lyxor Asset Management Llc
Dec 15, 2023 · Control person joined · fact
Reed Lawrence Miller (Chief Technology Officer) appeared on Schedule A of Lyxor Asset Management Llc
Dec 15, 2023 · Control person joined · fact
Emily Brown (Chief Financial Officer) appeared on Schedule A of Lyxor Asset Management Llc
Dec 15, 2023 · Control person joined · fact
Lionel Paquin (Director) no longer on Schedule A of Lyxor Asset Management Llc (listed 2023-09-29, absent 2023-12-15)
Dec 15, 2023 · Control person left · inference
Samuel Olivier Nathanael Benzaken (Director) no longer on Schedule A of Lyxor Asset Management Llc (listed 2023-09-29, absent 2023-12-15)
Dec 15, 2023 · Control person left · inference
M. Lisa Jones (Director) no longer on Schedule A of Lyxor Asset Management Llc (listed 2023-09-29, absent 2023-12-15)
Dec 15, 2023 · Control person left · inference
Etienne Patrice Blanc (Director) no longer on Schedule A of Lyxor Asset Management Llc (listed 2023-09-29, absent 2023-12-15)
Dec 15, 2023 · Control person left · inference
Jacques Joseph Marie Dominique Carrel-Billiard (Director) no longer on Schedule A of Lyxor Asset Management Llc (listed 2023-09-29, absent 2023-12-15)
Dec 15, 2023 · Control person left · inference
Henri Bernard De Wit (Director) no longer on Schedule A of Lyxor Asset Management Llc (listed 2023-09-29, absent 2023-12-15)
Dec 15, 2023 · Control person left · inference
Stephen Mark Makepeace (Limited Partner) appeared on Schedule A of Lyxor Asset Management Llc
Dec 15, 2023 · Control person joined · fact
Phu Chinh Chu (Limited Partner) appeared on Schedule A of Lyxor Asset Management Llc
Dec 15, 2023 · Control person joined · fact
Robert Paul Luc Heyvaert (Member) appeared on Schedule A of Lyxor Asset Management Llc
Dec 15, 2023 · Control person joined · fact
Lyxor Asset Management Llc reported RAUM $27.4B, up 36% from $20.2B (2022-01-20 to 2022-03-31)
Mar 31, 2022 · RAUM change · derived
Lionel Pierre Osterrath (Director) no longer on Schedule A of Lyxor Asset Management Llc (listed 2021-08-25, absent 2022-01-20)
Jan 20, 2022 · Control person left · inference
Stephane About (Director) no longer on Schedule A of Lyxor Asset Management Llc (listed 2021-08-25, absent 2022-01-20)
Jan 20, 2022 · Control person left · inference
Lisa Jones (Director) appeared on Schedule A of Lyxor Asset Management Llc
Jan 20, 2022 · Control person joined · fact
Etienne Patrice Blanc (Director) appeared on Schedule A of Lyxor Asset Management Llc
Jan 20, 2022 · Control person joined · fact
Dominique Carrel-Billiard (Director) appeared on Schedule A of Lyxor Asset Management Llc
Jan 20, 2022 · Control person joined · fact
Henri Bernard De Wit (Director) appeared on Schedule A of Lyxor Asset Management Llc
Jan 20, 2022 · Control person joined · fact
Lyxor Asset Management Llc reported RAUM $20.2B, down 58% from $47.7B (2020-11-12 to 2021-03-30)
Mar 30, 2021 · RAUM change · derived
Slawomir Krupa (Director) no longer on Schedule A of Lyxor Asset Management Llc (listed 2020-11-12, absent 2021-03-30)
Mar 30, 2021 · Control person left · inference
Stephane About (Director) appeared on Schedule A of Lyxor Asset Management Llc
Mar 30, 2021 · Control person joined · fact
Walter Edward Piekarski (Chief Financial Officer) no longer on Schedule A of Lyxor Asset Management Llc (listed 2020-04-02, absent 2020-11-04)
Nov 4, 2020 · Control person left · inference
Lyxor Asset Management Llc reported RAUM $41.3B, up 52% from $27.1B (2019-02-27 to 2019-03-29)
Mar 29, 2019 · RAUM change · derived
Jason Hubschman (Chief Operating Officer) appeared on Schedule A of Lyxor Asset Management Llc
Mar 29, 2019 · Control person joined · fact
Lyxor Asset Management Llc reported RAUM $27.1B, up 148% from $11.0B (2017-08-29 to 2018-03-30)
Mar 30, 2018 · RAUM change · derived

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