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
Gulf Stream Asset Management LLC
Latest filing Nov 27, 2012
First filing on the tape Nov 23, 2011 · 7 filings
RAUM
$2.8B
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
600
230 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
10
$2.8B gross assets
History
7 filings and snapshots on the tape
RAUM$2.8B as of Nov 27, 2012
Nov 23, 2011$3.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Nov 27, 2012
Nov 23, 20110 then
Employees (5.A): 600
Private funds10 as of Nov 27, 2012
Nov 23, 201110 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Nov 27, 2012; 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
- $283MderivedRAUM 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
- unknownderivedbetween 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
- 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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
Private funds
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Gulf Stream Sextant Clo 2007-1 | Securitized Asset Fund | $479M | 5 | Nov 23, 2011 |
| Gulf Stream - Compass Clo 2005-II | Securitized Asset Fund | $463M | 8 | Nov 23, 2011 |
| Gulf Stream - Sextant Clo 2006-1 | Securitized Asset Fund | $379M | 2 | Nov 23, 2011 |
| Gulf Stream - Rashinban Clo 2006-1 | Securitized Asset Fund | $375M | 14 | Nov 23, 2011 |
| Gulf Stream - Compass Clo 2007 | Securitized Asset Fund | $283M | 5 | Nov 23, 2011 |
| Neptune Finance Ccs | Securitized Asset Fund | $275M | 1 | Nov 23, 2011 |
| Gulf Stream - Compass Clo 2005-1 | Securitized Asset Fund | $269M | 6 | Nov 23, 2011 |
| Gulf Stream - Compass Clo 2004-1 | Securitized Asset Fund | $122M | 4 | Nov 23, 2011 |
| Gulf Stream-Compass Clo 2002-1 | Securitized Asset Fund | $94.5M | 4 | Nov 23, 2011 |
| Gulf Stream - Compass Clo 2003-1 | Securitized Asset Fund | $90.0M | 5 | Nov 23, 2011 |
Owners and control persons
Schedule A and B, latest filing
- David Leon Black · Vice Presidentcontrolsince 10/2011 · owns less than 5%
- Edward Eugene Donnelly · Vice Presidentcontrolsince 10/2011 · owns less than 5%
- John Barry Giarraputo · Vice President And Chief Financial Officercontrolsince 10/2011 · owns less than 5%
- Jordan Joshua Harris · Vice Presidentcontrolsince 10/2011 · owns less than 5%
- Anthony Joseph Moroney · Portfolio Managercontrolsince 10/2011 · owns less than 5%
- Francis Xavier John Phinney · Vice President And Chief Operating Officercontrolsince 10/2011 · owns less than 5%
- Mark Stephen Riddell · Portfolio Managercontrolsince 10/2011 · owns less than 5%
- Jeffrey Marc Rowan · Vice Presidentcontrolsince 10/2011 · owns less than 5%
- Joseph John Suydam · Vice President And Chief Compliance Officercontrolsince 10/2011 · owns less than 5%
- Charles James Zelter · Presidentcontrolsince 10/2011 · owns less than 5%
- David Leon Black · General Partnercontrolsince 08/2007 · owns F of Black Family Partners, L.P.
- David Leon Black · Shareholdercontrolsince 08/2007 · owns 25% to 50% of Brh Holdings, Ltd.
- Jordan Joshua Harris · General Partnercontrolsince 08/2007 · owns F of Mjh Partners, L.P,
- Jordan Joshua Harris · Shareholdercontrolsince 08/2007 · owns 25% to 50% of Brh Holdings Gp, Ltd.
- Jeffrey Marc Rowan · Shareholdercontrolsince 08/2007 · owns 25% to 50% of Brh Holdings, Ltd.
- Jeffrey Marc Rowan · Managing Membercontrolsince 08/2007 · owns F of Mjr Foundation, LLC
Entity owners
- Apollo Management Holdings, L.P. · Limited Partnerdirect · owns 75% or more
- Gsam Apollo Holdings, LLC · Managing Memberdirect · owns less than 5%
- Amh Holdings, L.P. · Limited Partnerindirect · owns 75% or more of Apollo Management Holdings, L.P.
- Apo Corp. · Sole Memberindirect · owns F of Apollo Management Holdings Gp, LLC
- Apo Corp. · Limited Partnerindirect · owns 25% to 50% of Apollo Management Holdings, L.P.
- Apollo Global Management, LLC · Sole Shareholderindirect · owns 75% or more of Apo Corp. · public reporting company
- Apollo Management Holdings Gp, LLC · General Partnerindirect · owns F of Apollo Management Holdings, L.P.
- Apollo Management Holdings, L.P. · Sole Member-Managerindirect · owns F of Apollo Capital Management Gp, LLC
- Brh Holdings Gp, Ltd. · General Partnerindirect · owns F of Brh Holdings, L.P.
- Brh Holdings Gp, Ltd. · General Partnerindirect · owns F of Ap Professional Holdings, L.P.
- Ap Professional Holdings, L.P. · Limited Partnerindirect · owns 50% to 75% of Apollo Management Holdings, L.P.
- Black Family Partners, L.P. · Limited Partnerindirect · owns 25% to 50% of Brh Holdings, L.P.
- Brh Holdings, L.P. · Limited Partnerindirect · owns 75% or more of Ap Professional Holdings, L.P.
- Mjh Partners, L.P. · Limited Partnerindirect · owns 25% to 50% of Brh Holdings, L.P.
- Mjr Foundation, LLC · Limited Partnerindirect · owns 25% to 50% of Brh Holdings, L.P.
Related persons
Schedule D 7.A
- Acrefi Management, LLCinvestment advisern
- Agre Asia Pacific Legacy Management, LLCinvestment advisern
- Agre Asia Pacific Management, LLCinvestment advisern
- Agre Cmbs Management II LLCinvestment advisern
- Agre Cmbs Management LLCinvestment advisern
- Agre Europe Legacy Management, LLCinvestment advisern
- Agre Europe Management, LLCinvestment advisern
- Agre Na Legacy Management, LLCinvestment advisern
- Agre Na Management, LLCinvestment advisern
- Agre-Cre Debt Manager, LLCinvestment advisern
- Agre-E Legacy Management, LLCinvestment advisern
- Agre-E2 Legacy Management, LLCinvestment advisern
- Aion Capital Management Limitedinvestment advisern
- Ap Alternative Assets, L.P.investment advisern
- Apollo Advisors, L.P.pooled vehicle sponsorn
- Apollo Asia Management, L.P.investment advisern
- Apollo Capital Management, L.P.investment adviseryRAUM $718B
- Apollo Centre Street Management, LLCinvestment advisern
- Apollo Commodities Management, L.P.investment advisernRAUM $2.8B
- Apollo Credit Liquidity Management, L.P.investment advisern
- Apollo Credit Management (Clo), LLCinvestment advisern
- Apollo Credit Management (Senior Loans), LLCinvestment advisern
- Apollo Credit Management, LLCinvestment advisernRAUM $30B
- Apollo Credit Opportunity Management, LLCinvestment advisern
- Apollo Epf Management II, L.P.investment advisern
- Apollo Epf Management, L.P.investment advisern
- Apollo Europe Management, L.P.investment advisern
- Apollo European Credit Management, L.P.investment advisern
- Apollo European Strategic Management, L.P.investment advisern
- Apollo Global Real Estate Management, L.P.investment advisernRAUM $24B
Advisers that list Gulf Stream Asset Management LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · unset to 230.0Sep 14, 2012 to Nov 27, 2012
- BD registered reps · 0 to 63Sep 14, 2012 to Nov 27, 2012
- Employees · unset to 600.0Sep 14, 2012 to Nov 27, 2012
- Discretionary RAUM · $3.0B to $2.8BNov 23, 2011 to Mar 28, 2012
- RAUM · $3.0B to $2.8BNov 23, 2011 to Mar 28, 2012
Signals
No event on the tape.
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