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
Lendingclub Asset Management, LLC
Latest filing Oct 5, 2018
First filing on the tape Dec 6, 2011 · 26 filings
RAUM
$107M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
11%
$12.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$80.7M gross assets
History
26 filings and snapshots on the tape
RAUM$107M as of Mar 23, 2018
Dec 6, 2011$40.7M then
HNW client RAUM: $12.1M
State-registered IARs (5.B.3)2 as of Mar 23, 2018
Dec 6, 20110 then
Employees (5.A)16 as of Mar 23, 2018
Apr 1, 201315 then
Private funds4 as of Mar 23, 2018
Dec 6, 20112 then
RAUM -88% over the last fiscal year-54% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Oct 5, 2018; every figure names its basis
- RAUM per advisor
- $53.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $152,884derivedHNW RAUM over HNW clients
- Average account
- $933,535derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -88%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $107M, 115 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$80.7M84%
- High-net-worth individuals$12.1M13%
- Corporations and businesses$3.4M3.6%
- Individual clients
- 0reported
- HNW clients
- 79reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 115reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $107M for 115 clientsreported
- 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
Left, latest
- William Nicholas Steiner to Iconiq Capital, LLCApr 14, 2017 · Other
Joined, latest
- William Nicholas Steiner from Wipfli Financial Advisors, LLCSep 21, 2016 · Other
Private funds
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Broad Based Consumer Credit (Q) Fund, L.P. | Private Equity Fund | $557M | 863 | Jun 29, 2012 |
| High Yield Consumer Credit (Q) Fund, L.P. | Private Equity Fund | $58.0M | 63 | Mar 31, 2015 |
| Conservative Consumer Credit (Q) Fund, L.P. | Private Equity Fund | $56.7M | 102 | Apr 1, 2013 |
| Diversified Credit Income Fund, LP | Private Equity Fund | $40.6M | 63 | Mar 29, 2017 |
| Riverview Mp Fund L.P. | Private Equity Fund | $34.7M | 3 | Mar 29, 2017 |
| Broad Based Consumer Credit Fund II, L.P. | Private Equity Fund | $21.7M | 92 | Apr 1, 2013 |
| Broad Based Consumer Credit Fund, L.P. | Private Equity Fund | $17.9M | 71 | Dec 6, 2011 |
| Conservative Consumer Credit Fund, L.P. | Private Equity Fund | $14.8M | 54 | Dec 6, 2011 |
| Diversified Credit Income Fund II, LP | Private Equity Fund | $4.0M | 15 | Nov 22, 2017 |
| Conservative Credit Income Fund, LP | Private Equity Fund | $1.4M | 7 | Nov 22, 2017 |
Owners and control persons
Schedule A and B, latest filing
- David Brian Beck · Secretary, General Counselcontrolsince 07/2017 · owns less than 5%
- Vivek Krishnappa · Presidentcontrolsince 01/2018 · owns less than 5%
- Marie Jill Grenda · Chief Compliance Officersince 03/2018 · owns less than 5%
Entity owners
- Lendingclub Corporation · Managing Member, Sole Memberdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- Ccif Gp, LLCpooled vehicle sponsory
- Dcif Gp, LLCpooled vehicle sponsory
- Dcif II Gp, LLCpooled vehicle sponsory
- Rv Mp Fund Gp, LLCpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 116 to 115Feb 16, 2018 to Mar 23, 2018
- Advisory employees · 14 to 7Feb 16, 2018 to Mar 23, 2018
- Corporate clients · 0 to 5Feb 16, 2018 to Mar 23, 2018
- HNW clients · 0 to 79Feb 16, 2018 to Mar 23, 2018
- Assets in custody · $83.1M to $107MFeb 16, 2018 to Mar 23, 2018
- Employees · 41 to 16Feb 16, 2018 to Mar 23, 2018
- Discretionary RAUM · $90.0M to $107MFeb 16, 2018 to Mar 23, 2018
- HNW RAUM · $0 to $12.1MFeb 16, 2018 to Mar 23, 2018
- Pooled vehicle RAUM · $51.0M to $80.7MFeb 16, 2018 to Mar 23, 2018
- RAUM · $90.0M to $107MFeb 16, 2018 to Mar 23, 2018
- Business name · LC ADVISORS, LLC to LENDINGCLUB ASSET MANAGEMENT, LLCNov 22, 2017 to Feb 16, 2018
- Pooled vehicle clients · 0 to 4Nov 22, 2017 to Feb 16, 2018
- Legal name · LC ADVISORS, LLC to LENDINGCLUB ASSET MANAGEMENT, LLCNov 22, 2017 to Feb 16, 2018
- Pooled vehicle RAUM · $0 to $51.0MNov 22, 2017 to Feb 16, 2018
- Accounts · 134 to 116Sep 13, 2017 to Nov 22, 2017
- Charity clients · unset to 0.0Sep 13, 2017 to Nov 22, 2017
- Corporate clients · unset to 0.0Sep 13, 2017 to Nov 22, 2017
- HNW clients · unset to 0.0Sep 13, 2017 to Nov 22, 2017
- Individual clients · unset to 0.0Sep 13, 2017 to Nov 22, 2017
- Pension plan clients · unset to 0.0Sep 13, 2017 to Nov 22, 2017
- Pooled vehicle clients · unset to 0.0Sep 13, 2017 to Nov 22, 2017
- Assets in custody · $859M to $83.1MSep 13, 2017 to Nov 22, 2017
- Financial planning clients · unset to 0Sep 13, 2017 to Nov 22, 2017
- Other offices · unset to 0.0Sep 13, 2017 to Nov 22, 2017
- Private funds · 8 to 4Sep 13, 2017 to Nov 22, 2017
- Discretionary RAUM · $859M to $90.0MSep 13, 2017 to Nov 22, 2017
- HNW RAUM · unset to 0.0Sep 13, 2017 to Nov 22, 2017
- Individual RAUM · unset to 0.0Sep 13, 2017 to Nov 22, 2017
- Pension RAUM · unset to 0.0Sep 13, 2017 to Nov 22, 2017
- Pooled vehicle RAUM · unset to 0.0Sep 13, 2017 to Nov 22, 2017
- RAUM · $859M to $90.0MSep 13, 2017 to Nov 22, 2017
- Accounts · 121 to 134Jan 3, 2017 to Mar 29, 2017
- Assets in custody · $1.3B to $859MJan 3, 2017 to Mar 29, 2017
- Employees · 23 to 41Jan 3, 2017 to Mar 29, 2017
- State-registered IARs · 0 to 2Jan 3, 2017 to Mar 29, 2017
- Private funds · 6 to 8Jan 3, 2017 to Mar 29, 2017
- Discretionary RAUM · $1.3B to $859MJan 3, 2017 to Mar 29, 2017
- RAUM · $1.3B to $859MJan 3, 2017 to Mar 29, 2017
- Discretionary RAUM · $0 to $1.3BMar 30, 2016 to Jan 3, 2017
- Non-discretionary RAUM · $1.3B to $0Mar 30, 2016 to Jan 3, 2017
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- Lendingclub Asset Management, LLC · Private Equityshared crd · organization
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