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
Littlejohn & Co., LLC
Latest filing Aug 26, 2026
First filing on the tape Feb 14, 2012 · 40 filings
SEC status approved since Mar 30, 2012
RAUM
$9.0B
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
81
39 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
24
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$9.0B as of Aug 26, 2026
Feb 27, 2013$2.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 26, 2026
Feb 27, 20130 then
Employees (5.A)81 as of Aug 26, 2026
Feb 27, 201328 then
Private funds24 as of Aug 26, 2026
Feb 27, 201315 then
RAUM +12% over the last fiscal year+2.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 26, 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
- $332MderivedRAUM 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
- +12%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
- Custody
- $7.8B, 27 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$9.0B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 27reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $7.8B for 27 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
43 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Littlejohn Fund Vi, LP | Hedge Fund | $2.0B | 122 | Mar 29, 2019 |
| Littlejohn Fund Vi-A, LP | Hedge Fund | $1.3B | 34 | Mar 29, 2019 |
| Littlejohn Fund V, L.P. | Hedge Fund | $1.0B | 102 | Aug 11, 2014 |
| Ofm II, L.P. | Hedge Fund | $520M | 2 | May 18, 2017 |
| Littlejohn Opportunities Fund II, LP | Hedge Fund | $407M | 28 | Mar 31, 2017 |
| Lj Perimeter Co Invest, LP | Private Equity Fund | $369M | 29 | Mar 31, 2023 |
| Littlejohn Fund IV, LP | Hedge Fund | $317M | 70 | Feb 14, 2012 |
| Lj Psc Co-Invest, LPno longer reported | Private Equity Fund | $248M | 20 | Mar 30, 2018 |
| Lj Broder Co-Invest, LLC | Private Equity Fund | $180M | 10 | Feb 26, 2015 |
| Lj Avalon Co-Invest, LP | Private Equity Fund | $121M | 24 | Jul 6, 2023 |
| Vss Fund, L.P. | Hedge Fund | $65.4M | 2 | Feb 3, 2016 |
| Littlejohn Opportunities Master Fund, LP | Hedge Fund | $61.6M | 56 | Feb 14, 2012 |
| Littlejohn Fund V-A, L.P. | Hedge Fund | $54.1M | 2 | Aug 11, 2014 |
| Lj Shield Co-Invest, LP | Private Equity Fund | $49.7M | 5 | Aug 8, 2024 |
| Lj Broder Co-Invest II, LLC | Private Equity Fund | $39.1M | 7 | Dec 15, 2015 |
| Littlejohn Fund IV-A, LP | Private Equity Fund | $31.7M | 7 | Feb 14, 2012 |
| Wellfleet Clo V Moa, Ltd.no longer reported | Other Private Fund | $27.3M | 5 | Dec 15, 2017 |
| Wellfleet Clo IV Moa LLCno longer reported | Other Private Fund | $21.0M | 4 | Jun 1, 2017 |
| Wellfleet 2017-3 Moa LLCno longer reported | Other Private Fund | $20.6M | 7 | Dec 15, 2017 |
| Littlejohn Executive Fund V, LP | Private Equity Fund | $20.3M | 47 | Aug 11, 2014 |
| Littlejohn Fund IV Shipping Aiv, LPno longer reported | Private Equity Fund | $17.7M | 65 | Feb 14, 2012 |
| Wellfleet Clo III Subordinated Notes Ltd.no longer reported | Other Private Fund | $16.3M | 4 | Jun 1, 2017 |
| Littlejohn Executive Fund Vi, LP | Private Equity Fund | $13.4M | 34 | Nov 27, 2019 |
| Wellfleet Clo V Moa LLCno longer reported | Other Private Fund | $12.3M | 4 | Jun 1, 2017 |
| Wellfleet Clo II Subordinated Notes, Ltd.no longer reported | Other Private Fund | $12.3M | 2 | Dec 15, 2017 |
| Sg Distressed Fund, L.P.no longer reported | Hedge Fund | $7.6M | 9 | Feb 27, 2013 |
| Wellfleet Clo 2015-1 Moa Ltd.no longer reported | Other Private Fund | $6.7M | 2 | Dec 15, 2017 |
| Littlejohn Partners IV, LPno longer reported | Private Equity Fund | $6.3M | 9 | Feb 14, 2012 |
| Littlejohn Fund III, LP | Hedge Fund | $5.8M | 52 | Feb 14, 2012 |
| Lj Van Houtte Co-Invest, LLCno longer reported | Private Equity Fund | $3.5M | 8 | Feb 14, 2012 |
| Littlejohn Executive Fund IV, LP | Private Equity Fund | $2.3M | 35 | Feb 14, 2012 |
| Littlejohn Fund II, LPno longer reported | Private Equity Fund | $2.3M | 34 | Feb 14, 2012 |
| Littlejohn Fund IV-A Shipping Aiv, LPno longer reported | Private Equity Fund | $2.2M | 5 | Feb 14, 2012 |
| Lj Cstn Co-Invest, LP | Private Equity Fund | $1.5M | 15 | Mar 30, 2018 |
| Wyle Labs Co-Invest, LLCno longer reported | Private Equity Fund | $1.2M | 4 | Feb 14, 2012 |
| Lj Sm Co-Invest, LP | Private Equity Fund | $1.0M | 9 | Mar 29, 2019 |
| Lj Ss Co-Invest, LLCno longer reported | Private Equity Fund | $927,880 | 8 | Feb 14, 2012 |
| Sg Co-Investment Fund, L.P.no longer reported | Private Equity Fund | $648,060 | 2 | Feb 27, 2013 |
| Lj Fund IV Gulf Coast Aiv, L.P.no longer reported | Private Equity Fund | $26,768 | 53 | Aug 16, 2013 |
| Lj Fund IV Gulf Coast Aiv (Offshore) L.P.no longer reported | Private Equity Fund | $8,119 | 14 | Aug 16, 2013 |
Owners and control persons
Schedule A and B, latest filing
- Ira Michael Klein · Chief Executive Officercontrolsince 01/2012 · owns less than 5%
- Chisholm Angus Littlejohn · Chairmancontrolsince 01/2012 · owns less than 5%
- Evan Brian Ramsay · Presidentcontrolsince 01/2012 · owns less than 5%
- Edgar Kenneth Warren · Chief Financial Officer/Chief Compliance Officercontrolsince 09/2008 · owns less than 5%
Entity owners
- Littlejohn & Co., LP · Memberdirect · owns 75% or more
- Littlejohn Gp, LLC · Partnerindirect · owns F of Littlejohn & Co., 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
- Private funds · 22 to 24Mar 27, 2026 to Aug 26, 2026
- Accounts · 23 to 27Mar 28, 2025 to Mar 27, 2026
- Advisory employees · 51 to 39Mar 28, 2025 to Mar 27, 2026
- Pooled vehicle clients · 23 to 27Mar 28, 2025 to Mar 27, 2026
- Assets in custody · $6.8B to $7.8BMar 28, 2025 to Mar 27, 2026
- Employees · 83 to 81Mar 28, 2025 to Mar 27, 2026
- Private funds · 19 to 22Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $8.0B to $9.0BMar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $8.0B to $9.0BMar 28, 2025 to Mar 27, 2026
- RAUM · $8.0B to $9.0BMar 28, 2025 to Mar 27, 2026
- Accounts · 24 to 23Aug 8, 2024 to Mar 28, 2025
- Advisory employees · 46 to 51Aug 8, 2024 to Mar 28, 2025
- Pooled vehicle clients · 24 to 23Aug 8, 2024 to Mar 28, 2025
- Assets in custody · $6.8B to $6.8BAug 8, 2024 to Mar 28, 2025
- Employees · 71 to 83Aug 8, 2024 to Mar 28, 2025
- Financial planning clients · unset to Aug 8, 2024 to Mar 28, 2025
- Private funds · 21 to 19Aug 8, 2024 to Mar 28, 2025
- Discretionary RAUM · $7.9B to $8.0BAug 8, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $7.9B to $8.0BAug 8, 2024 to Mar 28, 2025
- RAUM · $7.9B to $8.0BAug 8, 2024 to Mar 28, 2025
- Private funds · 20 to 21May 17, 2024 to Aug 8, 2024
- Assets in custody · $6.8B to $6.8BMar 27, 2024 to Mar 28, 2024
- Discretionary RAUM · $7.9B to $7.9BMar 27, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $7.9B to $7.9BMar 27, 2024 to Mar 28, 2024
- RAUM · $7.9B to $7.9BMar 27, 2024 to Mar 28, 2024
- Accounts · 23 to 24Aug 2, 2023 to Mar 27, 2024
- Pooled vehicle clients · 23 to 24Aug 2, 2023 to Mar 27, 2024
- Assets in custody · $6.0B to $6.8BAug 2, 2023 to Mar 27, 2024
- Employees · 69 to 71Aug 2, 2023 to Mar 27, 2024
- Discretionary RAUM · $8.3B to $7.9BAug 2, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $8.3B to $7.9BAug 2, 2023 to Mar 27, 2024
- RAUM · $8.3B to $7.9BAug 2, 2023 to Mar 27, 2024
- Private funds · 19 to 20Apr 19, 2023 to Jul 6, 2023
- Advisory employees · 37 to 46Apr 7, 2022 to Mar 31, 2023
- Assets in custody · $8.3B to $6.0BApr 7, 2022 to Mar 31, 2023
- Employees · 63 to 69Apr 7, 2022 to Mar 31, 2023
- Discretionary RAUM · $8.3B to $8.3BApr 7, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $8.3B to $8.3BApr 7, 2022 to Mar 31, 2023
- RAUM · $8.3B to $8.3BApr 7, 2022 to Mar 31, 2023
- Accounts · 40 to 23Mar 30, 2022 to Apr 7, 2022
Signals
10 dated events
- Littlejohn & Co., Llc reported RAUM $8.3B, down 45% from $15.3B (2022-03-30 to 2022-04-07)Apr 7, 2022 · RAUM change · derived
- John Edmund Feeley (Member) no longer on Schedule A of Littlejohn & Co., Llc (listed 2019-11-27, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Evan David Simon (Member) no longer on Schedule A of Littlejohn & Co., Llc (listed 2019-11-27, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Gary Steven Raich (Member) no longer on Schedule A of Littlejohn & Co., Llc (listed 2019-11-27, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Emerson Robert Davis (Member) no longer on Schedule A of Littlejohn & Co., Llc (listed 2019-11-27, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Ernest Richard Maybaum (Member) no longer on Schedule A of Littlejohn & Co., Llc (listed 2019-11-27, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Becker Michael Kaplan (Member) no longer on Schedule A of Littlejohn & Co., Llc (listed 2019-11-27, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- (Nmn) Antonio Miranda (Member) no longer on Schedule A of Littlejohn & Co., Llc (listed 2019-11-27, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Littlejohn & Co., Llc reported RAUM $10.9B, up 47% from $7.4B (2018-03-30 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- Littlejohn & Co., Llc reported RAUM $7.4B, up 28% from $5.8B (2017-12-15 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Littlejohn & Co., LLC · Independent Sponsorsshared crd · capital_provider
- Littlejohn & Co., LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/littlejohn-&-co/aboutreportedpublic record, Form ADV, Sep 17, 2026
- Website
- LITTLEJOHNLLC.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 203-552-3500reportedpublic record, Form ADV, Aug 26, 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