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
Catenary Alternatives Asset Management, LLC
Latest filing Apr 15, 2026
First filing on the tape Jun 8, 2012 · 25 filings
SEC status approved since Jul 11, 2012
RAUM
$353M
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
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$353M as of Apr 15, 2026
Apr 1, 2013$24.2M then
HNW client RAUM$2.2M as of Mar 30, 2023
Mar 26, 2018$3.7M then
State-registered IARs (5.B.3)0 as of Apr 15, 2026
Apr 1, 20133 then
Employees (5.A)5 as of Apr 15, 2026
Apr 1, 20133 then
Private funds1 as of Apr 15, 2026
Apr 1, 20132 then
RAUM +4.8% over the last fiscal year+19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 15, 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
- $88.3MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.8%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 businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $7,455, 1 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$353M100%
- Pooled investment vehicles$7,4550.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $7,455 for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=true 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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| 17k South, LLCno longer reported | Hedge Fund | $208M | 3 | Mar 26, 2018 |
| 16k North, LLCno longer reported | Hedge Fund | $102M | 4 | Mar 26, 2018 |
| Catenary Carbon Allowance Fund I, LPno longer reported | Hedge Fund | $16.3M | 67 | Mar 30, 2020 |
| V Alternative, LP | Hedge Fund | $8.9M | 15 | Mar 26, 2018 |
| Catenary Gangkhar Alpha Fund, LLC | Hedge Fund | $192,387 | 1 | Mar 26, 2018 |
| Catenary Alternatives Partners, LPno longer reported | Hedge Fund | $18,429 | 67 | Apr 1, 2013 |
| Catenary Alternatives Partners Ltdno longer reported | Hedge Fund | $3,938 | 22 | Apr 1, 2013 |
Owners and control persons
Schedule A and B, latest filing
- Dwight James Besaw · Membercontrolsince 03/2012 · owns 10% to 25%
- Augustus Eli Cohen · Membercontrolsince 04/2012 · owns 50% to 75%
- Luis George Perez · Membercontrolsince 03/2012 · owns 10% to 25%
- Leigh Claire Rogan · Chief Compliance Officer And Chief Financial Officercontrolsince 10/2020 · owns less than 5%
- Jorge Guillermo Socarras · Membercontrolsince 03/2012 · owns 10% to 25%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
- New York, NY5 employees
What changed
consecutive filings, newest first
- Assets in custody · $92,366 to $7,455Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $337M to $353MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $92,366 to $7,455Mar 31, 2025 to Mar 31, 2026
- RAUM · $337M to $353MMar 31, 2025 to Mar 31, 2026
- Accounts · 3 to 4Mar 28, 2024 to Mar 31, 2025
- Pooled vehicle clients · 2 to 3Mar 28, 2024 to Mar 31, 2025
- Assets in custody · $192,387 to $92,366Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Private funds · 2 to 1Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $238M to $337MMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $9.1M to $92,366Mar 28, 2024 to Mar 31, 2025
- RAUM · $238M to $337MMar 28, 2024 to Mar 31, 2025
- Accounts · 4 to 3Mar 30, 2023 to Mar 28, 2024
- Advisory employees · 2 to 3Mar 30, 2023 to Mar 28, 2024
- Corporate clients · unset to 1.0Mar 30, 2023 to Mar 28, 2024
- HNW clients · 1.0 to unsetMar 30, 2023 to Mar 28, 2024
- Assets in custody · unset to 192387.0Mar 30, 2023 to Mar 28, 2024
- Custody of client assets · false to trueMar 30, 2023 to Mar 28, 2024
- Employees · 4 to 5Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $211M to $238MMar 30, 2023 to Mar 28, 2024
- HNW RAUM · 2198911.0 to unsetMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $9.1M to $9.1MMar 30, 2023 to Mar 28, 2024
- RAUM · $211M to $238MMar 30, 2023 to Mar 28, 2024
- Accounts · 12 to 4Mar 31, 2022 to Mar 30, 2023
- BD registered reps · 2 to 0Mar 31, 2022 to Mar 30, 2023
- HNW clients · 7 to 1Mar 31, 2022 to Mar 30, 2023
- Pooled vehicle clients · 5 to 2Mar 31, 2022 to Mar 30, 2023
- Assets in custody · 105348731.0 to unsetMar 31, 2022 to Mar 30, 2023
- Custody of client assets · true to falseMar 31, 2022 to Mar 30, 2023
- Insurance-licensed employees · 1 to 0Mar 31, 2022 to Mar 30, 2023
- State-registered IARs · 1 to 0Mar 31, 2022 to Mar 30, 2023
- Private funds · 4 to 2Mar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $105M to $211MMar 31, 2022 to Mar 30, 2023
- HNW RAUM · $30.4M to $2.2MMar 31, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $74.9M to $9.1MMar 31, 2022 to Mar 30, 2023
- RAUM · $105M to $211MMar 31, 2022 to Mar 30, 2023
- Related bank · false to trueMar 31, 2022 to Mar 30, 2023
- Accounts · 8 to 12Mar 29, 2021 to Mar 31, 2022
- Advisory employees · 4 to 2Mar 29, 2021 to Mar 31, 2022
- HNW clients · 2 to 7Mar 29, 2021 to Mar 31, 2022
Signals
9 dated events
- Catenary Alternatives Asset Management, Llc reported RAUM $211.3M, up 101% from $105.3M (2022-03-31 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Patrick Hugh Nickola (Member) no longer on Schedule A of Catenary Alternatives Asset Management, Llc (listed 2022-03-31, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Catenary Alternatives Asset Management, Llc reported RAUM $105.3M, down 91% from $1.2B (2021-03-29 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Catenary Alternatives Asset Management, Llc reported RAUM $1.2B, up 43% from $804.4M (2020-10-30 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- (Nmn) Zulay Labra (Chief Compliance Officer) no longer on Schedule A of Catenary Alternatives Asset Management, Llc (listed 2020-06-29, absent 2020-10-30)Oct 30, 2020 · Control person left · inference
- Catenary Alternatives Asset Management, Llc reported RAUM $804.4M, up 38% from $582.0M (2019-11-20 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Catenary Alternatives Asset Management, Llc reported RAUM $582.0M, up 43% from $408.3M (2019-03-29 to 2019-11-20)Nov 20, 2019 · RAUM change · derived
- Catenary Alternatives Asset Management, Llc reported RAUM $477.4M, up 160% from $183.4M (2017-07-18 to 2018-03-26)Mar 26, 2018 · RAUM change · derived
- Catenary Alternatives Partners, Llc filed its initial SEC registration (Form ADV)Jun 8, 2012 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/catenary-alternatives-asset-management-reportedpublic record, Form ADV, Sep 17, 2026
- Website
- CATENARYALTS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 929-647-0419reportedpublic record, Form ADV, Apr 15, 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
- Other 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