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

Credit Suisse Securities (USA) LLC

Former SEC-registered adviserNew York, New YorkCRD 816SEC 801-56264websiteIAPD
Latest filing Jan 14, 2025
First filing on the tape Mar 30, 2012 · 145 filings
SEC status approved since Mar 12, 1999
RAUM
$805M
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
39
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
20
reported on Schedule D
History
145 filings and snapshots on the tape
RAUM$805M as of Jan 14, 2025
Mar 30, 2012$15B then
HNW client RAUM$0 as of Jan 14, 2025
Mar 28, 2018$0 then
State-registered IARs (5.B.3)1 as of Jan 14, 2025
Mar 28, 2013607 then
Employees (5.A)39 as of Jan 14, 2025
Mar 28, 201311,270 then
Private funds20 as of Jan 14, 2025
Mar 30, 20128 then
RAUM +0.0% over the last fiscal year+1.4% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 14, 2025; every figure names its basis
RAUM per advisor
$805MderivedRAUM 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
$40.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
39.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.0%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 assets, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
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
  • is a broker-dealer (6.A.1)
  • 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$805M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
20reported
Financial planning clients
0reported
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
Joined, latest
Teams: two or more advisors moving together within fourteen days, from one state
Private funds
63 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Dep Can, L.P.Private Equity Fund$2.8B5Mar 31, 2022
Millennium International Hedgefocus Fund Ltd.no longer reportedHedge Fund$315M277Mar 31, 2014
Millennium USA Hedgefocus Fund LPno longer reportedHedge Fund$244M465Mar 31, 2014
Blackgold Opportunity Hedgefocus Fund LPno longer reportedHedge Fund$182M395Mar 31, 2014
York Credit Opportunities Hedgefocus Fund Ltdno longer reportedHedge Fund$143M41Mar 31, 2014
Dep Mh, L.P.Private Equity Fund$102M5Mar 31, 2022
Dep Rl, L.P.Private Equity Fund$95.2M6Mar 30, 2020
Mkp Opportunity Hedgefocus Fund LPno longer reportedHedge Fund$88.8M106Mar 31, 2014
Dep Im, L.P.Private Equity Fund$82.3M7Mar 30, 2021
Dep Rj, L.P.Private Equity Fund$63.9M6Mar 30, 2021
Dep Au, L.P.Private Equity Fund$63.6M4Mar 30, 2020
York Credit Opportunities Hedgefocus Fund LPno longer reportedHedge Fund$63.2M122Mar 31, 2014
Ozdpii Hedgefocus Fund LPno longer reportedHedge Fund$62.1M117Mar 28, 2013
Doonbeg Hedgefocus Fund LPno longer reportedHedge Fund$57.3M128Mar 31, 2014
Blackgold Opportunity Hedgefocus Fund Ltd.no longer reportedHedge Fund$52.7M153Mar 31, 2014
Dep Ui, L.P.Private Equity Fund$49.5M4Mar 28, 2018
Dep Ea, L.P.Private Equity Fund$46.3M5Mar 28, 2019
Cs York Total Return LPno longer reportedHedge Fund$46.0M89Mar 30, 2012
Cs Finisterre Sovereign Debt Fund LPno longer reportedHedge Fund$43.2M96Mar 30, 2012
Dep Bo, L.P.Private Equity Fund$41.8M6Mar 30, 2020
Dep Mt, L.P.Private Equity Fund$39.9M5Mar 31, 2022
Spf Hedgefocus Fund Ltdno longer reportedHedge Fund$37.3M32Mar 31, 2015
Dep Ly, L.P.no longer reportedPrivate Equity Fund$34.5M10Mar 30, 2016
Spf Hedgefocus Fund LPno longer reportedHedge Fund$31.3M53Mar 31, 2015
Dep Dur, L.PPrivate Equity Fund$29.6M3Mar 31, 2023
Ozosii Hedgefocus Fund Ltdno longer reportedHedge Fund$29.5M58Mar 28, 2013
Absolute Return Capital Hedgefocus Fund LPno longer reportedHedge Fund$29.2M11Mar 28, 2013
Dep Gei, L.P.Private Equity Fund$28.9M7Mar 28, 2019
Mip Pa (Cayman), L.P.Private Equity Fund$28.0M4Mar 28, 2018
Dep Eye, L.P.Private Equity Fund$27.6M3Mar 31, 2022
Mkp Opportunity Hedgefocus Fund Ltd.no longer reportedHedge Fund$27.1M55Mar 31, 2014
Dep Am, L.Pno longer reportedPrivate Equity Fund$26.5M10Mar 31, 2015
Dep Pet, L.PPrivate Equity Fund$25.5M3Mar 31, 2023
Tide Point Hedgefocus Fund LPno longer reportedHedge Fund$23.9M60Mar 31, 2015
Dep Os, L.PPrivate Equity Fund$23.7M15Mar 30, 2016
Cs Gavea Global Macro Fund LPno longer reportedHedge Fund$19.6M61Mar 30, 2012
Doonbeg Hedgefocus Fund Ltd.no longer reportedHedge Fund$18.2M55Mar 31, 2014
Cs Finisterre Sovereign Debt Fundno longer reportedHedge Fund$17.6M41Mar 30, 2012
Dep Fd, L.Pno longer reportedPrivate Equity Fund$17.3M8Mar 31, 2015
Cs Gavea Global Marco Fund Ltdno longer reportedHedge Fund$17.2M41Mar 30, 2012
All funds of Credit Suisse Securities (USA) LLC
Owners and control persons
Schedule A and B, latest filing
  • Jignesh R Doshi · Board Membercontrol
    since 06/2024 · owns less than 5%
  • Thomas G Wipf · Chief Executive Officer, Board Membercontrol
    since 07/2023 · owns less than 5%
  • Maria Chiodi · General Counsel
    since 03/2023 · owns less than 5%
  • Patrick Dimarco · Chief Compliance Officer For The Broker Dealer & The Investment Advisor
    since 08/2024 · owns less than 5%
  • Gary Hassell · Head Of Operations
    since 08/2023 · owns less than 5%
  • Wayne J Powers · Chief Financial Officer
    since 12/2023 · owns less than 5%
Entity owners
  • Credit Suisse (USA) LLC · Sole Member
    direct · owns 75% or more · public reporting company
  • Credit Suisse Holdings (USA), Inc. · Shareholder
    indirect · owns 75% or more of Credit Suisse (USA) LLC · public reporting company
  • UBS Ag · Shareholder
    indirect · owns 75% or more of UBS Americas Holding LLC
  • UBS Americas Holding LLC · Shareholder
    indirect · owns 75% or more of Credit Suisse Holdings (USA), Inc
  • UBS Group Ag · Shareholder
    indirect · owns 75% or more of UBS Ag · public reporting company
  • Credit Suisse Group Finance (U.S.) LLC · Minority Interest
    direct · owns less than 5% · public reporting company
Related persons
Schedule D 7.A
Advisers that list Credit Suisse Securities (USA) LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Berkeley, Ca000
New York, Ny · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 22 to 20
    Jan 24, 2024 to Mar 28, 2024
  • Advisory employees · 3 to 2
    Jan 24, 2024 to Mar 28, 2024
  • Advisory activities · 2 to 1
    Jan 24, 2024 to Mar 28, 2024
  • BD registered reps · 1,844 to 2
    Jan 24, 2024 to Mar 28, 2024
  • Charity clients · unset to 0.0
    Jan 24, 2024 to Mar 28, 2024
  • Corporate clients · unset to 0.0
    Jan 24, 2024 to Mar 28, 2024
  • HNW clients · 1 to 0
    Jan 24, 2024 to Mar 28, 2024
  • Individual clients · unset to 0.0
    Jan 24, 2024 to Mar 28, 2024
  • Pension plan clients · unset to 0.0
    Jan 24, 2024 to Mar 28, 2024
  • Pooled vehicle clients · 22 to 20
    Jan 24, 2024 to Mar 28, 2024
  • Employees · 3,796 to 39
    Jan 24, 2024 to Mar 28, 2024
  • State-registered IARs · 40 to 1
    Jan 24, 2024 to Mar 28, 2024
  • Private funds · 22 to 20
    Jan 24, 2024 to Mar 28, 2024
  • Discretionary RAUM · $785M to $805M
    Jan 24, 2024 to Mar 28, 2024
  • Individual RAUM · unset to 0.0
    Jan 24, 2024 to Mar 28, 2024
  • Pension RAUM · unset to 0.0
    Jan 24, 2024 to Mar 28, 2024
  • Pooled vehicle RAUM · $785M to $805M
    Jan 24, 2024 to Mar 28, 2024
  • RAUM · $785M to $805M
    Jan 24, 2024 to Mar 28, 2024
  • Advisory employees · 5 to 3
    Mar 8, 2023 to Mar 31, 2023
  • BD registered reps · 2,357 to 1,844
    Mar 8, 2023 to Mar 31, 2023
  • Employees · 4,452 to 3,796
    Mar 8, 2023 to Mar 31, 2023
  • State-registered IARs · 49 to 40
    Mar 8, 2023 to Mar 31, 2023
  • Discretionary RAUM · $771M to $785M
    Mar 8, 2023 to Mar 31, 2023
  • Pooled vehicle RAUM · $771M to $785M
    Mar 8, 2023 to Mar 31, 2023
  • RAUM · $771M to $785M
    Mar 8, 2023 to Mar 31, 2023
  • Accounts · 16 to 22
    Nov 18, 2021 to Mar 31, 2022
  • BD registered reps · 2,443 to 2,357
    Nov 18, 2021 to Mar 31, 2022
  • Pooled vehicle clients · 16 to 22
    Nov 18, 2021 to Mar 31, 2022
  • Employees · 4,603 to 4,452
    Nov 18, 2021 to Mar 31, 2022
  • State-registered IARs · 53 to 49
    Nov 18, 2021 to Mar 31, 2022
  • Private funds · 16 to 22
    Nov 18, 2021 to Mar 31, 2022
  • Discretionary RAUM · $495M to $771M
    Nov 18, 2021 to Mar 31, 2022
  • Pooled vehicle RAUM · $495M to $771M
    Nov 18, 2021 to Mar 31, 2022
  • RAUM · $495M to $771M
    Nov 18, 2021 to Mar 31, 2022
  • Accounts · 14 to 16
    Oct 1, 2020 to Mar 30, 2021
  • BD registered reps · 2,475 to 2,443
    Oct 1, 2020 to Mar 30, 2021
  • Pooled vehicle clients · 14 to 16
    Oct 1, 2020 to Mar 30, 2021
  • Custody of client assets · true to false
    Oct 1, 2020 to Mar 30, 2021
  • Employees · 4,744 to 4,603
    Oct 1, 2020 to Mar 30, 2021
  • State-registered IARs · 52 to 53
    Oct 1, 2020 to Mar 30, 2021
Signals
27 dated events
  • Credit Suisse Securities (Usa) Llc no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $805.3M)
    May 2, 2025 · Left the SEC roster · derived
  • Andrew Guy Stevens left Credit Suisse Securities (Usa) Llc for Eagle Strategies Llc (registered 2026-08-27)
    Oct 23, 2024 · Advisor changed firm · fact
  • Jignesh Doshi (Board Member) appeared on Schedule A of Credit Suisse Securities (Usa) Llc
    Jun 25, 2024 · Control person joined · fact
  • Megan Von Feldt left Credit Suisse Securities (Usa) Llc for Ubs Asset Management (Americas) Llc (registered 2024-08-30)
    Mar 29, 2024 · Advisor changed firm · fact
  • Credit Suisse Securities (Usa) Llc reported 1 state-registered advisory representatives, down from 40 (2024-01-24 to 2024-03-28)
    Mar 28, 2024 · Advisor headcount change · derived
  • Soulemane Bagayoko left Credit Suisse Securities (Usa) Llc for Citigroup Global Markets Inc. (registered 2026-01-22)
    Dec 19, 2023 · Advisor changed firm · fact
  • Matthew J Dowd left Credit Suisse Securities (Usa) Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2024-07-01)
    Dec 1, 2023 · Advisor changed firm · fact
  • Jamie E Osullivan left Credit Suisse Securities (Usa) Llc for Rbc Capital Markets, Llc (registered 2024-01-25)
    Nov 21, 2023 · Advisor changed firm · fact
  • Jerry Preston Leamon (Board Member) no longer on Schedule A of Credit Suisse Securities (Usa) Llc (listed 2023-10-06, absent 2023-10-11)
    Oct 11, 2023 · Control person left · inference
  • Bruce Tilton Richards (Board Member) no longer on Schedule A of Credit Suisse Securities (Usa) Llc (listed 2023-10-06, absent 2023-10-11)
    Oct 11, 2023 · Control person left · inference
  • Morris Wayne Applewhite (Board Member) no longer on Schedule A of Credit Suisse Securities (Usa) Llc (listed 2023-10-06, absent 2023-10-11)
    Oct 11, 2023 · Control person left · inference
  • Thomas Wipf (Chief Executive Officer, Board Member) appeared on Schedule A of Credit Suisse Securities (Usa) Llc
    Oct 11, 2023 · Control person joined · fact
  • Robert Michael Ivey left Credit Suisse Securities (Usa) Llc for Leucadia Asset Management Llc (registered 2024-02-29)
    Sep 21, 2023 · Advisor changed firm · fact
  • Annabelle Bunn left Credit Suisse Securities (Usa) Llc for Citigroup Global Markets Inc. (registered 2023-09-19)
    Sep 1, 2023 · Advisor changed firm · fact
  • Jonathan Nicholas Woo left Credit Suisse Securities (Usa) Llc for Citigroup Global Markets Inc. (registered 2023-07-14)
    Jul 27, 2023 · Advisor changed firm · fact
  • David Lawrence Miller (Global Head Of Investment Banking, Capital Markets And Credit. Head Of Credit Suisse Americas) no longer on Schedule A of Credit Suisse Securities (Usa) Llc (listed 2023-06-01, absent 2023-07-11)
    Jul 11, 2023 · Control person left · inference
  • Kathryn Mary Ragaisis left Credit Suisse Securities (Usa) Llc for Charles Schwab & Co., Inc. (registered 2023-07-31)
    May 19, 2023 · Advisor changed firm · fact
  • Jeremy Duksin left Credit Suisse Securities (Usa) Llc for Robert W. Baird & Co. Incorporated (registered 2023-02-21)
    Mar 1, 2023 · Advisor changed firm · fact
  • Jill Ann Jensen left Credit Suisse Securities (Usa) Llc for Nuveen Asset Management, Llc (registered 2022-12-02)
    Nov 2, 2022 · Advisor changed firm · fact
  • Credit Suisse Securities (Usa) Llc reported RAUM $771.4M, up 56% from $494.7M (2021-11-18 to 2022-03-31)
    Mar 31, 2022 · RAUM change · derived
  • Eric Morris Varvel (Board Member And Chief Executive Officer) no longer on Schedule A of Credit Suisse Securities (Usa) Llc (listed 2022-03-31, absent 2022-03-31)
    Mar 31, 2022 · Control person left · inference
  • Morris Wayne Applewhite (Board Member) appeared on Schedule A of Credit Suisse Securities (Usa) Llc
    May 12, 2021 · Control person joined · fact
  • Brian Matthew Chin (Board Member) no longer on Schedule A of Credit Suisse Securities (Usa) Llc (listed 2021-04-23, absent 2021-05-12)
    May 12, 2021 · Control person left · inference
  • Joachim Christian Oechslin (Board Member) no longer on Schedule A of Credit Suisse Securities (Usa) Llc (listed 2020-06-24, absent 2020-09-09)
    Sep 9, 2020 · Control person left · inference
  • Credit Suisse Securities (Usa) Llc reported RAUM $404.0M, up 35% from $298.8M (2020-01-23 to 2020-03-30)
    Mar 30, 2020 · RAUM change · derived
  • James Louis Amine (Board Member) no longer on Schedule A of Credit Suisse Securities (Usa) Llc (listed 2020-01-23, absent 2020-03-30)
    Mar 30, 2020 · Control person left · inference
  • David Lawrence Miller (Board Member) appeared on Schedule A of Credit Suisse Securities (Usa) Llc
    Mar 30, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
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
Across the graphs

Credit Suisse Securities (USA) LLC is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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