TRAFELET BROKAW CAPITAL MANAGEMENT, L.P.

CRD #156631 SEC #801-73192 NEW YORK, NY 212-201-7800

SEC Registered Private Funds

Total AUM

$380M

Discretionary

$380M

Employees

Clients

Accounts

Firm Details

Organization Type: Limited Partnership
State of Formation: Delaware
Fiscal Year End: DECEMBER
Registration Date: --
Latest Filing: Mar 12, 2018
Branch Offices: 0
LEI: H70XHB9EQG1B84NZ5K81

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

Name	Type	Title / Status	Ownership	Control
BIONDO, KRISTI, A	I	CHIEF FINANCIAL OFFICER/ CHIEF COMPLIANCE OFFICER	NA	Control
BIONDO, KRISTI, A	I	CHIEF FINANCIAL OFFICER/ CHIEF COMPLIANCE OFFICER	NA	Control
BROKAW, GEORGE, ROGERS	I	CHIEF COMPLIANCE OFFICER	NA	Control
BROKAW, GEORGE, ROGERS	I	CHIEF COMPLIANCE OFFICER	NA	Control
BROKAW, GEORGE, ROGERS	I	CHIEF COMPLIANCE OFFICER	NA	Control
BROKAW, GEORGE, ROGERS	I	CHIEF COMPLIANCE OFFICER	NA	Control
BROKAW, GEORGE, ROGERS	I	CHIEF COMPLIANCE OFFICER	NA	Control
BROKAW, GEORGE, ROGERS	I	CHIEF COMPLIANCE OFFICER	NA	Control
BROKAW, GEORGE, ROGERS	I	CHIEF COMPLIANCE OFFICER	NA	Control
BROKAW, GEORGE, ROGERS	I	CHIEF COMPLIANCE OFFICER	NA	Control
BROKAW, GEORGE, ROGERS	I	CHIEF COMPLIANCE OFFICER	NA	Control
BROKAW, GEORGE, ROGERS	I	CHIEF COMPLIANCE OFFICER	NA	Control
FABER, JEFFREY, JOSEPH	I	CHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER	NA	Control
FABER, JEFFREY, JOSEPH	I	CHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER	NA	Control
FASONE, NEAL	I	CHIEF FINANCIAL OFFICER	NA	Control
FASONE, NEAL	I	CHIEF FINANCIAL OFFICER	NA	Control
FASONE, NEAL	I	CHIEF FINANCIAL OFFICER	NA	Control
LOGGIA, ANDREW, KENT	I	CHIEF FINANCIAL OFFICER	NA	Control
LOGGIA, ANDREW, KENT	I	CHIEF FINANCIAL OFFICER	NA	Control
LOGGIA, ANDREW, KENT	I	CHIEF FINANCIAL OFFICER	NA	Control
LOGGIA, ANDREW, KENT	I	CHIEF FINANCIAL OFFICER	NA	Control
LOGGIA, ANDREW, KENT	I	CHIEF FINANCIAL OFFICER	NA	Control
LOGGIA, ANDREW, KENT	I	CHIEF FINANCIAL OFFICER	NA	Control
LOGGIA, ANDREW, KENT	I	CHIEF COMPLIANCE OFFICER	NA	Control
STEYER, HUME, RICHMOND	I	TRUSTEE OF THE 734 2003 TRUST	NA
STEYER, HUME, RICHMOND	I	TRUSTEE OF THE 734 2003 TRUST	NA
STEYER, HUME, RICHMOND	I	TRUSTEE OF THE 734 2003 TRUST	NA
STEYER, HUME, RICHMOND	I	TRUSTEE OF THE 734 2003 TRUST	NA
STEYER, HUME, RICHMOND	I	TRUSTEE OF THE 734 2003 TRUST	NA
STEYER, HUME, RICHMOND	I	TRUSTEE OF THE 734 2003 TRUST	NA
STEYER, HUME, RICHMOND	I	TRUSTEE OF THE 734 2003 TRUST	NA
STEYER, HUME, RICHMOND	I	TRUSTEE OF THE 734 2003 TRUST	NA
STEYER, HUME, RICHMOND	I	TRUSTEE OF THE 734 2003 TRUST	NA
STEYER, HUME, RICHMOND	I	TRUSTEE OF THE 734 2003 TRUST	NA
STEYER, HUME, RICHMOND	I	TRUSTEE OF THE 734 2003 TRUST	NA
TBCM GP, LLC	DE	GENERAL PARTNER	NA	Control
TRAFELET & COMPANY, LLC	DE	GENERAL PARTNER	NA	Control
TRAFELET & COMPANY, LLC	DE	GENERAL PARTNER	NA	Control
TRAFELET & COMPANY, LLC	DE	GENERAL PARTNER	NA	Control
TRAFELET & COMPANY, LLC	DE	GENERAL PARTNER	NA	Control
TRAFELET & COMPANY, LLC	DE	GENERAL PARTNER	NA	Control
TRAFELET & COMPANY, LLC	DE	GENERAL PARTNER	NA	Control
TRAFELET & COMPANY, LLC	DE	GENERAL PARTNER	NA	Control
TRAFELET & COMPANY, LLC	DE	GENERAL PARTNER	NA	Control
TRAFELET & COMPANY, LLC	DE	GENERAL PARTNER	NA	Control
TRAFELET & COMPANY, LLC	DE	GENERAL PARTNER	NA	Control
TRAFELET & COMPANY, LLC	DE	GENERAL PARTNER	NA	Control
TRAFELET & COMPANY, LLC	DE	GENERAL PARTNER	NA	Control
TRAFELET & COMPANY, LLC	DE	GENERAL PARTNER	NA	Control
TRAFELET & COMPANY, LLC	DE	GENERAL PARTNER	NA	Control
TRAFELET, REMY	I	MANAGING MEMBER AND CHIEF INVESTMENT OFFICER	E	Control
TRAFELET, REMY, WHITE	I	LIMITED PARTNER	D	Control
TRAFELET, REMY, WHITE	I	LIMITED PARTNER	D	Control
TRAFELET, REMY, WHITE	I	LIMITED PARTNER	D	Control
TRAFELET, REMY, WHITE	I	LIMITED PARTNER	D	Control
TRAFELET, REMY, WHITE	I	LIMITED PARTNER	D	Control
TRAFELET, REMY, WHITE	I	LIMITED PARTNER	D	Control
TRAFELET, REMY, WHITE	I	LIMITED PARTNER	D	Control
TRAFELET, REMY, WHITE	I	LIMITED PARTNER	D	Control
TRAFELET, REMY, WHITE	I	LIMITED PARTNER	D	Control
TRAFELET, REMY, WHITE	I	LIMITED PARTNER	D	Control
TRAFELET, REMY, WHITE	I	LIMITED PARTNER	D	Control
TRAFELET, REMY, WHITE	I	LIMITED PARTNER	D	Control
TRAFELET, REMY, WHITE	I	LIMITED PARTNER	D	Control
TRAFELET, REMY, WHITE	I	LIMITED PARTNER	D	Control
CLEARY, JOHN, JAMES	I	TRUSTEE OF THE TRAFELET 2014 FAMILY TRUST	C	Control
Cleary, John	I	TRUSTEE OF THE TRAFELET 2014 FAMILY TRUST	C	Control
RCF 2018 LEGACY LLC	DE	LIMITED PARTNER	C	Control
STEYER, HUME, RICHMOND	I	TRUSTEE OF THE 734 2003 TRUST	C	Control
STEYER, HUME, RICHMOND	I	TRUSTEE OF THE 734 2003 TRUST	C	Control
STEYER, HUME, RICHMOND	I	TRUSTEE OF THE 734 2003 TRUST	C	Control
THE 734 2003 TRUST	DE	LIMITED PARTNER	C	Control
THE 734 2003 TRUST	DE	LIMITED PARTNER	C	Control
THE 734 2003 TRUST	DE	LIMITED PARTNER	C	Control
THE 734 2003 TRUST	DE	LIMITED PARTNER	C	Control
THE 734 2003 TRUST	DE	LIMITED PARTNER	C	Control
THE 734 2003 TRUST	DE	OWNER	C	Control
THE 734 2003 TRUST	DE	LIMITED PARTNER	C	Control
THE 734 2003 TRUST	DE	LIMITED PARTNER	C	Control
THE 734 2003 TRUST	DE	LIMITED PARTNER	C	Control
THE 734 2003 TRUST	DE	LIMITED PARTNER	C	Control
THE 734 2003 TRUST	DE	LIMITED PARTNER	C	Control
THE 734 2003 TRUST	DE	LIMITED PARTNER	C	Control
THE 734 2003 TRUST	DE	LIMITED PARTNER	C	Control
THE 734 2003 TRUST	DE	LIMITED PARTNER	C	Control
THE TRAFELET 2014 FAMILY TRUST	DE	MEMBER OF 734 AGRICULTURE, LLC	C	Control
THE TRAFELET 2014 FAMILY TRUST	DE	MEMBER OF 734 AGRICULTURE, LLC	C	Control
TRAFELET 2014 FAMILY TRUST	DE	MEMBER OF 734 AGRICULTURE, LLC	C	Control
TRAFELET 2014 FAMILY TRUST	DE	MEMBER OF 734 AGRICULTURE, LLC	C	Control
TRAFELET, REMY, WHITE	I	MEMBER OF 734 AGRICULTURE, LLC	C	Control
TRAFELET, REMY, WHITE	I	MEMBER OF 734 AGRICULTURE, LLC	C	Control
TRAFELET, REMY, WHITE	I	MEMBER OF 734 AGRICULTURE, LLC	C	Control
TRAFELET, REMY, WHITE	I	MEMBER OF 734 AGRICULTURE, LLC	C	Control
BROKAW, GEORGE, ROGERS	I	MEMBER OF 734 AGRICULTURE, LLC	B
BROKAW, GEORGE, ROGERS	I	MEMBER OF 734 AGRICULTURE, LLC	B
BROKAW, GEORGE, ROGERS	I	MEMBER OF 734 AGRICULTURE, LLC	B
BROKAW, GEORGE, ROGERS	I	MEMBER OF 734 AGRICULTURE, LLC	B

Indirect Owners (Schedule B)

Name	Type	Entity	Ownership	Control
TRAFELET, REMY	I	TRAFELET & COMPANY, LLC	E	Control
TRAFELET, REMY, WHITE	I	TRAFELET & COMPANY, LLC	E	Control
TRAFELET, REMY, WHITE	I	TRAFELET & COMPANY, LLC	E	Control
TRAFELET, REMY, WHITE	I	TRAFELET & COMPANY, LLC	E	Control
TRAFELET, REMY, WHITE	I	TRAFELET & COMPANY, LLC	E	Control
TRAFELET, REMY, WHITE	I	TRAFELET & COMPANY, LLC	E	Control
TRAFELET, REMY, WHITE	I	TRAFELET & COMPANY, LLC	E	Control
TRAFELET, REMY, WHITE	I	TRAFELET & COMPANY, LLC	E	Control
TRAFELET, REMY, WHITE	I	TRAFELET & COMPANY, LLC	E	Control
TRAFELET, REMY, WHITE	I	TRAFELET & COMPANY, LLC	E	Control
TRAFELET, REMY, WHITE	I	TRAFELET & COMPANY, LLC	E	Control
TRAFELET, REMY, WHITE	I	TRAFELET & COMPANY, LLC	E	Control
TRAFELET, REMY, WHITE	I	TRAFELET & COMPANY, LLC	E	Control
TRAFELET, REMY, WHITE	I	RCF 2018 LEGACY LLC	E	Control
CLEARY, JOHN, JAMES	I	TRAFELET 2014 FAMILY TRUST	C	Control
Cleary, John	I	TRAFELET 2014 FAMILY TRUST	C	Control
STEYER, HUME, RICHMOND	I	THE 734 2003 TRUST	C	Control
STEYER, HUME, RICHMOND	I	THE 734 2003 TRUST	C	Control
STEYER, HUME, RICHMOND	I	THE 734 2003 TRUST	C	Control
THE 734 2003 TRUST	DE	TRAFELET BROKAW CAPITAL MANAGEMENT, L.P.	C	Control
THE 734 2003 TRUST	DE	TRAFELET BROKAW CAPITAL MANAGEMENT, L.P.	C	Control
THE 734 2003 TRUST	DE	TRAFELET BROKAW CAPITAL MANAGEMENT, L.P.	C	Control
THE TRAFELET 2014 FAMILY TRUST	DE	734 AGRICULTURE, LLC	C	Control
THE TRAFELET 2014 FAMILY TRUST	DE	734 AGRICULTURE, LLC	C	Control

Registrations

Federal

Mar 12, 2018 REGISTERED

Address

410 PARK AVENUE
17TH FLOOR
NEW YORK, NY 10022
United States

Phone: 212-201-7800