MEDLEY CAPITAL LLC
CRD #167354 SEC #801-77920 NEW YORK, NY 212-759-0777
SEC Registered Private Funds
Total AUM
$1.8B
Discretionary
$763.2M
Employees
42
Clients
11
Accounts
23
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jan 4, 2022
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER OF MEDLEY CAPITAL LLC | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER (RELYING ADVISERS) | NA | |
| ALLORTO, RICHARD, THOMAS | I | CCO | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER OF MEDLEY CAPITAL LLC | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER (RELYING ADVISERS) | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER ((RELYING ADVISER)) | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER (RELYING ADVISERS) | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER ((RELYING ADVISER)) | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER (RELYING ADVISERS) | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER OF MEDLEY CAPITAL LLC | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER (RELYING ADVISERS) | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER OF MEDLEY CAPITAL LLC | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER (RELYING ADVISERS) | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER OF MEDLEY CAPITAL LLC | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER (RELYING ADVISERS) | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER OF MEDLEY CAPITAL LLC | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER (RELYING ADVISERS) | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER OF MEDLEY CAPITAL LLC | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER (RELYING ADVISERS) | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER OF MEDLEY CAPITAL LLC | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER (RELYING ADVISERS) | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER OF MEDLEY CAPITAL LLC | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER (RELYING ADVISERS) | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER OF MEDLEY CAPITAL LLC | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER (RELYING ADVISERS) | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER | NA | |
| ALLORTO, RICHARD, THOMAS | I | CHIEF FINANCIAL OFFICER | NA | |
| BRYCE, NATHAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CROWE, DEAN, CHRISTOPHER | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| FENTRESS, ANDREW, DODD | I | MANAGER | NA | Control |
| FENTRESS, ANDREW, DODD | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | |
| FREDERICKS, JOHN, DONNAN | I | CHIEF COMPLIANCE OFFICER MEDLEY CAPITAL LLC | NA | |
| FREDERICKS, JOHN, DONNAN | I | CHIEF COMPLIANCE OFFICER MEDLEY CAPITAL LLC | NA | |
| FREDERICKS, JOHN, DONNAN | I | CHIEF COMPLIANCE OFFICER | NA | |
| FREDERICKS, JOHN, DONNAN | I | CHIEF COMPLIANCE OFFICER | NA | |
| FREDERICKS, JOHN, DONNAN | I | CHIEF COMPLIANCE OFFICER | NA | |
| FREDERICKS, JOHN, DONNAN | I | CHIEF COMPLIANCE OFFICER | NA | |
| FREDERICKS, JOHN, DONNAN | I | CHIEF COMPLIANCE OFFICER MEDLEY CAPITAL LLC | NA | |
| FREDERICKS, JOHN, DONNAN | I | CHIEF COMPLIANCE OFFICER MEDLEY CAPITAL LLC | NA | |
| FREDERICKS, JOHN, DONNAN | I | CHIEF COMPLIANCE OFFICER MEDLEY CAPITAL LLC | NA | |
| FREDERICKS, JOHN, DONNAN | I | CHIEF COMPLIANCE OFFICER MEDLEY CAPITAL LLC | NA | |
| FREDERICKS, JOHN, DONNAN | I | CHIEF COMPLIANCE OFFICER MEDLEY CAPITAL LLC | NA | |
| FREDERICKS, JOHN, DONNAN | I | CHIEF COMPLIANCE OFFICER MEDLEY CAPITAL LLC AND RELYING ADVISERS | NA | |
| FREDERICKS, JOHN, DONNAN | I | CHIEF COMPLIANCE OFFICER MEDLEY CAPITAL LLC AND RELYING ADVISERS | NA | |
| FREDERICKS, JOHN, DONNAN | I | CHIEF COMPLIANCE OFFICER MEDLEY CAPITAL LLC | NA | |
| FREDERICKS, JOHN, DONNAN | I | CHIEF COMPLIANCE OFFICER | NA | |
| FREDERICKS, JOHN, DONNAN | I | CHIEF COMPLIANCE OFFICER | NA | |
| FREDERICKS, JOHN, DONNAN | I | CHIEF COMPLIANCE OFFICER | NA | |
| TAUBE, BROOK, BULGER | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | |
| TAUBE, BROOK, BULGER | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | |
| TAUBE, BROOK, BULGER | I | MANAGER | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | |
| TAUBE, BROOK, BULGER | I | MANAGER | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MCOF MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MEDLEY (ASPECT) MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MCOF MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MEDLEY (ASPECT) MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER | NA | Control |
| TAUBE, BROOK, BULGER | I | MANAGER | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | |
| TAUBE, SETH, BULGER | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | |
| TAUBE, SETH, BULGER | I | MANAGER | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | |
| TAUBE, SETH, BULGER | I | MANAGER | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MCOF MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MEDLEY (ASPECT) MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MCOF MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MEDLEY (ASPECT) MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER | NA | Control |
| TAUBE, SETH, BULGER | I | MANAGER | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MOF II MANAGEMENT LLC (RELYING ADVISOR) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MOF III MANAGEMENT LLC (RELYING ADVISOR) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MEDLEY SMA ADVISORS LLC (RELYING ADVISOR) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MOF II MANAGEMENT LLC (RELYING ADVISOR) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MOF III MANAGEMENT LLC (RELYING ADVISOR) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MEDLEY SMA ADVISORS LLC (RELYING ADVISOR) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER OF MCOF MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER OF MEDLEY (ASPECT) MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER OF MCOF MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER OF MEDLEY (ASPECT) MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MOF II MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MOF III MANAGEMENT LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER OF MEDLEY CAPITAL LLC | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER | NA | Control |
| TONKEL, JEFFREY, BENNETT | I | MANAGER | NA | Control |
| MEDLEY LLC | DE | MEMBER OF MEDLEY CAPITAL LLC | E | Control |
| MEDLEY LLC | DE | MEMBER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER | E | Control |
| MEDLEY LLC | DE | MEMBER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MEDLEY CAPITAL LLC | E | Control |
| MEDLEY LLC | DE | MEMBER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER | E | Control |
| MEDLEY LLC | DE | MEMBER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER | E | Control |
| MEDLEY LLC | DE | MEMBER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MOF III MANAGEMENT LLC (RELYING ADVISOR) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISOR) | E | Control |
| MEDLEY LLC | DE | MEMBER | E | Control |
| MEDLEY LLC | DE | MEMBER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER | E | Control |
| MEDLEY LLC | DE | MEMBER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MOF III MANAGEMENT LLC (RELYING ADVISOR) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISOR) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MEDLEY CAPITAL LLC | E | Control |
| MEDLEY LLC | DE | MEMBER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MEDLEY CAPITAL LLC | E | Control |
| MEDLEY LLC | DE | MEMBER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MEDLEY CAPITAL LLC | E | Control |
| MEDLEY LLC | DE | MEMBER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MEDLEY CAPITAL LLC | E | Control |
| MEDLEY LLC | DE | MEMBER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MEDLEY CAPITAL LLC | E | Control |
| MEDLEY LLC | DE | MEMBER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MEDLEY CAPITAL LLC | E | Control |
| MEDLEY LLC | DE | MEMBER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MCOF MANAGEMENT LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MEDLEY (ASPECT) MANAGEMENT LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MEDLEY CAPITAL LLC | E | Control |
| MEDLEY LLC | DE | MEMBER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MCOF MANAGEMENT LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MEDLEY (ASPECT) MANAGEMENT LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MEDLEY CAPITAL LLC | E | Control |
| MEDLEY LLC | DE | MEMBER OF MOF II MANAGEMENT LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MOF III MANAGEMENT LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER OF MEDLEY SMA ADVISORS LLC (RELYING ADVISER) | E | Control |
| MEDLEY LLC | DE | MEMBER | E | Control |
| MEDLEY LLC | DE | MEMBER | E | Control |
| MEDLEY LLC | DE | MEMBER | E | Control |
| MEDLEY LLC | DE | MEMBER | E | Control |
| MEDLEY LLC | DE | MEMBER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| MEDLEY MANAGEMENT INC. | DE | MEDLEY LLC | F | Control |
| MEDLEY MANAGEMENT INC. | DE | MEDLEY LLC | F | Control |
| MEDLEY MANAGEMENT INC. | DE | MEDLEY LLC | F | Control |
| MEDLEY MANAGEMENT INC. | DE | MEDLEY LLC | F | Control |
| MEDLEY MANAGEMENT INC. | DE | MEDLEY LLC | F | Control |
| MEDLEY MANAGEMENT INC. | DE | MEDLEY LLC | F | Control |
| MEDLEY MANAGEMENT INC. | DE | MEDLEY LLC | F | Control |
| MEDLEY MANAGEMENT INC. | DE | MEDLEY LLC | F | Control |
| MEDLEY MANAGEMENT INC. | DE | MEDLEY LLC | F | Control |
| MEDLEY MANAGEMENT INC. | DE | MEDLEY LLC | F | Control |
| MEDLEY MANAGEMENT INC. | DE | MEDLEY LLC | F | Control |
| MEDLEY MANAGEMENT INC. | DE | MEDLEY LLC | F | Control |
| MEDLEY MANAGEMENT INC. | DE | MEDLEY LLC | F | Control |
| TAUBE, BROOK, BULGER | I | BROOK TAUBE TRUST | F | Control |
| TAUBE, BROOK, BULGER | I | BROOK TAUBE TRUST | F | Control |
| TAUBE, BROOK, BULGER | I | BROOK TAUBE TRUST | F | Control |
| TAUBE, BROOK, BULGER | I | BROOK TAUBE TRUST | F | Control |
| TAUBE, BROOK, BULGER | I | BROOK TAUBE TRUST | F | Control |
| TAUBE, BROOK, BULGER | I | BROOK TAUBE TRUST | F | Control |
| TAUBE, BROOK, BULGER | I | BROOK TAUBE TRUST | F | Control |
| TAUBE, BROOK, BULGER | I | BROOK TAUBE TRUST | F | Control |
| TAUBE, BROOK, BULGER | I | BROOK TAUBE TRUST | F | Control |
| TAUBE, BROOK, BULGER | I | BROOK TAUBE TRUST | F | Control |
| TAUBE, BROOK, BULGER | I | BROOK TAUBE TRUST | F | Control |
| TAUBE, BROOK, BULGER | I | BROOK TAUBE TRUST | F | Control |
| TAUBE, BROOK, BULGER | I | BROOK TAUBE TRUST | F | Control |
| TAUBE, SETH, BULGER | I | SETH & ANGIE TAUBE TRUST | F | Control |
| TAUBE, SETH, BULGER | I | SETH & ANGIE TAUBE TRUST | F | Control |
| TAUBE, SETH, BULGER | I | SETH & ANGIE TAUBE TRUST | F | Control |
| TAUBE, SETH, BULGER | I | SETH & ANGIE TAUBE TRUST | F | Control |
| TAUBE, SETH, BULGER | I | SETH & ANGIE TAUBE TRUST | F | Control |
| TAUBE, SETH, BULGER | I | SETH & ANGIE TAUBE TRUST | F | Control |
| TAUBE, SETH, BULGER | I | SETH & ANGIE TAUBE TRUST | F | Control |
| TAUBE, SETH, BULGER | I | SETH & ANGIE TAUBE TRUST | F | Control |
| TAUBE, SETH, BULGER | I | SETH & ANGIE TAUBE TRUST | F | Control |
| TAUBE, SETH, BULGER | I | SETH & ANGIE TAUBE TRUST | F | Control |
| TAUBE, SETH, BULGER | I | SETH & ANGIE TAUBE TRUST | F | Control |
| TAUBE, SETH, BULGER | I | SETH & ANGIE TAUBE TRUST | F | Control |
| TAUBE, SETH, BULGER | I | SETH & ANGIE TAUBE TRUST | F | Control |
| FENTRESS, ANDREW, DODD | I | WINDSOR ADVISORS LLC | E | Control |
| MEDLEY MANAGEMENT INC. | DE | MEDLEY LLC | E | Control |
| MEDLEY MANAGEMENT INC. | DE | MEDLEY LLC | E | Control |
| SCHWARTZ, BERNARD, LEON | I | SMH PARTNERS, LLC | E | Control |
| T3 GROUP LLC | DE | MEDLEY LLC | D | Control |
| T3 GROUP LLC | DE | MEDLEY LLC | D | Control |
| T3 GROUP LLC | DE | MEDLEY LLC | D | Control |
| T3 GROUP LLC | DE | MEDLEY LLC | D | Control |
| T3 GROUP LLC | DE | MEDLEY LLC | D | Control |
| TAUBE, BROOK, BULGER | I | T3 GROUP LLC | D | Control |
| TAUBE, BROOK, BULGER | I | T3 GROUP LLC | D | Control |
| TAUBE, BROOK, BULGER | I | T3 GROUP LLC | D | Control |
| TAUBE, BROOK, BULGER | I | T3 GROUP LLC | D | Control |
| TAUBE, SETH, BULGER | I | T3 GROUP LLC | D | Control |
| TAUBE, SETH, BULGER | I | T3 GROUP LLC | D | Control |
| TAUBE, SETH, BULGER | I | T3 GROUP LLC | D | Control |
| TAUBE, SETH, BULGER | I | T3 GROUP LLC | D | Control |
| BROOK TAUBE TRUST | DE | MEDLEY LLC | C | Control |
| BROOK TAUBE TRUST | DE | MEDLEY LLC | C | Control |
| BROOK TAUBE TRUST | DE | MEDLEY LLC | C | Control |
| BROOK TAUBE TRUST | DE | MEDLEY LLC | C | Control |
| BROOK TAUBE TRUST | DE | MEDLEY LLC | C | Control |
| BROOK TAUBE TRUST | DE | MEDLEY LLC | C | Control |
| BROOK TAUBE TRUST | DE | MEDLEY LLC | C | Control |
| BROOK TAUBE TRUST | DE | MEDLEY LLC | C | Control |
| BROOK TAUBE TRUST | DE | MEDLEY LLC | C | Control |
| BROOK TAUBE TRUST | DE | MEDLEY LLC | C | Control |
| BROOK TAUBE TRUST | DE | MEDLEY LLC | C | Control |
| BROOK TAUBE TRUST | DE | MEDLEY LLC | C | Control |
| BROOK TAUBE TRUST | DE | MEDLEY LLC | C | Control |
| SETH AND ANGIE TAUBE TRUST | DE | MEDLEY LLC | C | Control |
| SETH AND ANGIE TAUBE TRUST | DE | MEDLEY LLC | C | Control |
| SETH AND ANGIE TAUBE TRUST | DE | MEDLEY LLC | C | Control |
| SETH AND ANGIE TAUBE TRUST | DE | MEDLEY LLC | C | Control |
| SETH AND ANGIE TAUBE TRUST | DE | MEDLEY LLC | C | Control |
| SETH AND ANGIE TAUBE TRUST | DE | MEDLEY LLC | C | Control |
| SETH AND ANGIE TAUBE TRUST | DE | MEDLEY LLC | C | Control |
| SETH AND ANGIE TAUBE TRUST | DE | MEDLEY LLC | C | Control |
| SETH AND ANGIE TAUBE TRUST | DE | MEDLEY LLC | C | Control |
| SETH AND ANGIE TAUBE TRUST | DE | MEDLEY LLC | C | Control |
| SETH AND ANGIE TAUBE TRUST | DE | MEDLEY LLC | C | Control |
| SETH AND ANGIE TAUBE TRUST | DE | MEDLEY LLC | C | Control |
| SETH AND ANGIE TAUBE TRUST | DE | MEDLEY LLC | C | Control |
| SMH PARTNERS LLC | DE | MEDLEY LLC | C | Control |
| TAUBE, BROOK, BULGER | I | T3 GROUP LLC | C | Control |
| TAUBE, SETH, BULGER | I | T3 GROUP LLC | C | Control |
| WINDSOR ADVISORS LLC | DE | MEDLEY LLC | C | Control |
Registrations
Federal
IA
Jan 4, 2022 REGISTERED
Notice Filings (2)
CA NY
Address
100 PARK AVENUE16TH FLOOR
NEW YORK, NY 10017
United States
Phone: 212-759-0777