3D/L CAPITAL MANAGEMENT, LLC

CRD #283304 SEC #801-107874 HARTFORD, CT 860-291-1998

SEC Registered

Total AUM

$574.1M

Discretionary

$574.1M

Employees

Clients

Accounts

1,422

Firm Details

Organization Type: Limited Partnership
State of Formation: Delaware
Fiscal Year End: DECEMBER
Registration Date: --
Latest Filing: Dec 22, 2023
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
DAIGNAULT, STEVEN, MARK	I	CHIEF FINANCIAL OFFICER	NA	Control
DAIGNAULT, STEVEN, MARK	I	CHIEF FINANCIAL OFFICER	NA	Control
DAIGNAULT, STEVEN, MARK	I	CHIEF FINANCIAL OFFICER	NA	Control
DAIGNAULT, STEVEN, MARK	I	CHIEF FINANCIAL OFFICER	NA	Control
DEMMLER, JOSEPH, LAWRENCE	I	SENIOR MANAGING DIRECTOR	NA	Control
DEMMLER, JOSEPH, LAWRENCE	I	SENIOR MANAGING DIRECTOR	NA	Control
DEMMLER, JOSEPH, LAWRENCE	I	SENIOR MANAGING DIRECTOR	NA	Control
DEMMLER, JOSEPH, LAWRENCE	I	SENIOR MANAGING DIRECTOR	NA	Control
DEMMLER, JOSEPH, LAWRENCE	I	SENIOR MANAGING DIRECTOR	NA	Control
DEMMLER, JOSEPH, LAWRENCE	I	MANAGING PARTNER, CHIEF COMPLIANCE OFFICER	NA	Control
DEMMLER, JOSEPH, LAWRENCE	I	SENIOR MANAGING DIRECTOR	NA	Control
DEMMLER, JOSEPH, LAWRENCE	I	MANAGING PARTNER, CHIEF COMPLIANCE OFFICER	NA	Control
DEMMLER, JOSEPH, LAWRENCE	I	MANAGING PARTNER	NA	Control
DEMMLER, JOSEPH, LAWRENCE	I	MANAGING PARTNER	NA	Control
DEMMLER, JOSEPH, LAWRENCE	I	CHIEF EXECUTIVE OFFICER, DIRECTOR	NA	Control
DEMMLER, JOSEPH, LAWRENCE	I	CHIEF EXECUTIVE OFFICER, DIRECTOR	NA	Control
DEMMLER, JOSEPH, LAWRENCE	I	CHIEF EXECUTIVE OFFICER, DIRECTOR	NA	Control
DEMMLER, JOSEPH, LAWRENCE	I	CHIEF EXECUTIVE OFFICER, DIRECTOR	NA	Control
DEMMLER, JOSEPH, LAWRENCE	I	CHIEF EXECUTIVE OFFICER, DIRECTOR	NA	Control
DEMMLER, JOSEPH, LAWRENCE	I	CHIEF EXECUTIVE OFFICER, DIRECTOR	NA	Control
EIGERMAN, NATHAN	I	MANAGING PARTNER, CHIEF INVESTMENT OFFICER	NA	Control
EIGERMAN, NATHAN	I	MANAGING PARTNER, CHIEF INVESTMENT OFFICER	NA	Control
EIGERMAN, NATHAN	I	MANAGING PARTNER, CHIEF INVESTMENT OFFICER	NA	Control
EIGERMAN, NATHAN	I	MANAGING PARTNER	NA	Control
EIGERMAN, NATHAN	I	MANAGING PARTNER	NA	Control
EIGERMAN, NATHAN	I	CO-CHIEF INVESTMENT OFFICER	NA	Control
EIGERMAN, NATHAN	I	CO-CHIEF INVESTMENT OFFICER	NA	Control
EIGERMAN, NATHAN	I	CO-CHIEF INVESTMENT OFFICER	NA	Control
EIGERMAN, NATHAN	I	CO-CHIEF INVESTMENT OFFICER	NA	Control
EIGERMAN, NATHAN	I	CO-CHIEF INVESTMENT OFFICER	NA	Control
EIGERMAN, NATHAN	I	CO-CHIEF INVESTMENT OFFICER	NA	Control
FEINBERG, JEFFREY, STEVEN	I	CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL	NA	Control
FEINBERG, JEFFREY, STEVEN	I	CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL	NA	Control
FEINBERG, JEFFREY, STEVEN	I	CHIEF LEGAL OFFICER, GENERAL COUNSEL	NA	Control
FEINBERG, JEFFREY, STEVEN	I	CHIEF LEGAL OFFICER, GENERAL COUNSEL	NA	Control
FEINBERG, JEFFREY, STEVEN	I	CHIEF LEGAL OFFICER, GENERAL COUNSEL	NA	Control
FEINBERG, JEFFREY, STEVEN	I	CHIEF LEGAL OFFICER, GENERAL COUNSEL	NA	Control
HERRMANN, ROBERT, PHILIP	I	CHIEF EXECUTIVE OFFICER	NA	Control
HERRMANN, ROBERT, PHILIP	I	CHIEF EXECUTIVE OFFICER	NA	Control
HERRMANN, ROBERT, PHILIP	I	CHIEF EXECUTIVE OFFICER	NA	Control
HERRMANN, ROBERT, PHILIP	I	CHIEF EXECUTIVE OFFICER	NA	Control
LAVINE, BENJAMIN, MARSHAL	I	CO-CHIEF INVESTMENT OFFICER	NA	Control
LAVINE, BENJAMIN, MARSHAL	I	CO-CHIEF INVESTMENT OFFICER	NA	Control
LAVINE, BENJAMIN, MARSHAL	I	CO-CHIEF INVESTMENT OFFICER	NA	Control
LAVINE, BENJAMIN, MARSHAL	I	CO-CHIEF INVESTMENT OFFICER	NA	Control
LAVINE, BENJAMIN, MARSHAL	I	CO-CHIEF INVESTMENT OFFICER	NA	Control
LAVINE, BENJAMIN, MARSHAL	I	CO-CHIEF INVESTMENT OFFICER	NA	Control
LAVINE, BENJAMIN, MARSHAL	I	CHIEF INVESTMENT OFFICER	NA	Control
LAVINE, BENJAMIN, MARSHAL	I	CHIEF INVESTMENT OFFICER	NA	Control
LAVINE, BENJAMIN, MARSHAL	I	CHIEF INVESTMENT OFFICER	NA	Control
LAVINE, BENJAMIN, MARSHAL	I	CHIEF INVESTMENT OFFICER	NA	Control
LUCICH, ANDREW, THOMAS	I	CHIEF COMPLIANCE OFFICER	NA	Control
LUCICH, ANDREW, THOMAS	I	CHIEF COMPLIANCE OFFICER	NA	Control
LUCICH, ANDREW, THOMAS	I	CHIEF COMPLIANCE OFFICER	NA	Control
LUCICH, ANDREW, THOMAS	I	CHIEF COMPLIANCE OFFICER	NA	Control
LUCICH, ANDREW, THOMAS	I	CHIEF COMPLIANCE OFFICER	NA	Control
LUCICH, ANDREW, THOMAS	I	CHIEF COMPLIANCE OFFICER	NA	Control
LUCICH, ANDREW, THOMAS	I	CHIEF COMPLIANCE OFFICER	NA	Control
LUCICH, ANDREW, THOMAS	I	CHIEF COMPLIANCE OFFICER	NA	Control
LUCICH, ANDREW, THOMAS	I	CHIEF COMPLIANCE OFFICER	NA	Control
LUCICH, ANDREW, THOMAS	I	CHIEF COMPLIANCE OFFICER	NA	Control
O'CONNOR, JOHN, ARTHUR	I	PRESIDENT, DIRECTOR	NA	Control
O'CONNOR, JOHN, ARTHUR	I	PRESIDENT, DIRECTOR	NA	Control
O'CONNOR, JOHN, ARTHUR	I	PRESIDENT, DIRECTOR	NA	Control
O'CONNOR, JOHN, ARTHUR	I	PRESIDENT, DIRECTOR	NA	Control
O'CONNOR, JOHN, ARTHUR	I	PRESIDENT, DIRECTOR	NA	Control
O'CONNOR, JOHN, ARTHUR	I	PRESIDENT, DIRECTOR	NA	Control
O'CONNOR, JOHN, ARTHUR	I	PRESIDENT	NA	Control
O'CONNOR, JOHN, ARTHUR	I	PRESIDENT	NA	Control
O'CONNOR, JOHN, ARTHUR	I	PRESIDENT	NA	Control
O'CONNOR, JOHN, ARTHUR	I	PRESIDENT	NA	Control
ORR, KEVIN, RUSSELL	I	MANAGING PARTNER, CHIEF INVESTMENT OFFICER	NA	Control
ORR, KEVIN, RUSSELL	I	MANAGING PARTNER, CHIEF INVESTMENT OFFICER	NA	Control
ORR, KEVIN, RUSSELL	I	MANAGING PARTNER, CHIEF INVESTMENT OFFICER	NA	Control
ORR, KEVIN, RUSSELL	I	MANAGING PARTNER	NA	Control
ORR, KEVIN, RUSSELL	I	MANAGING PARTNER	NA	Control
ORTIZ, PETER, MARC	I	CHIEF COMPLIANCE OFFICER	NA	Control
ORTIZ, PETER, MARC	I	CHIEF COMPLIANCE OFFICER	NA	Control
ORTIZ, PETER, MARC	I	CHIEF COMPLIANCE OFFICER	NA	Control
ORTIZ, PETER, MARC	I	CHIEF COMPLIANCE OFFICER	NA	Control
ORTIZ, PETER, MARC	I	CHIEF COMPLIANCE OFFICER	NA	Control
ORTIZ, PETER, MARC	I	CHIEF COMPLIANCE OFFICER	NA	Control
THOMAS H. LEE CAPITAL, LLC	DE	GENERAL PARTNER	NA	Control
THOMAS H. LEE CAPITAL, LLC	DE	GENERAL PARTNER	NA	Control
THOMAS H. LEE CAPITAL, LLC	DE	GENERAL PARTNER	NA	Control
THOMAS H. LEE CAPITAL, LLC	DE	GENERAL PARTNER	NA	Control
THOMAS H. LEE CAPITAL, LLC	DE	GENERAL PARTNER	NA	Control
THOMAS H. LEE CAPITAL, LLC	DE	GENERAL PARTNER	NA	Control
3D/L FINANCIAL GROUP LLC	DE	MEMBER	E	Control
3D/L FINANCIAL GROUP LLC	DE	MEMBER	E	Control
3D/L FINANCIAL GROUP LLC	DE	MEMBER	E	Control
3D/L FINANCIAL GROUP LLC	DE	MEMBER	E	Control
3D/L FINANCIAL GROUP LLC	DE	MEMBER	E	Control
3D/L FINANCIAL GROUP LLC	DE	MEMBER	E	Control
FREEDOM ADVISORS GROUP INTERMEDIATE HOLDINGS LLC	DE	LIMITED LIABILITY COMPANY	E	Control
FREEDOM ADVISORS GROUP INTERMEDIATE HOLDINGS LLC	DE	LIMITED LIABILITY COMPANY	E	Control
FREEDOM ADVISORS GROUP INTERMEDIATE HOLDINGS LLC	DE	LIMITED LIABILITY COMPANY	E	Control
FREEDOM ADVISORS GROUP INTERMEDIATE HOLDINGS LLC	DE	LIMITED LIABILITY COMPANY	E	Control
LCM ADVISORS LLC	DE	GENERAL PARTNER	E	Control
LCM ADVISORS LLC	DE	GENERAL PARTNER	E	Control
LCM ADVISORS LLC	DE	GENERAL PARTNER	E	Control
LCM ADVISORS LLC	DE	GENERAL PARTNER	E	Control
LCM ADVISORS LLC	DE	GENERAL PARTNER	E	Control
LEE, THOMAS, HASKELL	I	LIMITED PARTNER	E	Control
LEE, THOMAS, HASKELL	I	LIMITED PARTNER	E	Control
LEE, THOMAS, HASKELL	I	LIMITED PARTNER	E	Control
LEE, THOMAS, HASKELL	I	LIMITED PARTNER	E	Control
LEE, THOMAS, HASKELL	I	LIMITED PARTNER	E	Control
LEE, THOMAS, HASKELL	I	LIMITED PARTNER	E	Control
FEINBERG, JEFFREY, STEVEN	I	CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL	A	Control

Indirect Owners (Schedule B)

Name	Type	Entity	Ownership	Control
ALTUS, ADAM, LAWRENCE	I	LCM PARTNERS LLC	F	Control
COHEN, JEFFREY, MAX	I	EH SERIES A PREFERRED REVOCABLE TRUST	F	Control
COHEN, JEFFREY, MAX	I	EH SERIES A PREFERRED REVOCABLE TRUST	F	Control
COHEN, JEFFREY, MAX	I	EH SERIES A PREFERRED REVOCABLE TRUST	F	Control
COHEN, JEFFREY, MAX	I	EH SERIES A PREFERRED REVOCABLE TRUST	F	Control
FEINBERG, JEFFREY, STEVEN	I	LCM PARTNERS LLC	F	Control
LONG RIDGE EQUITY PARTNERS	DE	EQIS HOLDING, INC.	F	Control
LONG RIDGE EQUITY PARTNERS	DE	EQIS HOLDING, INC.	F	Control
LONG RIDGE EQUITY PARTNERS	DE	EQIS HOLDING, INC.	F	Control
LONG RIDGE EQUITY PARTNERS	DE	EQIS HOLDING, INC.	F	Control
LONG RIDGE EQUITY PARTNERS, LLC	DE	LONG RIDGE EQUITY PARTNERS I, L.P.	F	Control
LONG RIDGE EQUITY PARTNERS, LLC	DE	LONG RIDGE EQUITY PARTNERS I, L.P.	F	Control
LONG RIDGE EQUITY PARTNERS, LLC	DE	LONG RIDGE EQUITY PARTNERS I, L.P.	F	Control
LONG RIDGE EQUITY PARTNERS, LLC	DE	LONG RIDGE EQUITY PARTNERS I, L.P.	F	Control
EQIS HOLDING, INC.	DE	FREEDOM ADVISORS GROUP LLC	E	Control
EQIS HOLDING, INC.	DE	FREEDOM ADVISORS GROUP LLC	E	Control
EQIS HOLDING, INC.	DE	FREEDOM ADVISORS GROUP LLC	E	Control
EQIS HOLDING, INC.	DE	FREEDOM ADVISORS GROUP LLC	E	Control
FREEDOM ADVISORS GROUP LLC	DE	FREEDOM ADVISORS GROUP INTERMEDIATE HOLDINGS LLC	E	Control
FREEDOM ADVISORS GROUP LLC	DE	FREEDOM ADVISORS GROUP INTERMEDIATE HOLDINGS LLC	E	Control
FREEDOM ADVISORS GROUP LLC	DE	FREEDOM ADVISORS GROUP INTERMEDIATE HOLDINGS LLC	E	Control
FREEDOM ADVISORS GROUP LLC	DE	FREEDOM ADVISORS GROUP INTERMEDIATE HOLDINGS LLC	E	Control
LCM PARTNERS LLC	DE	LCM ADVISORS LLC	E	Control
LCM PARTNERS LLC	DE	LCM ADVISORS LLC	E	Control
LEE, THOMAS, HASKELL	I	THOMAS H. LEE CAPITAL, LLC	E	Control
LEE, THOMAS, HASKELL	I	THOMAS H. LEE CAPITAL, LLC	E	Control
LEE, THOMAS, HASKELL	I	THOMAS H. LEE CAPITAL, LLC	E	Control
LEE, THOMAS, HASKELL	I	THOMAS H. LEE CAPITAL, LLC	E	Control
LEE, THOMAS, HASKELL	I	THOMAS H. LEE CAPITAL, LLC	E	Control
LEE, THOMAS, HASKELL	I	THOMAS H. LEE CAPITAL, LLC	E	Control
LONG RIDGE EQUITY PARTNERS I, L.P.	DE	EQIS COMMON HOLDCO, LLC	E	Control
LONG RIDGE EQUITY PARTNERS I, L.P.	DE	EQIS COMMON HOLDCO, LLC	E	Control
LONG RIDGE EQUITY PARTNERS I, L.P.	DE	EQIS COMMON HOLDCO, LLC	E	Control
LONG RIDGE EQUITY PARTNERS I, L.P.	DE	EQIS COMMON HOLDCO, LLC	E	Control
3D ASSET MANAGEMENT, INC.	DE	3D/L FINANCIAL GROUP LLC	D	Control
3D ASSET MANAGEMENT, INC.	DE	3D/L FINANCIAL GROUP LLC	D	Control
3D ASSET MANAGEMENT, INC.	DE	3D/L FINANCIAL GROUP LLC	D	Control
3D ASSET MANAGEMENT, INC.	DE	3D/L FINANCIAL GROUP LLC	D	Control
3D ASSET MANAGEMENT, INC.	DE	3D/L FINANCIAL GROUP LLC	D	Control
3D ASSET MANAGEMENT, INC.	DE	3D/L FINANCIAL GROUP LLC	D	Control
EH SERIES A PREFERRED REVOCABLE TRUST	DE	EQIS HOLDING, INC.	D	Control
EH SERIES A PREFERRED REVOCABLE TRUST	DE	EQIS HOLDING, INC.	D	Control
EH SERIES A PREFERRED REVOCABLE TRUST	DE	EQIS HOLDING, INC.	D	Control
EH SERIES A PREFERRED REVOCABLE TRUST	DE	EQIS HOLDING, INC.	D	Control
EQIS COMMON HOLDCO, LLC	DE	EQIS HOLDING, INC.	D	Control
EQIS COMMON HOLDCO, LLC	DE	EQIS HOLDING, INC.	D	Control
EQIS COMMON HOLDCO, LLC	DE	EQIS HOLDING, INC.	D	Control
EQIS COMMON HOLDCO, LLC	DE	EQIS HOLDING, INC.	D	Control
LCM ADVISORS, LLC	DE	3D/L FINANCIAL GROUP LLC	D	Control
LCM ADVISORS, LLC	DE	3D/L FINANCIAL GROUP LLC	D	Control
LCM ADVISORS, LLC	DE	3D/L FINANCIAL GROUP LLC	D	Control
LCM ADVISORS, LLC	DE	3D/L FINANCIAL GROUP LLC	D	Control
LCM ADVISORS, LLC	DE	3D/L FINANCIAL GROUP LLC	D	Control
LCM ADVISORS, LLC	DE	3D/L FINANCIAL GROUP LLC	D	Control
LCM PARTNERS LLC	DE	LCM ADVISORS LLC	D	Control
LCM PARTNERS LLC	DE	LCM ADVISORS LLC	D	Control
LCM PARTNERS LLC	DE	LCM ADVISORS LLC	D	Control
LONG RIDGE EQUITY PARTNERS I, L.P.	DE	EQIS HOLDING, INC.	D	Control
LONG RIDGE EQUITY PARTNERS I, L.P.	DE	EQIS HOLDING, INC.	D	Control
LONG RIDGE EQUITY PARTNERS I, L.P.	DE	EQIS HOLDING, INC.	D	Control
LONG RIDGE EQUITY PARTNERS I, L.P.	DE	EQIS HOLDING, INC.	D	Control
BHATT, KEVIN, BHALCHANDRA	I	LONG RIDGE EQUITY PARTNERS, LLC	C	Control
BHATT, KEVIN, BHALCHANDRA	I	LONG RIDGE EQUITY PARTNERS, LLC	C	Control
BHATT, KEVIN, BHALCHANDRA	I	LONG RIDGE EQUITY PARTNERS, LLC	C	Control
BHATT, KEVIN, BHALCHANDRA	I	LONG RIDGE EQUITY PARTNERS, LLC	C	Control
BROWN, JAMES, GERARD	I	LONG RIDGE EQUITY PARTNERS, LLC	C	Control
BROWN, JAMES, GERARD	I	LONG RIDGE EQUITY PARTNERS, LLC	C	Control
BROWN, JAMES, GERARD	I	LONG RIDGE EQUITY PARTNERS, LLC	C	Control
BROWN, JAMES, GERARD	I	LONG RIDGE EQUITY PARTNERS, LLC	C	Control
DEMMLER, JOSEPH, LAWRENCE	I	LCM PARTNERS LLC	C	Control
DEMMLER, JOSEPH, LAWRENCE	I	LCM PARTNERS LLC	C	Control
DEMMLER, JOSEPH, LAWRENCE	I	LCM PARTNERS LLC	C	Control
EIGERMAN, NATHAN	I	LCM PARTNERS LLC	C	Control
EIGERMAN, NATHAN	I	LCM PARTNERS LLC	C	Control
EIGERMAN, NATHAN	I	LCM PARTNERS LLC	C	Control
LONG RIDGE EQUITY PARTNERS I, L.P.	DE	EQIS HOLDING, INC.	C	Control
LONG RIDGE EQUITY PARTNERS I, L.P.	DE	EQIS HOLDING, INC.	C	Control
LONG RIDGE EQUITY PARTNERS I, L.P.	DE	EQIS HOLDING, INC.	C	Control
LONG RIDGE EQUITY PARTNERS I, L.P.	DE	EQIS HOLDING, INC.	C	Control
NELSON, WILLIAM, ROBERT	I	EQIS COMMON HOLDCO, LLC	C	Control
NELSON, WILLIAM, ROBERT	I	EQIS COMMON HOLDCO, LLC	C	Control
NELSON, WILLIAM, ROBERT	I	EQIS COMMON HOLDCO, LLC	C	Control
NELSON, WILLIAM, ROBERT	I	EQIS COMMON HOLDCO, LLC	C	Control
ORR, KEVIN, RUSSELL	I	LCM PARTNERS LLC	C	Control
ORR, KEVIN, RUSSELL	I	LCM PARTNERS LLC	C	Control
ORR, KEVIN, RUSSELL	I	LCM PARTNERS LLC	C	Control
WINTERS, SCOTT, CHRISTOPHER	I	EQIS COMMON HOLDCO, LLC	C	Control
WINTERS, SCOTT, CHRISTOPHER	I	EQIS COMMON HOLDCO, LLC	C	Control
WINTERS, SCOTT, CHRISTOPHER	I	EQIS COMMON HOLDCO, LLC	C	Control
WINTERS, SCOTT, CHRISTOPHER	I	EQIS COMMON HOLDCO, LLC	C	Control

Registrations

Federal

Dec 22, 2023 REGISTERED

Notice Filings (26)

AZ CA CO CT FL IL IN MA MD ME MI MN NC NH NJ NM NY OH OR PA RI TX UT VT WA WI

Address

100 CONSTITUTION PLAZA
7TH FLOOR
HARTFORD, CT 06103-1703
United States

Phone: 860-291-1998