RAND CAPITAL MANAGEMENT LLC
Legal name: RAND CAPITAL MANAGEMENT
CRD #304504 SEC #801-116971 BUFFALO, NY 617-880-7494
SEC Registered Private Funds
Total AUM
$154M
Discretionary
$154M
Employees
10
Clients
--
Accounts
3
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Dec 4, 2025
- Branch Offices
- 1
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BARFIELD, OLIVER, SCOTT | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| BARFIELD, OLIVER, SCOTT | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| BARFIELD, OLIVER, SCOTT | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| BARFIELD, OLIVER, SCOTT | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| BARFIELD, OLIVER, SCOTT | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| BARFIELD, OLIVER, SCOTT | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| CAMMARATA, KRISTEN, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CAMMARATA, KRISTEN, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CAMMARATA, KRISTEN, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CAMMARATA, KRISTEN, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CAMMARATA, KRISTEN, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CAMMARATA, KRISTEN, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Collins, Brian, Matthew | I | MANAGER | NA | Control |
| Grum, Allen, F | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| Grum, Allen, F | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| Grum, Allen, F | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| Grum, Allen, F | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| Gusky, Adam | I | MANAGER | NA | Control |
| MARGARET, BRECHTEL, WHALEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MARGARET, BRECHTEL, WHALEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MARGARET, BRECHTEL, WHALEN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| Margaret, Brechtel, W | I | CHIEF FINANCIAL OFFICER | NA | Control |
| Margaret, Brechtel, W | I | CHIEF FINANCIAL OFFICER | NA | Control |
| Margaret, Brechtel, W | I | CHIEF FINANCIAL OFFICER | NA | Control |
| Margaret, Brechtel, W | I | CHIEF FINANCIAL OFFICER | NA | Control |
| Margaret, Brechtel, W | I | CHIEF FINANCIAL OFFICER | NA | Control |
| Margaret, Brechtel, W | I | CHIEF FINANCIAL OFFICER | NA | Control |
| Penberthy, Daniel, Patrick | I | CHIEF COMPLIANCE OFFICER/CHIEF FINANCIAL OFFICER | NA | Control |
| Penberthy, Daniel, Patrick | I | CHIEF COMPLIANCE OFFICER/CHIEF FINANCIAL OFFICER | NA | Control |
| Penberthy, Daniel, Patrick | I | CHIEF COMPLIANCE OFFICER/CHIEF FINANCIAL OFFICER | NA | Control |
| Penberthy, Daniel, Patrick | I | CHIEF COMPLIANCE OFFICER/CHIEF FINANCIAL OFFICER | NA | Control |
| Penberthy, Daniel, Patrick | I | CHIEF COMPLIANCE OFFICER/CHIEF EXECUTIVE OFFICER | NA | Control |
| Penberthy, Daniel, Patrick | I | CHIEF COMPLIANCE OFFICER/CHIEF EXECUTIVE OFFICER | NA | Control |
| Penberthy, Daniel, Patrick | I | CHIEF COMPLIANCE OFFICER/CHIEF EXECUTIVE OFFICER | NA | Control |
| Penberthy, Daniel, Patrick | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| Penberthy, Daniel, Patrick | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| Penberthy, Daniel, Patrick | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| Penberthy, Daniel, Patrick | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| Penberthy, Daniel, Patrick | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| Penberthy, Daniel, Patrick | I | CO-CHIEF EXECUTIVE OFFICER | NA | Control |
| CALLODINE CREDIT, LLC | DE | OWNER | E | Control |
| CALLODINE CREDIT, LLC | DE | OWNER | E | Control |
| CALLODINE CREDIT, LLC | DE | OWNER | E | Control |
| CALLODINE CREDIT, LLC | DE | OWNER | E | Control |
| CALLODINE CREDIT, LLC | DE | OWNER | E | Control |
| CALLODINE CREDIT, LLC | DE | OWNER | E | Control |
| CALLODINE CREDIT, LLC | DE | OWNER | E | Control |
| CALLODINE CREDIT, LLC | DE | OWNER | E | Control |
| CALLODINE CREDIT, LLC | DE | OWNER | E | Control |
| CALLODINE GROUP, LLC | DE | OWNER | E | Control |
| EAST ASSET MANAGEMENT, LLC | DE | OWNER | E | Control |
| EAST ASSET MANAGEMENT, LLC | DE | OWNER | E | Control |
| EAST ASSET MANAGEMENT, LLC | DE | OWNER | E | Control |
| CB ADVISOR LLC | DE | OWNER | B | Control |
| CB ADVISOR LLC | DE | OWNER AND MANAGING MEMBER | B | Control |
| CB ADVISOR LLC | DE | OWNER AND MANAGING MEMBER | B | Control |
| CB ADVISOR LLC | DE | OWNER AND MANAGING MEMBER | B | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| CALLODINE GROUP, LLC | DE | CALLODINE CREDIT, LLC | E | Control |
| CALLODINE GROUP, LLC | DE | CALLODINE CREDIT, LLC | E | Control |
| CALLODINE GROUP, LLC | DE | CALLODINE CREDIT, LLC | E | Control |
| CALLODINE GROUP, LLC | DE | CALLODINE CREDIT, LLC | E | Control |
| CALLODINE GROUP, LLC | DE | CALLODINE CREDIT, LLC | E | Control |
| CALLODINE GROUP, LLC | DE | CALLODINE CREDIT, LLC | E | Control |
| Collins, Brian, Matthew | I | CB ADVISOR LLC | E | Control |
| Collins, Brian, Matthew | I | CB ADVISOR LLC | E | Control |
| Collins, Brian, Matthew | I | CB ADVISOR LLC | E | Control |
| Collins, Brian, Matthew | I | CB ADVISOR LLC | E | Control |
| Morrow, James, Stuart | I | CALLODINE GROUP, LLC | E | Control |
| Morrow, James, Stuart | I | CALLODINE GROUP, LLC | E | Control |
| Morrow, James, Stuart | I | CALLODINE GROUP, LLC | E | Control |
| Morrow, James, Stuart | I | CALLODINE GROUP, LLC | E | Control |
| Morrow, James, Stuart | I | CALLODINE GROUP, LLC | E | Control |
| Morrow, James, Stuart | I | CALLODINE GROUP, LLC | E | Control |
| Morrow, James, Stuart | I | CALLODINE GROUP, LLC | E | Control |
| PEGULA, KIM, S | I | EAST ASSET MANAGEMENT, LLC | D | Control |
| PEGULA, KIM, S | I | EAST ASSET MANAGEMENT, LLC | D | Control |
| PEGULA, KIM, S | I | EAST ASSET MANAGEMENT, LLC | D | Control |
| PEGULA, TERRENCE, M | I | EAST ASSET MANAGEMENT, LLC | D | Control |
| PEGULA, TERRENCE, M | I | EAST ASSET MANAGEMENT, LLC | D | Control |
| PEGULA, TERRENCE, M | I | EAST ASSET MANAGEMENT, LLC | D | Control |
Registrations
Federal
IA
Dec 4, 2025 REGISTERED
Notice Filings (2)
GA TX
Address
14 LAFAYETTE SQUARESUITE 1405
BUFFALO, NY 14203
United States
Phone: 617-880-7494