NXT CAPITAL INVESTMENT ADVISERS, LLC
Adviser information for NXT CAPITAL INVESTMENT ADVISERS, LLC last updated from Form ADV on January 2nd, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | MARCH |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 253 |
|---|---|
| Investment Advisory/Research | 70 |
| Registered Broker-Dealer Representatives | 13 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 20 | $6.4B |
| Non-Discretionary | 1 | $631.1M |
| Total | 21 | $7.0B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 15 | $4.7B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | <5 | $716.0M |
| Insurance companies | <5 | $921.2M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | <5 | $705.7M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 44 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-74046 |
|---|---|
| SEC ERA File Number | 801-74046 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 160569 |
| Legal Entity Identifier | None |
Principal Office
191 NORTH WACKER DRIVE30TH FLOOR
CHICAGO
IL
United States
Monday - Friday, 8:00 A.M. TO 5:00 P.M.
Tel: 312-450-8000, Fax: 312-450-8100
Chief Compliance Officer
BRIAN FRANC
DIRECTOR
191 NORTH WACKER DRIVE
30TH FLOOR
CHICAGO
IL
United States
Tel:
312-450-8000
Fax:
312-450-8100
B**********@*************M
(Full email address available in API data)
Regulatory Contact
JAMES ANDERSON
SENIOR MANAGING COUNSEL
191 NORTH WACKER DRIVE
30TH FLOOR
CHICAGO
IL
United States
Tel:
312-450-8183
Fax:
312-450-8100
J*************@*************M
(Full email address available in API data)
Industry Affiliates
| LUMENT INVESTMENT MANAGEMENT, LLC | Other investment adviser, including financial planners |
| LUMENT SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NXT CAPITAL CLO 2017-1 INVESTMENTS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| NXT CAPITAL CLO 2017-2 INVESTMENTS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| NXT CAPITAL CLO 2020-1 INVESTMENTS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| NXT CAPITAL SCLF I GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| NXT CAPITAL SENIOR LOAN FUND II GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NXT CAPITAL SENIOR LOAN FUND III GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NXT CAPITAL SENIOR LOAN FUND IV GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NXT CAPITAL SENIOR LOAN FUND V GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NXT CAPITAL SENIOR LOAN FUND VI (L) GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NXT CAPITAL SENIOR LOAN FUND VI (UL) GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NXT CAPITAL SENIOR LOAN FUND VII GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NXT CAPITAL STRUCTURED NOTE I, LLC | Sponsor, GP, manager of pooled investment vehicles |
| NXT CAPITAL, LLC | Commodity pool operator or commodity trading advisor |
| ORIX ADVISERS, LLC | Other investment adviser, including financial planners |
| RB CAPITAL ASSET MANAGEMENT, LTDA | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| NXT CAPITAL CLO 2017-1, LLC | Securitized Asset Fund | $404.0M | $0.3M | 23 |
| NXT CAPITAL CLO 2017-2, LLC | Securitized Asset Fund | $250.3M | $0.3M | 15 |
| NXT CAPITAL CLO 2020-1. LLC | Securitized Asset Fund | $456.3M | $0.3M | 15 |
| NXT CAPITAL SENIOR LOAN FUND I, LLC | Private Equity Fund | $261.4M | $0.0M | 2 |
| NXT CAPITAL SENIOR LOAN FUND II, LP | Hedge Fund | $44.6M | $20.0M | 16 |
| NXT CAPITAL SENIOR LOAN FUND III, LP | Hedge Fund | $122.0M | $10.0M | 14 |
| NXT CAPITAL SENIOR LOAN FUND IV, LP | Hedge Fund | $172.5M | $10.0M | 10 |
| NXT CAPITAL SENIOR LOAN FUND V, LP | Hedge Fund | $440.1M | $10.0M | 12 |
| NXT CAPITAL SENIOR LOAN FUND VI (L), L.P. | Hedge Fund | $868.1M | $10.0M | 7 |
| NXT CAPITAL SENIOR LOAN FUND VI (UL), L.P. | Private Equity Fund | $46.8M | $10.0M | 6 |
| NXT CAPITAL SENIOR LOAN FUND VII, LP | Hedge Fund | $10.0M | $10.0M | 3 |
| NXT CAPITAL SLCF I, LP | Private Equity Fund | $2.7M | $0.0M | 8 |
| NXT CAPITAL SLCF II, LP | Hedge Fund | $126.1M | $10.0M | 2 |
| NXT CAPITAL STRUCTURED NOTE I, LLC | Securitized Asset Fund | $477.3M | $0.0M | 4 |
| NXT STEPSTONE CC, LLC | Hedge Fund | $460.0M | $0.0M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NXT CAPITAL GROUP, LLC | Domestic Entity | NXT CAPITAL INTERMEDIATE HOLDINGS, LLC | MEMBER | 08/2018 | > 75% |
| NXT CAPITAL HOLDINGS, LLC | Domestic Entity | – | MEMBER | 08/2018 | > 75% |
| NXT CAPITAL INTERMEDIATE HOLDINGS, LLC | Domestic Entity | NXT CAPITAL HOLDINGS, LLC | MEMBER | 08/2018 | > 75% |
| OCU GLOBAL ASSET MANAGEMENT, LLC | Domestic Entity | OAM HOLDINGS, LLC | MEMBER | 02/2019 | > 75% |
| ORIX CORPORATION USA | Domestic Entity | ORIX CAPITAL MARKETS, LLC | MEMBER | 03/1997 | > 75% |
| ORIX CORPORATION | Foreign Entity | ORIX CORPORATION USA | MAJORITY SHAREHOLDER | 08/1981 | > 75% |
| FRANC, BRIAN, EDWARD | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2019 | < 5% |
| OCU OPCO HOLDINGS, LLC | Domestic Entity | OCU GLOBAL ASSET MANAGEMENT, LLC | MEMBER | 09/2015 | > 75% |
| ORIX CAPITAL MARKETS, LLC | Domestic Entity | OCU OPCO HOLDINGS, LLC | MEMBER | 09/2015 | > 75% |
| OAM HOLDINGS, LLC | Domestic Entity | NXT CAPITAL GROUP, LLC | MEMBER | 08/2018 | > 75% |
| Denniston, Edward (Ted), Allen | Individual | – | SENIOR VICE PRESIDENT | 08/2022 | < 5% |
| Kopplin, Stacia, Lynn | Individual | – | SENIOR VICE PRESIDENT | 08/2019 | < 5% |
| Lazewski, Joseph, Nicholas | Individual | – | SENIOR VICE PRESIDENT | 08/2022 | < 5% |
| MCINERNEY, ROBIN, GRAY | Individual | – | CHIEF FINANCIAL OFFICER AND TREASURER | 11/2022 | < 5% |