Investment adviser · CRD 160510

B. RILEY CAPITAL MANAGEMENT

Investment adviser filing (IA)

B. RILEY CAPITAL MANAGEMENT, LLC

LOS ANGELES, CA, United States · Form ADV filed Mar 25, 2024

Regulatory AUM: $200M
Client accounts: 4
Employees: 9
Advisory professionals: 1

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Pooled investment vehicles	4	$200,431,932	100.0%

Filing source

Form ADV 1847333 · Mar 25, 2024 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

14 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

GACP II, L.P.Private Equity Fund · Last reported Mar 25, 2024$138MGross asset value

Form D fundraising filings

GACP II, L.P.

Fund administrator ALPS ALTERNATIVE INVESTMENT SERVICES BELLEVUE, Washington, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LOS ANGELES, California, United States

Custodian CITY NATIONAL BANK LOS ANGELES, California, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

ERNST & YOUNG
PCAOB 1655

Fund details & source

Fund ID: 805-9374222430
Reported beneficial owners: 176
Minimum commitment: $1M
Form D file number: 021-304234

Form ADV 1847333 · Mar 25, 2024 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

BRC PARTNERS OPPORTUNITY FUND, LPHedge Fund · Last reported Mar 25, 2024$48.8MGross asset value

Form D fundraising filings

BRC Partners Opportunity Fund, LP

Fund administrator NAV CONSULTING, INC OAKBROOK TERRACE, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor SPICER JEFFRIES, LP GREENWOOD VILLAGE, Colorado, United States

Custodian FIRST REPUBLIC BANK SAN FRANCISCO, California, United States Related to adviser: No

Custodian JEFFERIES LLC NEW YORK, New York, United States Related to adviser: No

Custodian NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States Related to adviser: No

Marketer 272 CAPITAL LLC DALLAS, Texas, United States Related to adviser: Yes

Marketer B. RILEY SECURITIES, INC. LOS ANGELES, California, United States Related to adviser: Yes

Marketer B. RILEY WEALTH MANAGEMENT MEMPHIS, Tennessee, United States Related to adviser: Yes

Prime broker JEFFERIES LLC NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

SPICER JEFFRIES, LP
PCAOB 349

JEFFERIES LLC
SEC 8-15074

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

272 CAPITAL LLC
CRD 308148 · SEC 801-118633

B. RILEY SECURITIES, INC.
CRD 25027 · SEC 8-41426

B. RILEY WEALTH MANAGEMENT
CRD 2543 · SEC 8-31206

JEFFERIES LLC
CRD 2347 · SEC 8-15074

Fund details & source

Fund ID: 805-2156534149
Reported beneficial owners: 27
Minimum commitment: $1M
Form D file number: 021-240939

Form ADV 1847333 · Mar 25, 2024 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

BRC EMERGING MANAGERS FUND OF FUNDS, LPHedge Fund · Last reported Mar 25, 2024$12.8MGross asset value

Form D fundraising filings

BRC Emerging Managers Fund of Funds, LP

Fund administrator ALPS ALTERNATIVE INVESTMENTS BELLEVUE, Washington, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor SPICER JEFFRIES, LLP GREENWOOD VILLAGE, Colorado, United States

Custodian COLORADO STATE BANK AND TRUST DENVER, Colorado, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

SPICER JEFFRIES, LLP
PCAOB 349

Fund details & source

Fund ID: 805-5721810442
Reported beneficial owners: 2
Minimum commitment: $500K
Form D file number: 021-158553

Form ADV 1847333 · Mar 25, 2024 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

GACP I, LPPrivate Equity Fund · Last reported Mar 25, 2024$1.19MGross asset value

Form D fundraising filings

GACP I, L.P.

Fund administrator ALPS ALTERNATIVE INVESTMENT SERVICES BELLEVUE, Washington, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LOS ANGELES, California, United States

Custodian COLORADO STATE BANK AND TRUST DENVER, Colorado, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

ERNST & YOUNG
PCAOB 1655

Fund details & source

Fund ID: 805-5683597970
Reported beneficial owners: 17
Minimum commitment: $1M
Form D file number: 021-238315

Form ADV 1847333 · Mar 25, 2024 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DIALECTIC ANTITHESIS PARTNERS, LPHedge Fund · Last reported Aug 4, 2017$190MGross asset value

Feeder funds

DIALECTIC ANTITHESIS OFFSHORE, LTD.

Fund administrator INTERNATIONAL FUND SERVICES (N.A.) LLC, A STATE STREET COMPANY TORONTO, Canada Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP GEORGETOWN, Cayman Islands

Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No

Custodian J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States Related to adviser: No

Custodian NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States Related to adviser: No

Prime broker GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States

Prime broker J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States

Prime broker NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

GOLDMAN SACHS & CO. LLC
SEC 8-129

J.P. MORGAN CLEARING CORP.
SEC 8-43724

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

GOLDMAN SACHS & CO. LLC
CRD 361 · SEC 8-129

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

NATIONAL FINANCIAL SERVICES LLC
CRD 13041 · SEC 8-26740

Fund details & source

Fund ID: 805-8218505055
Reported beneficial owners: 11
Minimum commitment: $1M
Form D file number: 021-76464

Form ADV 1131785 · Aug 4, 2017 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DIALECTIC OFFSHORE ,LTD.Hedge Fund · Last reported Aug 4, 2017$146MGross asset value

Fund administrator INTERNATIONAL FUND SERVICES (N.A.) LLC, A STATE STREET COMPANY TORONTO, Canada Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP GEORGETOWN, Cayman Islands

Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No

Custodian J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States Related to adviser: No

Custodian NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States Related to adviser: No

Prime broker GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States

Prime broker J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States

Prime broker NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

GOLDMAN SACHS & CO. LLC
SEC 8-129

J.P. MORGAN CLEARING CORP.
SEC 8-43724

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

GOLDMAN SACHS & CO. LLC
CRD 361 · SEC 8-129

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

NATIONAL FINANCIAL SERVICES LLC
CRD 13041 · SEC 8-26740

Fund details & source

Fund ID: 805-9996504920
Reported beneficial owners: 7
Minimum commitment: $1M
Form D file number: 021-59740

Form ADV 1131785 · Aug 4, 2017 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

INNOVATION X CAPITAL PARTNERS, LLC - SX 446.25 SHARE CLASSPrivate Equity Fund · Last reported Apr 26, 2022$140MGross asset value

Fund administrator TMF GROUP CARY, North Carolina, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor SPICER JEFFRIES, LP GREENWOOD VILLAGE, Colorado, United States

Custodian SIGNATURE BANK NEW YORK, New York, United States Related to adviser: No

Marketer B RILEY WEALTH MANAGEMENT MEMPHIS, Tennessee, United States Related to adviser: Yes

Marketer NATIONAL SECURITIES CORPORATION NEW YORK, New York, United States Related to adviser: Yes

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

SPICER JEFFRIES, LP
PCAOB 349

B RILEY WEALTH MANAGEMENT
CRD 2543 · SEC 801-67275

NATIONAL SECURITIES CORPORATION
CRD 7569 · SEC 8-164

Fund details & source

Fund ID: 805-9035783919
Reported beneficial owners: 470
Minimum commitment: $25K
Form D file number: 021-412494

Form ADV 1641786 · Apr 26, 2022 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Mar 25, 2024. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

11100 SANTA MONICA BLVD., SUITE 800
LOS ANGELES, CA, 90025, United States

CRD 160510

Filing source

Form ADV 1847333 · Mar 25, 2024 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.