Dlj Merchant Banking Iii Inc (New York)

Dlj Merchant Banking Iii Inc is a large advisory firm based in New York. It manages $3.28 billion of regulatory assets for 11 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of California, Michigan, and New York.

Dlj Merchant Banking Iii provides market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Dlj Merchant Banking Iii: assets under management

The assets under management (AUM) of Dlj Merchant Banking Iii Inc is $3.28 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 580% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $3.28 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $298.5 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Dlj Merchant Banking Iii Inc for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Dlj Merchant Banking Iii Inc

Lawrence Michael Schloss has been acting as President since 1 Mar 2000. Kenneth John Lohsen joined the executive team most recently as the Director And Managing Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Lawrence Michael Schloss	Chairman	1 Mar 2000	Other	1086508
Peter Thacher Grauer	Director & managing director	1 Mar 2000	Other	2306287
Thompson Dean	Director & managing director	1 Mar 2000	Other	1502366
Hamilton Evans James	Director & managing director	1 Mar 2000	Other	821911
Karl Robert Wyss	Managing director	1 Mar 2000	Other	2430208
Nicole I Sincek Arnaboldi	Director & managing director	1 Mar 2000	Other	1427291
Andrew Henry Rush	Director & managing director	1 Mar 2000	Other	2555553
Inc. (Formerly Dlj Capital Investors Inc.) Credit Suisse First Boston Private Equity	Shareholder	1 Mar 2000	75% - 100%	13-3805378
Inc. Credit Suisse First Boston Private Equity	Shareholder	1 Mar 2000	75% - 100%	13-3805378
Inc. (F/K/A Credit Suisse First Boston Private Equity Inc.) Credit Suisse Private Equity	Shareholder	1 Mar 2000	75% - 100%	13-3805378
Inc. Credit Suisse Private Equity	Shareholder	1 Mar 2000	75% - 100%	13-3805378
Hartley Raymond Rogers	Managing director	1 Jan 2001	Other	1515783
Thompson Dean	Managing partner	1 Mar 2003	Other	1502366
Nicole I Sincek Arnaboldi	Managing director	1 Mar 2003	Other	1427291
Ivy B Dodes	Senior vice president & assistant general counsel	1 Mar 2003	Other	2306196
Edward A Poletti	Principal & controller	1 Mar 2003	Other	1532626
George Ronald Hornig	Managing director	1 Mar 2003	Other	1817508
Nicole Sincek Arnaboldi	Director and managing director	1 Mar 2003	Other	1427291
Nicole Sinek Arnaboldi	Director and managing director	1 Mar 2003	Other	1427291
Eileen E Ryan	Chief compliance officer	1 Dec 2003	Other	2014783
Steven Charles Rattner	Director and managing director	1 Jun 2005	Other	1538919
Louise Guarneri	Chief compliance officer	1 Jul 2005	Other	1109022
Emidio Morizio	Chief compliance officer	1 Nov 2005	Other	1614446
Michael Joseph Bessel	Chief compliance officer	1 Mar 2007	Other	2963742
Ravi Mohan Singh	Director and managing director	1 Jul 2010	Other	2308409
Kenneth John Lohsen	Director and managing director	1 Oct 2010	Other	4571019

Indirect Owners

The SEC currently registers 8 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Formerly Donaldson Lufkin & Jenrette Inc. Credit Suisse First Boston (Usa)	Shareholder	1 Nov 2000	75% - 100%	13-1898818
Inc. Credit Suisse First Boston (Usa)	Shareholder	1 Nov 2000	75% - 100%	13-1898818
Inc. (F/K/A Credit Suisse First Boston (Usa) Inc.) Credit Suisse (Usa)	Shareholder	1 Nov 2000	75% - 100%	13-1898818
Inc. Credit Suisse (Usa)	Shareholder	1 Nov 2000	75% - 100%	13-1898818
Inc. Credit Suisse Holdings (Usa)	Shareholder	1 Nov 2000	75% - 100%	13-2853402
Credit Suisse	Shareholder	1 Nov 2000	50% - 75%	foreign entity
Credit Suisse Group Ag	Shareholder	1 Nov 2000	75% - 100%	foreign entity
Credit Suisse Ag	Shareholder	1 Nov 2000	50% - 75%	foreign entity

Based in New York

The principal office where Dlj Merchant Banking Iii Inc performs its advisory services is located at Eleven Madison Avenue, 16 Th Floor, New York, NY 10010, which is also the mailing address of the firm. An additional office of the firm is in Los Angeles, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-325-2000 or by fax 212-325-6100. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday.