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DEFILADE CAPITAL MANAGEMENT, L.P.

EMERYVILLE, CA · CRD 337997 · IAPD ↗ · defcap.com · 415 849 9478

$1.55BRegulatory AUM
5Advisory reps
7Employees
0Clients
n/aPlanning clients
1Private funds
1States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

70
April 2026 — DEFILADE CAPITAL MANAGEMENT, L.P. crossed $1B in regulatory AUM ($644.1M -> $1.55B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
58
February 2026 — DEFILADE CAPITAL MANAGEMENT, L.P.'s provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
53
January 2026 — DEFILADE CAPITAL MANAGEMENT, L.P. now reports custody of client assets ($1.29B).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
58
January 2026 — DEFILADE CAPITAL MANAGEMENT, L.P. now reports 1 private fund(s) ($644.1M gross).
Firm reports private funds for the first time.
Fund administrationCompliance
85
December 2025 — DEFILADE CAPITAL MANAGEMENT, L.P. (EMERYVILLE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.