LIGHTYEAR CAPITAL LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 156781). Regulatory assets under management: $8.1B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: Investment cos, Other.
| Name | Role | Location |
|---|---|---|
| Lori Jo Forlano | MANAGING DIRECTOR/GENERAL COUNSEL/CHIEF ADMINISTRATIVE OFFICER | — |
| Mark Francis Vassallo | MANAGING MEMBER; MANAGING PARTNER | — |
| Douglas Andrew Chiciak | MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER | — |
| Daniel Benjamin Stencel | MANAGING DIRECTOR/CHIEF FINANCIAL OFFICER | — |
| MARRON DONALD BAIRD | MANAGING MEMBER/CHAIRMAN - LIGHTYEAR CAPITAL LLC; MEMBER/CHAIRMAN AND FOUNDER; MEMBER/CHAIRMAN AND FOUNDER - LIGHTYEAR CAPITAL LLC (+1 more) | — |
| FORLANO LORI JO | MANAGING DIRECTOR/GENERAL COUNSEL/CHIEF ADMINISTRATIVE OFFICER; MANAGING DIRECTOR - LIGHTYEAR CAPITAL LLC | — |
| VASSALLO MARK FRANCIS | MANAGING MEMBER; MANAGING MEMBER/MANAGING PARTNER; MANAGING MEMBER/MANAGING PARTNER - LIGHTYEAR CAPITAL LLC (+2 more) | — |
| BEN-HAYON ELLAN | CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER/MANAGING DIRECTOR - LIGHTYEAR CAPITAL LLC; MANAGING DIRECTOR/CHIEF FINANCIAL OFFICER; MANAGING DIRECTOR/CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER | — |
| KACANI TIMOTHY JAMES | CHIEF COMPLIANCE OFFICER/CHIEF FINANCIAL OFFICER - LIGHTYEAR CAPITAL LLC | — |
| BEN HAYON ELLAN | CHIEF FINANCIAL OFFICER/MANAGING DIRECTOR - LIGHTYEAR CAPITAL LLC | — |
| STENCEL DANIEL BENJAMIN | MANAGING DIRECTOR/CHIEF FINANCIAL OFFICER | — |
| CHICIAK DOUGLAS ANDREW | MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER; PRINCIPAL/CHIEF COMPLIANCE OFFICER | — |
| MOTHERSELE LAURA BETH | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT - LEGAL - LIGHTYEAR CAPITAL LLC | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-12-26 | regulatory | ACCORDING TO THE ORDER, LIGHTYEAR FAILED TO PROPERLY ALLOCATE CERTAIN EXPENSES (I) TO THE EMPLOYEE FUNDS WHICH INVEST SIDE-BY-SIDE ON A PROPORTIONAL BASIS WITH CERTAIN PRIVATE EQUITY FUNDS ADVISED BY LIGHTYEAR AND ITS AFFILIATES (THE "FLAGSHIP FUNDS") AND (II) TO CERTAIN CO-INVESTORS THAT WERE PERMI… | Final | $400K |