JEFFERIES FINANCE LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 162264). Regulatory assets under management: $24.6B.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| Adam Klepack | GENERAL COUNSEL | New York, NY |
| Thomas Grenville | CHIEF COMPLIANCE OFFICER | New York, NY |
| Edmund Joseph Hess | COO/MANAGING DIRECTOR | New York, NY |
| Thomas G Brady | PRESIDENT | — |
| Daniel Rapino | CHIEF ACCOUNTING OFFICER | New York, NY |
| HESS JOSEPH | COO/MANAGING DIRECTOR | — |
| TORIELLO CARL A | CEO/PRESIDENT | — |
| DUVAL DANIEL MICHAEL | CCO/GENERAL COUNSEL | — |
| RAPINO DANIEL | CHIEF ACCOUNTING OFFICER; CONTROLLER | — |
| BRADY THOMAS G | PRESIDENT | — |
| Grenville Thomas | CHIEF COMPLIANCE OFFICER | — |
| KLEPACK ADAM | CCO/GENERAL COUNSEL; GENERAL COUNSEL | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-03-31 | regulatory | IT WAS ALLEGED THAT MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY'S PRACTICES AND PROCEDURES DID NOT COMPLY WITH STATUTORY AND REGULATORY PROVISIONS: 18 DEL ADMIN. C.?1203-4.0 LIFE INSURANCE SOLICITATION DEFINITIONS; 18 DEL. ADMIN C. ?1204-5.2 DUTIES OF AGENTS AND BROKERS; 18 DEL. C. ?1204.7.1 DUTIES… | Final | $134K |
| 2022-05-26 | regulatory | MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY MUST CERTIFY ANNUALLY TO THE OFFICE OF THE INSURANCE COMMISSIONER ("OIC") THE INSURANCE PRODUCERS THAT ARE SELLING, SOLICITING, OR NEGOTIATING THE COMPANY'S LONG TERM CARE ("LTC") INSURANCE PRODUCTS HAVE COMPLETED LTC EDUCATION REQUIREMENTS. THE CERTIFICAT… | Final | $10K |
| 2022-04-12 | regulatory | IN 2003, THE INSURED PURCHASED A FLEXIBLE PREMIUM ADJUSTABLE LIFE INSURANCE POLICY WITH A FACE AMOUNT OF $500,000. IT WAS ALLEGED THAT MASSMUTUAL RAISED THE PREMIUMS AND CHANGED AND CANCELLED THE POLICY WITHOUT NOTIFYING THE INSURED. THE INSURED FURTHER ALLEGED THAT THE AGENT DID NOT EXPLAIN THAT TH… | Final | $10K |
| 2022-03-17 | regulatory | ON MARCH 17, 2022, THE COMMISSIONER OF INSURANCE OF PUERTO RICO ISSUED AN ORDER AGAINST MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY STATING THAT THE COMPANY HAD VIOLATED ARTICLES 11.230 AND 27.160 OF THE PUERTO INSURANCE CODE, 26 LPRA SECTIONS 1123 AND 2716, FOR WHICH AN ADMINISTRATIVE FINE OF $3,00… | Final | $2K |
| 2017-10-03 | regulatory | THE STATE OF CONNECTICUT INSURANCE DEPARTMENT CONDUCTED A MARKET CONDUCT EXAMINATION FOR THE PERIOD JANUARY 1, 2014, THROUGH DECEMBER 31, 2016, OF MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY ("MASSMUTUAL"). MASSMUTUAL IS THE PARENT OF MML INVESTMENT ADVISERS, LLC. AT THE CONCLUSION OF THE EXAMINATIO… | — | — |
| 2017-10-03 | regulatory | A MARKET CONDUCT EXAMINATION BY THE STATE OF CONNECTICUT, DEPARTMENT OF INSURANCE WAS CONDUCTED FOR THE PERIOD JANUARY 1, 2014 THROUGH DECEMBER 31, 2016 OF MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY. MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY ("MASSMUTUAL") IS THE ULTIMATE PARENT OF MML INVESTORS… | — | $61K |
| 2013-10-17 | regulatory | HUD'S MORTGAGE REVIEW BOARD ISSUED A NOTICE OF VIOLATION AND A NOTICE OF INTENT TO SEEK CIVIL MONEY PENALTIES INFORMING MASSMUTUAL OF HUD'S INTENT TO TAKE AN ADMINISTRATIVE ACTION OR IMPOSE CIVIL MONEY PENALTIES PURSUANT TO 12 U.S.C. ? 1708 AND 1735F-14, AND 24 C.F.R. PARTS 25 AND 30, ON THE BASIS O… | — | $8K |
| 2013-03-06 | regulatory | THE DEPARTMENT CONDUCTED A MARKET CONDUCT EXAMINATION FOR THE PERIOD OF JANUARY 1, 2007 THROUGH NOVEMBER 30, 2009, FINDING THAT MASSMUTUAL, C.M. LIFE, AND MML BAY STATE VIOLATED REGULATIONS RSA 408:29; RSA 409-A:5, INS 401.12, AND RSA 417:4I(H) CONCERNING CONTRACT ANNUITIZATION AT MATURITY PROCEDURE… | — | — |
| 2012-01-01 | regulatory | THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES ("DFS") COMMENCED AN INVESTIGATION FOR THE PERIOD OF 1/1/2012-5/31/2018. DURING ITS INVESTIGATION, DFS IDENTIFIED A PRACTICE ARISING FROM THE REPLACEMENT OF DEFERRED ANNUITY CONTRACTS WITH IMMEDIATE INCOME ANNUITY CONTRACTS IN VIOLATION OF THE DISC… | — | $692K |
| 2012-01-01 | regulatory | THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES ("DFS") COMMENCED AN INVESTIGATION FOR THE PERIOD OF 1/1/2012-5/31/2018. DURING ITS INVESTIGATION, DFS IDENTIFIED A PRACTICE ARISING FROM THE REPLACEMENT OF DEFERRED ANNUITY CONTRACTS WITH IMMEDIATE INCOME ANNUITY CONTRACTS IN VIOLATION OF THE DISC… | — | — |
Private Equity Fund: 25 · Securitized Asset Fund: 25
Showing 15 of 50 funds by gross asset value.
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| JCP CONGAREE CREDIT FUND LP | Private Equity Fund | Delaware | 1 | $1.1B | — |
| JEFFERIES DIRECT LENDING FUND II LP | Private Equity Fund | Delaware | 17 | $853.4M | $10.0M |
| JEFFERIES DIRECT LENDING OFFSHORE FUND III LP | Private Equity Fund | Cayman Islands | 5 | $758.2M | $10.0M |
| JEFFERIES DIRECT LENDING OFFSHORE FUND II LP | Private Equity Fund | Cayman Islands | 32 | $484.4M | $10.0M |
| JEFFERIES DIRECT LENDING OFFSHORE FUND II D LP | Private Equity Fund | Cayman Islands | 9 | $477.9M | $10.0M |
| JEFFERIES DIRECT LENDING CLO 2025-1 LTD | Private Equity Fund | Cayman Islands | 13 | $475.0M | $10.0M |
| JEFFERIES DIRECT LENDING FUND III LP | Private Equity Fund | Delaware | 114 | $458.9M | $10.0M |
| APEX CREDIT CLO 12 LTD. | Securitized Asset Fund | Cayman Islands | 16 | $402.8M | $500K |
| APEX CREDIT CLO 2024-II LTD. | Securitized Asset Fund | Cayman Islands | 18 | $401.6M | $500K |
| JEFFERIES DIRECT LENDING CLO 2024-I LTD | Private Equity Fund | Cayman Islands | 13 | $401.0M | $10.0M |
| CARDINAL CREDIT FUND LP | Private Equity Fund | Delaware | 1 | $400.0M | — |
| JCP DIRECT LENDING CLO 2022 LLC | Private Equity Fund | Delaware | 6 | $399.0M | $10.0M |
| APEX CREDIT CLO 2019-II LTD. | Securitized Asset Fund | Cayman Islands | 13 | $396.8M | $500K |
| JEFFERIES M SUPER PRIVATE CREDIT FUND LP | Private Equity Fund | Cayman Islands | 1 | $390.9M | — |
| APEX CREDIT CLO 2019 LTD. | Securitized Asset Fund | Cayman Islands | 10 | $388.7M | $500K |