SEC-Registered Investment Adviser
Jefferies Finance LLC
Registration facts are from the firm's Form ADV Part 1A as published by the SEC, latest filing dated March 2, 2026. Figures are firm-level: they describe the advisory firm, not any single offering.
Registration
- Status
- Approved
- Registered since
- April 2, 2012
- Principal office
- 520 Madison Avenue, 12th Floor, New York, NY 10022-4356
- Organized as
- Limited Liability Company, DE
- Fiscal year end
- November
- Umbrella registration
- Yes, 3 relying advisers
Scale
- Regulatory AUM
- $24.6B
- Discretionary / non-discretionary
- $23.1B / $1.5B
- Attributable to non-US clients
- $11.2B
- Accounts
- 56
- Clients
- 0
- Employees
- 124, 51 in advisory roles
- Private funds advised
- 50
- Private fund gross assets
- $14.8B
- Fund types
- 25 private equity funds
- Client assets in custody
- $122.8M (25 clients)
Business, clients and compensation, as filed
- Advisory activities
- portfolio management for pooled investment vehicles and portfolio management for businesses and institutional clients
- Compensated by
- a percentage of assets under management and performance-based fees
- Client types
- pooled investment vehicles (56); other (4)
- Related persons include
- a broker-dealer, another investment adviser, a security-based swap dealer, a commodity pool operator or commodity trading advisor, a futures commission merchant, an insurance company or agency, a real estate broker or dealer, a sponsor or syndicator of limited partnerships and a sponsor, general partner or managing member of pooled investment vehicles
- Affiliates
- 1 broker-dealer, 1 investment adviser
Form ADV Item 11 disclosures
The firm answered yes to the following Item 11 questions. The answers cover the firm and its advisory affiliates; the Disclosure Reporting Pages on IAPD identify the subject and the outcome.
- other regulator finding of a violation (Item 11D(2), 6 reported)
- other regulator order, denial, suspension or revocation (Item 11D(4), 6 reported)
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Source: SEC Form ADV via IARD (roster of October 6, 2026), matched to the platform by AltStreet analysts. Item 11 answers are as reported on the firm's Form ADV and cover the firm and its advisory affiliates; consult the firm's IAPD record for the Disclosure Reporting Pages. Brochure statements are the firm's own. Nothing on this page is investment advice.