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Filing ID: 1923464
PDF: https://cal-access.sos.ca.gov/PDFGen/pdfgen.prg?filingid=1923464&amendid=4
Table: cvr2_registration
| filing_id |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| amend_id |
| 0 |
| 0 |
| 0 |
| 0 |
| 0 |
| 0 |
| 0 |
| 1 |
| 1 |
| 1 |
| 1 |
| 1 |
| 1 |
| 1 |
| 1 |
| 1 |
| 2 |
| 2 |
| 2 |
| 2 |
| 2 |
| 2 |
| 2 |
| 2 |
| 3 |
| 3 |
| 3 |
| 3 |
| 3 |
| 3 |
| 4 |
| 4 |
| 4 |
| 4 |
| 4 |
| line_item |
| 1 |
| 2 |
| 3 |
| 4 |
| 5 |
| 6 |
| 7 |
| 1 |
| 2 |
| 3 |
| 4 |
| 5 |
| 6 |
| 7 |
| 8 |
| 9 |
| 1 |
| 2 |
| 3 |
| 4 |
| 5 |
| 6 |
| 7 |
| 8 |
| 1 |
| 2 |
| 3 |
| 4 |
| 5 |
| 6 |
| 1 |
| 2 |
| 3 |
| 4 |
| 5 |
| rec_type |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| form_type |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| tran_id |
| 1458 |
| 1457 |
| 969 |
| 968 |
| 971 |
| 1456 |
| 1468 |
| 1458 |
| 1457 |
| 969 |
| 968 |
| 971 |
| 1456 |
| 1468 |
| 1542 |
| 1543 |
| 1458 |
| 1457 |
| 969 |
| 968 |
| 971 |
| 1468 |
| 1542 |
| 1543 |
| 1458 |
| 1457 |
| 969 |
| 968 |
| 971 |
| 1468 |
| 1458 |
| 969 |
| 968 |
| 971 |
| 1468 |
| entity_cd |
| EMP |
| EMP |
| AGY |
| AGY |
| EMP |
| EMP |
| AGY |
| EMP |
| EMP |
| AGY |
| AGY |
| EMP |
| EMP |
| AGY |
| EMP |
| EMP |
| EMP |
| EMP |
| AGY |
| AGY |
| EMP |
| AGY |
| EMP |
| EMP |
| EMP |
| EMP |
| AGY |
| AGY |
| EMP |
| AGY |
| EMP |
| AGY |
| AGY |
| EMP |
| AGY |
| entity_id |
| 1360827 |
| 1338865 |
| None |
| None |
| 1334987 |
| 1358702 |
| None |
| 1360827 |
| 1338865 |
| None |
| None |
| 1334987 |
| 1358702 |
| None |
| None |
| None |
| 1360827 |
| 1338865 |
| None |
| None |
| 1334987 |
| None |
| None |
| None |
| 1360827 |
| 1338865 |
| None |
| None |
| 1334987 |
| None |
| 1360827 |
| None |
| None |
| 1334987 |
| None |
| enty_naml |
| BUNTAIN |
| BYLIN |
| CALPERS |
| CALSTRS |
| CARSON |
| GAUR |
| UNIVERSITY OF CALIFORNIA REGENTS (UC RETIREMENT PLAN) |
| BUNTAIN |
| BYLIN |
| CALPERS |
| CALSTRS |
| CARSON |
| GAUR |
| UNIVERSITY OF CALIFORNIA REGENTS (UC RETIREMENT PLAN) |
| GUILLETTE |
| HANSEN |
| BUNTAIN |
| BYLIN |
| CALPERS |
| CALSTRS |
| CARSON |
| UNIVERSITY OF CALIFORNIA REGENTS (UC RETIREMENT PLAN) |
| GUILLETTE |
| HANSEN |
| BUNTAIN |
| BYLIN |
| CALPERS |
| CALSTRS |
| CARSON |
| UNIVERSITY OF CALIFORNIA REGENTS (UC RETIREMENT PLAN) |
| BUNTAIN |
| CALPERS |
| CALSTRS |
| CARSON |
| UNIVERSITY OF CALIFORNIA REGENTS (UC RETIREMENT PLAN) |
| enty_namf |
| RYAN |
| JONATHAN |
| None |
| None |
| LEE H. |
| ALOK |
| None |
| RYAN |
| JONATHAN |
| None |
| None |
| LEE H. |
| ALOK |
| None |
| STEPHEN |
| KYLA |
| RYAN |
| JONATHAN |
| None |
| None |
| LEE H. |
| None |
| STEPHEN |
| KYLA |
| RYAN |
| JONATHAN |
| None |
| None |
| LEE H. |
| None |
| RYAN |
| None |
| None |
| LEE H. |
| None |
| enty_namt |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| enty_nams |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
|
Table: cvr_registration
| filing_id |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| amend_id |
| 0 |
| 1 |
| 2 |
| 3 |
| 4 |
| rec_type |
| CVR |
| CVR |
| CVR |
| CVR |
| CVR |
| form_type |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| sender_id |
| 1334986 |
| 1334986 |
| 1334986 |
| 1334986 |
| 1334986 |
| filer_id |
| 1334986 |
| 1334986 |
| 1334986 |
| 1334986 |
| 1334986 |
| entity_cd |
| LEM |
| LEM |
| LEM |
| LEM |
| LEM |
| filer_naml |
| TCG SECURITIES LLC |
| TCG SECURITIES LLC |
| TCG SECURITIES LLC |
| TCG SECURITIES LLC |
| TCG SECURITIES LLC |
| filer_namf |
| None |
| None |
| None |
| None |
| None |
| filer_namt |
| None |
| None |
| None |
| None |
| None |
| filer_nams |
| None |
| None |
| None |
| None |
| None |
| report_num |
| 000 |
| 001 |
| 002 |
| 003 |
| 004 |
| rpt_date |
| 2015-01-01 00:00:00 |
| 2016-02-05 00:00:00 |
| 2016-08-22 00:00:00 |
| 2018-12-30 00:00:00 |
| 2017-12-21 00:00:00 |
| ls_beg_yr |
| 2015 |
| 2015 |
| 2015 |
| 2015 |
| 2017 |
| ls_end_yr |
| 2016 |
| 2016 |
| 2016 |
| 2016 |
| 2018 |
| qual_date |
| 2015-01-01 00:00:00 |
| None |
| None |
| None |
| None |
| eff_date |
| None |
| None |
| None |
| None |
| None |
| bus_city |
| LARKSPUR |
| WASHINGTON |
| WASHINGTON |
| WASHINGTON |
| WASHINGTON |
| bus_st |
| CA |
| DC |
| DC |
| DC |
| DC |
| bus_zip4 |
| 94939 |
| 20004 |
| 20004 |
| 20004 |
| 20004 |
| bus_phon |
| 202 729-5579 |
| 202 729-5579 |
| 202 729-5579 |
| 202 729-5579 |
| 202 729-5579 |
| bus_fax |
| 202 347-1818 |
| 202 347-1818 |
| 202 347-1818 |
| 202 347-1818 |
| 202 347-1818 |
| bus_email |
| None |
| MONICA.HARRIS@CARLYLE.COM |
| MONICA.HARRIS@CARLYLE.COM |
| MONICA.HARRIS@CARLYLE.COM |
| MONICA.HARRIS@CARLYLE.COM |
| mail_city |
| SAN FRANCISCO |
| SAN FRANCISCO |
| SAN FRANCISCO |
| SAN FRANCISCO |
| SAN FRANCISCO |
| mail_st |
| CA |
| CA |
| CA |
| CA |
| CA |
| mail_zip4 |
| 94108 |
| 94108 |
| 94108 |
| 94108 |
| 94108 |
| mail_phon |
| None |
| None |
| None |
| None |
| None |
| sig_date |
| None |
| 2016-02-03 00:00:00 |
| 2016-08-01 00:00:00 |
| 2016-12-30 00:00:00 |
| 2017-12-21 00:00:00 |
| sig_loc |
| WASHINGTON, D.C. |
| WASHINGTON, D.C. |
| WASHINGTON, D.C. |
| WASHINGTON, D.C. |
| WASHINGTON, D.C. |
| sig_naml |
| HARRIS |
| HARRIS |
| HARRIS |
| HARRIS |
| HARRIS |
| sig_namf |
| MONICA R. |
| MONICA R. |
| MONICA R. |
| MONICA R. |
| MONICA R. |
| sig_namt |
| None |
| None |
| None |
| None |
| None |
| sig_nams |
| None |
| None |
| None |
| None |
| None |
| prn_naml |
| HARRIS |
| HARRIS |
| HARRIS |
| HARRIS |
| HARRIS |
| prn_namf |
| MONICA R. |
| MONICA R. |
| MONICA R. |
| MONICA R. |
| MONICA R. |
| prn_namt |
| None |
| None |
| None |
| None |
| None |
| prn_nams |
| None |
| None |
| None |
| None |
| None |
| sig_title |
| CHIEF COMPLIANCE OFFICER, TCG SECURITIES LLC |
| CHIEF COMPLIANCE OFFICER, TCG SECURITIES LLC |
| CHIEF COMPLIANCE OFFICER, TCG SECURITIES LLC |
| CHIEF COMPLIANCE OFFICER, TCG SECURITIES LLC |
| CHIEF COMPLIANCE OFFICER |
| stmt_firm |
| None |
| None |
| None |
| None |
| None |
| ind_cb |
| None |
| None |
| None |
| None |
| None |
| bus_cb |
| X |
| X |
| X |
| X |
| X |
| trade_cb |
| None |
| None |
| None |
| None |
| None |
| oth_cb |
| None |
| None |
| None |
| None |
| None |
| a_b_name |
| None |
| None |
| None |
| None |
| None |
| a_b_city |
| None |
| None |
| None |
| None |
| None |
| a_b_st |
| None |
| None |
| None |
| None |
| None |
| a_b_zip4 |
| None |
| None |
| None |
| None |
| None |
| descrip_1 |
| LIMITED PURPOSE BROKER/DEALER |
| LIMITED PURPOSE BROKER/DEALER |
| LIMITED PURPOSE BROKER/DEALER |
| LIMITED PURPOSE BROKER/DEALER |
| LIMITED PURPOSE BROKER/DEALER |
| descrip_2 |
| None |
| None |
| None |
| None |
| None |
| c_less50 |
| None |
| None |
| None |
| None |
| None |
| c_more50 |
| None |
| None |
| None |
| None |
| None |
| ind_class |
| None |
| None |
| None |
| None |
| None |
| ind_descr |
| None |
| None |
| None |
| None |
| None |
| bus_class |
| FIN |
| FIN |
| FIN |
| FIN |
| FIN |
| bus_descr |
| None |
| None |
| None |
| None |
| None |
| auth_name |
| None |
| None |
| None |
| None |
| None |
| auth_city |
| None |
| None |
| None |
| None |
| None |
| auth_st |
| None |
| None |
| None |
| None |
| None |
| auth_zip4 |
| None |
| None |
| None |
| None |
| None |
| lobby_int |
| OFFER AND/OR SALE OF INTERESTS IN AFFILIATED, PRIVATE INVESTMENT FUNDS |
| OFFER AND/OR SALE OF INTERESTS IN AFFILIATED, PRIVATE INVESTMENT FUNDS |
| OFFER AND/OR SALE OF INTERESTS IN AFFILIATED, PRIVATE INVESTMENT FUNDS |
| OFFER AND/OR SALE OF INTERESTS IN AFFILIATED, PRIVATE INVESTMENT FUNDS |
| OFFER AND/OR SALE OF INTERESTS IN AFFILIATED, PRIVATE INVESTMENT FUNDS |
| influen_yn |
| Y |
| Y |
| Y |
| Y |
| Y |
| firm_name |
| None |
| None |
| None |
| None |
| None |
| newcert_cb |
| None |
| None |
| None |
| None |
| None |
| rencert_cb |
| None |
| None |
| None |
| None |
| None |
| complet_dt |
| None |
| None |
| None |
| None |
| None |
| lby_reg_cb |
| None |
| None |
| None |
| None |
| None |
| lby_604_cb |
| None |
| None |
| None |
| None |
| None |
| st_leg_yn |
| None |
| None |
| None |
| None |
| None |
| st_agency |
| None |
| None |
| None |
| None |
| None |
| lobby_cb |
| None |
| None |
| None |
| None |
| None |
| l_firm_cb |
| None |
| None |
| None |
| None |
| None |
|
Table: filer_filings
| filer_id |
| 1334986 |
| 1334986 |
| 1334986 |
| 1334986 |
| 1334986 |
| filing_id |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| period_id |
| 221 |
| 225 |
| 227 |
| 236 |
| 232 |
| form_id |
| F603 |
| F603 |
| F603 |
| F603 |
| F603 |
| filing_sequence |
| 0 |
| 1 |
| 2 |
| 3 |
| 4 |
| filing_date |
| 2015-01-06 00:00:00 |
| 2016-02-05 00:00:00 |
| 2016-08-30 00:00:00 |
| 2016-12-30 00:00:00 |
| 2017-12-21 00:00:00 |
| stmnt_type |
| 10001 |
| 10002 |
| 10002 |
| 10002 |
| 10002 |
| stmnt_status |
| 11001 |
| 11001 |
| 11001 |
| 11001 |
| 11001 |
| session_id |
| 2015 |
| 2015 |
| 2015 |
| 2015 |
| 2017 |
| user_id |
| YRODRIGU |
| YRODRIGU |
| YRODRIGU |
| YRODRIGU |
| GPEREZ |
| special_audit |
| 11003 |
| 11003 |
| 11003 |
| 11003 |
| 11003 |
| fine_audit |
| 11001 |
| 11001 |
| 11001 |
| 11001 |
| 11003 |
| rpt_start |
| 2015-01-01 00:00:00 |
| 2016-02-05 00:00:00 |
| 2016-08-22 00:00:00 |
| 2018-12-30 00:00:00 |
| 2017-12-21 00:00:00 |
| rpt_end |
| 2015-01-01 00:00:00 |
| 2016-02-05 00:00:00 |
| 2016-08-22 00:00:00 |
| 2018-12-30 00:00:00 |
| 2017-12-21 00:00:00 |
| rpt_date |
| None |
| None |
| None |
| None |
| None |
| filing_type |
| 22001 |
| 22001 |
| 22001 |
| 22001 |
| 22001 |
|
Table: filings
| filing_id |
| 1923464 |
| filing_type |
| 22001 |
|
Table: hdr
| filing_id |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| amend_id |
| 0 |
| 1 |
| 2 |
| 3 |
| 4 |
| rec_type |
| HDR |
| HDR |
| HDR |
| HDR |
| HDR |
| ef_type |
| CAL |
| CAL |
| CAL |
| CAL |
| CAL |
| state_cd |
| CA |
| CA |
| CA |
| CA |
| CA |
| cal_ver |
| 2.01 |
| 2.01 |
| 2.01 |
| 2.01 |
| 2.01 |
| soft_name |
| NETFILE |
| NETFILE |
| NETFILE |
| NETFILE |
| NETFILE |
| soft_ver |
| 1802 |
| 1802 |
| 1802 |
| 1803 |
| 1806 |
| hdrcomment |
| None |
| None |
| None |
| None |
| None |
|
Table: lobby_amendments
| filing_id |
| 1923464 |
| 1923464 |
| 1923464 |
| 1923464 |
| amend_id |
| 4 |
| 3 |
| 2 |
| 1 |
| rec_type |
| F605 |
| F605 |
| F605 |
| F605 |
| form_type |
| F603 |
| F603 |
| F603 |
| F603 |
| exec_date |
| 2017-12-20 00:00:00 |
| 2016-10-31 00:00:00 |
| 2016-06-30 00:00:00 |
| 2016-02-05 00:00:00 |
| from_date |
| 2017-01-01 00:00:00 |
| 2015-01-01 00:00:00 |
| 2015-01-01 00:00:00 |
| 2015-01-01 00:00:00 |
| thru_date |
| 2018-12-31 00:00:00 |
| 2016-12-31 00:00:00 |
| 2016-12-31 00:00:00 |
| 2016-12-31 00:00:00 |
| add_l_cb |
| None |
| None |
| None |
| X |
| add_l_eff |
| None |
| None |
| None |
| 2016-02-01 00:00:00 |
| a_l_naml |
| None |
| None |
| None |
| GUILLETTE |
| a_l_namf |
| None |
| None |
| None |
| STEPHEN |
| a_l_namt |
| None |
| None |
| None |
| None |
| a_l_nams |
| None |
| None |
| None |
| None |
| del_l_cb |
| X |
| X |
| X |
| None |
| del_l_eff |
| 2017-12-06 00:00:00 |
| 2016-10-31 00:00:00 |
| 2016-06-30 00:00:00 |
| None |
| d_l_naml |
| BYLIN |
| GUILLETTE |
| GAUR |
| None |
| d_l_namf |
| JONATHAN |
| STEPHEN |
| ALOK |
| None |
| d_l_namt |
| None |
| None |
| None |
| None |
| d_l_nams |
| None |
| None |
| None |
| None |
| add_le_cb |
| None |
| None |
| None |
| None |
| add_le_eff |
| None |
| None |
| None |
| None |
| a_le_naml |
| None |
| None |
| None |
| None |
| a_le_namf |
| None |
| None |
| None |
| None |
| a_le_namt |
| None |
| None |
| None |
| None |
| a_le_nams |
| None |
| None |
| None |
| None |
| del_le_cb |
| None |
| X |
| None |
| None |
| del_le_eff |
| None |
| None |
| None |
| None |
| d_le_naml |
| None |
| None |
| None |
| None |
| d_le_namf |
| None |
| None |
| None |
| None |
| d_le_namt |
| None |
| None |
| None |
| None |
| d_le_nams |
| None |
| None |
| None |
| None |
| add_lf_cb |
| None |
| None |
| None |
| None |
| add_lf_eff |
| None |
| None |
| None |
| None |
| a_lf_name |
| None |
| None |
| None |
| None |
| del_lf_cb |
| None |
| None |
| None |
| None |
| del_lf_eff |
| None |
| None |
| None |
| None |
| d_lf_name |
| None |
| None |
| None |
| None |
| other_cb |
| X |
| X |
| None |
| X |
| other_eff |
| 2017-12-06 00:00:00 |
| 2016-10-31 00:00:00 |
| None |
| 2016-02-01 00:00:00 |
| other_desc |
| REMOVE LOBBYIST JONATHAN BYLIN |
| REMOVE LOBBYIST KYLA HANSEN: NO FORM 606 REQUIRED |
| None |
| ADDING LOBBYIST: KYLA HANSEN |
| f606_yes |
| X |
| None |
| None |
| None |
| f606_no |
| None |
| X |
| X |
| X |
|