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Filing ID: 2330802
PDF: https://cal-access.sos.ca.gov/PDFGen/pdfgen.prg?filingid=2330802&amendid=3
Table: cvr2_registration
| filing_id |
| 2330802 |
| 2330802 |
| 2330802 |
| 2330802 |
| 2330802 |
| 2330802 |
| 2330802 |
| 2330802 |
| 2330802 |
| 2330802 |
| 2330802 |
| 2330802 |
| 2330802 |
| 2330802 |
| 2330802 |
| 2330802 |
| 2330802 |
| 2330802 |
| 2330802 |
| 2330802 |
| 2330802 |
| 2330802 |
| 2330802 |
| 2330802 |
| amend_id |
| 0 |
| 0 |
| 0 |
| 0 |
| 0 |
| 2 |
| 2 |
| 2 |
| 2 |
| 2 |
| 2 |
| 3 |
| 3 |
| 3 |
| 3 |
| 3 |
| 1 |
| 1 |
| 1 |
| 1 |
| 1 |
| 1 |
| 1 |
| 1 |
| line_item |
| 1 |
| 2 |
| 3 |
| 4 |
| 5 |
| 1 |
| 2 |
| 3 |
| 4 |
| 5 |
| 6 |
| 1 |
| 2 |
| 3 |
| 4 |
| 5 |
| 1 |
| 2 |
| 3 |
| 4 |
| 5 |
| 6 |
| 7 |
| 8 |
| 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 |
| 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 |
| tran_id |
| 969 |
| 1679 |
| 1681 |
| 1682 |
| 1683 |
| 969 |
| 1679 |
| 1682 |
| 1683 |
| 2034 |
| 2035 |
| 969 |
| 1679 |
| 1682 |
| 1683 |
| 2034 |
| 969 |
| 1679 |
| 1681 |
| 1682 |
| 1683 |
| 2033 |
| 2034 |
| 2035 |
| entity_cd |
| AGY |
| EMP |
| EMP |
| AGY |
| AGY |
| AGY |
| EMP |
| AGY |
| AGY |
| EMP |
| EMP |
| AGY |
| EMP |
| AGY |
| AGY |
| EMP |
| AGY |
| EMP |
| EMP |
| AGY |
| AGY |
| EMP |
| EMP |
| EMP |
| entity_id |
| None |
| 1360827 |
| 1334987 |
| None |
| None |
| None |
| 1360827 |
| None |
| None |
| PENDING |
| PENDING |
| None |
| 1360827 |
| None |
| None |
| PENDING |
| None |
| 1360827 |
| 1334987 |
| None |
| None |
| PENDING |
| PENDING |
| PENDING |
| enty_naml |
| CALPERS |
| BUNTAIN |
| CARSON |
| CALSTRS |
| UNIVERSITY OF CALIFORNIA REGENTS (UC RETIREMENT PLAN) |
| CALPERS |
| BUNTAIN |
| CALSTRS |
| UNIVERSITY OF CALIFORNIA REGENTS (UC RETIREMENT PLAN) |
| COTE |
| DELAY |
| CALPERS |
| BUNTAIN |
| CALSTRS |
| UNIVERSITY OF CALIFORNIA REGENTS (UC RETIREMENT PLAN) |
| HOGANBRUEN |
| CALPERS |
| BUNTAIN |
| CARSON |
| CALSTRS |
| UNIVERSITY OF CALIFORNIA REGENTS (UC RETIREMENT PLAN) |
| WEIMER |
| COTE |
| DELAY |
| enty_namf |
| None |
| RYAN |
| LEE H. |
| None |
| None |
| None |
| RYAN |
| None |
| None |
| ALEC |
| PATRICK |
| None |
| RYAN |
| None |
| None |
| MATTHEW |
| None |
| RYAN |
| LEE H. |
| None |
| None |
| CAROLYN |
| ALEC |
| PATRICK |
| 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 |
| 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 |
|
Table: cvr_registration
| filing_id |
| 2330802 |
| 2330802 |
| 2330802 |
| 2330802 |
| amend_id |
| 0 |
| 1 |
| 2 |
| 3 |
| rec_type |
| CVR |
| CVR |
| CVR |
| CVR |
| form_type |
| F603 |
| F603 |
| F603 |
| F603 |
| sender_id |
| 1334986 |
| 1334986 |
| 1334986 |
| 1334986 |
| filer_id |
| 1334986 |
| 1334986 |
| 1334986 |
| 1334986 |
| entity_cd |
| LEM |
| LEM |
| LEM |
| LEM |
| filer_naml |
| TCG SECURITIES LLC |
| TCG SECURITIES LLC |
| TCG SECURITIES LLC |
| TCG SECURITIES LLC |
| filer_namf |
| None |
| None |
| None |
| None |
| filer_namt |
| None |
| None |
| None |
| None |
| filer_nams |
| None |
| None |
| None |
| None |
| report_num |
| 000 |
| 001 |
| 002 |
| 003 |
| rpt_date |
| 2018-12-28 00:00:00 |
| 2019-07-12 00:00:00 |
| 2020-04-29 00:00:00 |
| 2020-05-21 00:00:00 |
| ls_beg_yr |
| 2019 |
| 2019 |
| 2019 |
| 2019 |
| ls_end_yr |
| 2020 |
| 2020 |
| 2020 |
| 2020 |
| qual_date |
| 2019-01-01 00:00:00 |
| 2019-06-15 00:00:00 |
| 2019-01-01 00:00:00 |
| 2019-01-01 00:00:00 |
| eff_date |
| None |
| None |
| None |
| None |
| bus_city |
| WASHINGTON |
| WASHINGTON |
| WASHINGTON |
| WASHINGTON |
| bus_st |
| DC |
| DC |
| DC |
| DC |
| bus_zip4 |
| 20004 |
| 20004 |
| 20004 |
| 20004 |
| bus_phon |
| 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 |
| bus_email |
| [email protected] |
| [email protected] |
| [email protected] |
| [email protected] |
| mail_city |
| SAN FRANCISCO |
| SAN FRANCISCO |
| SAN FRANCISCO |
| SAN FRANCISCO |
| mail_st |
| CA |
| CA |
| CA |
| CA |
| mail_zip4 |
| 94108 |
| 94108 |
| 94108 |
| 94108 |
| mail_phon |
| None |
| None |
| None |
| None |
| sig_date |
| 2018-12-06 00:00:00 |
| 2019-07-12 00:00:00 |
| 2020-04-29 00:00:00 |
| 2020-05-21 00:00:00 |
| sig_loc |
| WASHINGTON, D.C. |
| WASHINGTON, D.C. |
| WASHINGTON, D.C. |
| WASHINGTON, D.C. |
| sig_naml |
| HARRIS |
| JACKSON |
| GAY |
| GAY |
| sig_namf |
| MONICA R. |
| SAKISHA |
| BRANDON |
| BRANDON |
| sig_namt |
| None |
| None |
| None |
| None |
| sig_nams |
| None |
| None |
| None |
| None |
| prn_naml |
| HARRIS |
| JACKSON |
| GAY |
| GAY |
| prn_namf |
| MONICA R. |
| SAKISHA |
| BRANDON |
| BRANDON |
| prn_namt |
| None |
| None |
| None |
| None |
| prn_nams |
| None |
| None |
| None |
| None |
| sig_title |
| CHIEF COMPLIANCE OFFICER |
| CHIEF COMPLIANCE OFFICER |
| CHIEF COMPLIANCE OFFICER |
| CHIEF COMPLIANCE OFFICER |
| stmt_firm |
| None |
| None |
| None |
| None |
| ind_cb |
| None |
| None |
| None |
| None |
| bus_cb |
| X |
| X |
| X |
| X |
| trade_cb |
| None |
| None |
| None |
| None |
| oth_cb |
| None |
| None |
| None |
| None |
| a_b_name |
| None |
| None |
| None |
| None |
| a_b_city |
| None |
| None |
| None |
| None |
| a_b_st |
| None |
| None |
| None |
| None |
| a_b_zip4 |
| None |
| None |
| None |
| None |
| descrip_1 |
| LIMITED PURPOSE BROKER/DEALER |
| LIMITED PURPOSE BROKER/DEALER |
| LIMITED PURPOSE BROKER/DEALER |
| LIMITED PURPOSE BROKER/DEALER |
| descrip_2 |
| None |
| None |
| None |
| None |
| c_less50 |
| None |
| None |
| None |
| None |
| c_more50 |
| None |
| None |
| None |
| None |
| ind_class |
| None |
| None |
| None |
| None |
| ind_descr |
| None |
| None |
| None |
| None |
| bus_class |
| FIN |
| FIN |
| FIN |
| FIN |
| bus_descr |
| None |
| None |
| None |
| None |
| auth_name |
| None |
| None |
| None |
| None |
| auth_city |
| None |
| None |
| None |
| None |
| auth_st |
| None |
| None |
| None |
| None |
| auth_zip4 |
| 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 |
| influen_yn |
| N |
| N |
| N |
| N |
| firm_name |
| None |
| None |
| None |
| None |
| newcert_cb |
| None |
| None |
| None |
| None |
| rencert_cb |
| None |
| None |
| None |
| None |
| complet_dt |
| None |
| None |
| None |
| None |
| lby_reg_cb |
| None |
| None |
| None |
| None |
| lby_604_cb |
| None |
| None |
| None |
| None |
| st_leg_yn |
| None |
| None |
| None |
| None |
| st_agency |
| None |
| None |
| None |
| None |
| lobby_cb |
| None |
| None |
| None |
| None |
| l_firm_cb |
| None |
| None |
| None |
| None |
|
Table: filer_filings
| filer_id |
| 1334986 |
| 1334986 |
| 1334986 |
| 1334986 |
| filing_id |
| 2330802 |
| 2330802 |
| 2330802 |
| 2330802 |
| period_id |
| 242 |
| 236 |
| 239 |
| 242 |
| form_id |
| F603 |
| F603 |
| F603 |
| F603 |
| filing_sequence |
| 2 |
| 0 |
| 1 |
| 3 |
| filing_date |
| 2020-04-29 00:00:00 |
| 2018-12-28 00:00:00 |
| 2019-07-16 00:00:00 |
| 2020-05-21 00:00:00 |
| stmnt_type |
| 10002 |
| 10001 |
| 10002 |
| 10002 |
| stmnt_status |
| 11001 |
| 11001 |
| 11001 |
| 11001 |
| session_id |
| 2019 |
| 2019 |
| 2019 |
| 2019 |
| user_id |
| GPEREZ |
| SARRIAGA |
| SARRIAGA |
| GPEREZ |
| special_audit |
| 11003 |
| 11003 |
| 11003 |
| 11003 |
| fine_audit |
| 11003 |
| 11003 |
| 11003 |
| 11003 |
| rpt_start |
| 2020-04-29 00:00:00 |
| 2018-12-28 00:00:00 |
| 2019-07-12 00:00:00 |
| 2020-05-21 00:00:00 |
| rpt_end |
| 2020-04-29 00:00:00 |
| 2018-12-28 00:00:00 |
| 2019-07-12 00:00:00 |
| 2020-05-21 00:00:00 |
| rpt_date |
| None |
| None |
| None |
| None |
| filing_type |
| 22001 |
| 22001 |
| 22001 |
| 22001 |
|
Table: filings
| filing_id |
| 2330802 |
| filing_type |
| 22001 |
|
Table: hdr
| filing_id |
| 2330802 |
| 2330802 |
| 2330802 |
| 2330802 |
| amend_id |
| 0 |
| 1 |
| 2 |
| 3 |
| rec_type |
| HDR |
| HDR |
| HDR |
| HDR |
| ef_type |
| CAL |
| CAL |
| CAL |
| CAL |
| state_cd |
| CA |
| CA |
| CA |
| CA |
| cal_ver |
| 2.01 |
| 2.01 |
| 2.01 |
| 2.01 |
| soft_name |
| NETFILE |
| NETFILE |
| NETFILE |
| NETFILE |
| soft_ver |
| 1807 |
| 1807 |
| 1809 |
| 1809 |
| hdrcomment |
| None |
| None |
| None |
| None |
|
Table: lobby_amendments
| filing_id |
| 2330802 |
| 2330802 |
| 2330802 |
| amend_id |
| 3 |
| 2 |
| 1 |
| rec_type |
| F605 |
| F605 |
| F605 |
| form_type |
| F603 |
| F603 |
| F603 |
| exec_date |
| 2020-05-05 00:00:00 |
| 2010-03-06 00:00:00 |
| 2019-05-17 00:00:00 |
| from_date |
| 2019-01-01 00:00:00 |
| 2019-01-01 00:00:00 |
| 2019-01-01 00:00:00 |
| thru_date |
| 2020-12-31 00:00:00 |
| 2020-12-31 00:00:00 |
| 2020-12-31 00:00:00 |
| add_l_cb |
| X |
| None |
| X |
| add_l_eff |
| 2020-01-01 00:00:00 |
| None |
| 2019-06-15 00:00:00 |
| a_l_naml |
| HOGANBRUEN |
| None |
| WEIMER |
| a_l_namf |
| MATTHEW |
| None |
| CAROLYN |
| a_l_namt |
| None |
| None |
| None |
| a_l_nams |
| None |
| None |
| None |
| del_l_cb |
| X |
| X |
| None |
| del_l_eff |
| 2019-12-31 00:00:00 |
| 2019-12-31 00:00:00 |
| None |
| d_l_naml |
| ALEC COTE |
| LEE CARSON |
| None |
| d_l_namf |
| 1419750 |
| 1334987 |
| None |
| d_l_namt |
| None |
| None |
| None |
| d_l_nams |
| None |
| None |
| None |
| add_le_cb |
| None |
| None |
| None |
| add_le_eff |
| None |
| None |
| None |
| a_le_naml |
| None |
| None |
| None |
| a_le_namf |
| None |
| None |
| None |
| a_le_namt |
| None |
| None |
| None |
| a_le_nams |
| None |
| None |
| None |
| del_le_cb |
| None |
| None |
| None |
| del_le_eff |
| None |
| None |
| None |
| d_le_naml |
| None |
| None |
| None |
| d_le_namf |
| None |
| None |
| None |
| d_le_namt |
| None |
| None |
| None |
| d_le_nams |
| None |
| None |
| None |
| add_lf_cb |
| None |
| None |
| None |
| add_lf_eff |
| None |
| None |
| None |
| a_lf_name |
| None |
| None |
| None |
| del_lf_cb |
| None |
| None |
| None |
| del_lf_eff |
| None |
| None |
| None |
| d_lf_name |
| None |
| None |
| None |
| other_cb |
| X |
| X |
| X |
| other_eff |
| 2019-12-31 00:00:00 |
| 2020-03-31 00:00:00 |
| 2019-06-15 00:00:00 |
| other_desc |
| TERMINATING ADDITIONAL LOBBYIST: PATRICK DELAY #1419751 |
| TERMINATING ADDITIONAL LOBBYIST: CAROLYN WEIMER #1419749 |
| ADDING ADDITIONAL LOBBYISTS: ALEC COTE & PATRICK DELAY |
| f606_yes |
| None |
| None |
| None |
| f606_no |
| X |
| X |
| X |
|