Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM
Total Accounts
10Y AUM Change
Private Funds
Private funds reported by Context Capital Management LLC
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Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees
Clients per Employee
10Y Employee Change
Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
Ownership
Reported direct and indirect ownership ranges
Each range applies to a separate reported relationship and should not be added together.
Reported ownership ranges
Highlighted bands show the percentage range reported in Form ADV.
0%25%50%75%100%
CHARLES EDWARD CARNEGIEDirect owner · Schedule AInterest in CONTEXT CAPITAL MANAGEMENT LLC
25% to < 50%
NANCY FERTIG FAMILY AMENDED AND RESTATED TRUSTDirect owner · Schedule AInterest in CONTEXT CAPITAL MANAGEMENT LLC
10% to < 25%
Chesley David BerlinghofDirect owner · Schedule AInterest in CONTEXT CAPITAL MANAGEMENT LLC
10% to < 25%
WILLIAM DAVID FERTIGDirect owner · Schedule AInterest in CONTEXT CAPITAL MANAGEMENT LLC
5% to < 10%
ROSEN FAMILY TRUSTDirect owner · Schedule AInterest in CONTEXT CAPITAL MANAGEMENT LLC
5% to < 10%
ALLISON J. CARNEGIE, TRUSTEE OF THE CARNEGIE FAMILY TRUSTDirect owner · Schedule AInterest in CONTEXT CAPITAL MANAGEMENT LLC
5% to < 10%
Luke WILLIAM TraftonDirect owner · Schedule AInterest in CONTEXT CAPITAL MANAGEMENT LLC
5% to < 10%
MICHAEL STUART ROSENDirect owner · Schedule AInterest in CONTEXT CAPITAL MANAGEMENT LLC
< 5%
Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Context Capital Management LLC.
Reported ownership and control details
Form ADV · Filing date 2026-08-25 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | MICHAEL STUART ROSENMANAGING MEMBER AND CHIEF EXECUTIVE OFFICERIndividual | CONTEXT CAPITAL MANAGEMENT LLC | Less than 5%Code NA | Yes | MANAGING MEMBER AND CHIEF EXECUTIVE OFFICER05/2000 | Schedule APDF page 36 |
| 2 | MATTHEW T. ROSEN TRUSTTRUSTDomestic entity | CONTEXT CAPITAL MANAGEMENT LLC | Less than 5%Code NA | No | TRUST07/2001 | Schedule APDF page 36 |
| 3 | MERRITT SHEILA ROSEN IRREVOCABLE TRUSTTRUSTDomestic entity | CONTEXT CAPITAL MANAGEMENT LLC | Less than 5%Code NA | No | TRUST07/2001 | Schedule APDF page 36 |
| 4 | MADISON BRITT ROSEN IRREVOCABLE TRUSTTRUSTDomestic entity | CONTEXT CAPITAL MANAGEMENT LLC | Less than 5%Code NA | No | TRUST07/2001 | Schedule APDF page 36 |
| 5 | WILLIAM DAVID FERTIGMANAGING MEMBERIndividual | CONTEXT CAPITAL MANAGEMENT LLC | 5% to less than 10%Code A | Yes | MANAGING MEMBER10/2002 | Schedule APDF page 36 |
| 6 | NANCY FERTIG FAMILY AMENDED AND RESTATED TRUSTTRUSTDomestic entity | CONTEXT CAPITAL MANAGEMENT LLC | 10% to less than 25%Code B | No | TRUST07/2001 | Schedule APDF page 36 |
| 7 | ROSEN FAMILY TRUSTTRUSTDomestic entity | CONTEXT CAPITAL MANAGEMENT LLC | 5% to less than 10%Code A | No | TRUST07/2001 | Schedule APDF page 36 |
| 8 | CHARLES EDWARD CARNEGIEMANAGING MEMBER AND CHIEF INVESTMENT OFFICERIndividual | CONTEXT CAPITAL MANAGEMENT LLC | 25% to less than 50%Code C | Yes | MANAGING MEMBER AND CHIEF INVESTMENT OFFICER09/2017 | Schedule APDF page 36 |
| 9 | MAX M. ROSEN 2012 IRREVOCABLE TRUSTTRUSTDomestic entity | CONTEXT CAPITAL MANAGEMENT LLC | Less than 5%Code NA | No | TRUST08/2012 | Schedule APDF page 36 |
| 10 | Grace Mary BresciaDIRECTOR OF COMPLIANCEIndividual | CONTEXT CAPITAL MANAGEMENT LLC | Less than 5%Code NA | Yes | DIRECTOR OF COMPLIANCE01/2022 | Schedule APDF page 36 |
| 11 | ALLISON J. CARNEGIE, TRUSTEE OF THE CARNEGIE FAMILY TRUSTTRUSTDomestic entity | CONTEXT CAPITAL MANAGEMENT LLC | 5% to less than 10%Code A | No | TRUST12/2021 | Schedule APDF page 36 |
| 12 | Teagan Grace SemanCHIEF FINANCIAL OFFICERIndividual | CONTEXT CAPITAL MANAGEMENT LLC | Less than 5%Code NA | Yes | CHIEF FINANCIAL OFFICER11/2021 | Schedule APDF page 36 |
| 13 | Chesley David BerlinghofMANAGING DIRECTOR, CONVERTIBLE TRADINGIndividual | CONTEXT CAPITAL MANAGEMENT LLC | 10% to less than 25%Code B | No | MANAGING DIRECTOR, CONVERTIBLE TRADING04/2021 | Schedule APDF page 36 |
| 14 | Luke WILLIAM TraftonVICE PRESIDENT, RESEARCH AND TRADINGIndividual | CONTEXT CAPITAL MANAGEMENT LLC | 5% to less than 10%Code A | No | VICE PRESIDENT, RESEARCH AND TRADING04/2021 | Schedule APDF page 36 |
| 15 | David Max FertigMANAGING DIRECTOR RESEARCHIndividual | CONTEXT CAPITAL MANAGEMENT LLC | Less than 5%Code NA | No | MANAGING DIRECTOR RESEARCH05/2020 | Schedule APDF page 36 |
| 16 | LINDSEY ANN COOPERCHIEF COMPLIANCE OFFICERIndividual | CONTEXT CAPITAL MANAGEMENT LLC | Less than 5%Code NA | Yes | CHIEF COMPLIANCE OFFICER08/2025 | Schedule APDF page 36 |
| 17 | ALLISON J CARNEGIETRUSTEEIndividual | ALLISON J. CARNEGIE, TRUSTEE OF THE CARNEGIE FAMILY TRUST | Percentage not specifiedCode F | No | TRUSTEE12/2021 | Schedule BPDF page 37 |
| 18 | Marilyn Shelia RosenTRUSTEEIndividual | MAX M. ROSEN 2012 IRREVOCABLE TRUST | Percentage not specifiedCode F | No | TRUSTEE08/2012 | Schedule BPDF page 37 |
| 19 | MICHAEL STUART ROSENTRUSTEEIndividual | ROSEN FAMILY TRUST | Percentage not specifiedCode F | Yes | TRUSTEE07/2001 | Schedule BPDF page 37 |
| 20 | WILLIAM DAVID FERTIGTRUSTEEIndividual | NANCY FERTIG FAMILY AMENDED AND RESTATED TRUST | Percentage not specifiedCode F | Yes | TRUSTEE06/2015 | Schedule BPDF page 37 |
| 21 | Marilyn Shelia RosenTRUSTEEIndividual | MATTHEW T. ROSEN TRUST | Percentage not specifiedCode F | Yes | TRUSTEE06/1993 | Schedule BPDF page 37 |
| 22 | Marilyn Shelia RosenTRUSTEEIndividual | MERRITT SHEILA ROSEN IRREVOCABLE TRUST | Percentage not specifiedCode F | Yes | TRUSTEE06/1993 | Schedule BPDF page 37 |
| 23 | Marilyn Shelia RosenTRUSTEEIndividual | MADISON BRITT ROSEN IRREVOCABLE TRUST | Percentage not specifiedCode F | Yes | TRUSTEE06/1993 | Schedule BPDF page 37 |
Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.
Compliance & Disclosures
Filing dated 8/25/2026 12:15:13 PM
Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.
RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No
In the past ten years, have you or any advisory affiliate:
- A1Been convicted of or pleaded guilty or no contest to a felony?No
- A2Been charged with a felony?No
BMisdemeanors2 No
In the past ten years, have you or any advisory affiliate:
- B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
- B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No
Has the SEC or CFTC ever:
- C1Found you or an advisory affiliate made a false statement or omission?No
- C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
- C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
- C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No
Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:
- D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
- D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
- D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
- D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No
Has a self-regulatory organization or commodities exchange ever:
- E1Found you or an advisory affiliate made a false statement or omission?No
- E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
- E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
- FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
- GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No
(1) Court actions
Has a domestic or foreign court:
- H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
- H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
- H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No
(2) Pending civil proceedings
- H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.