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 Victory Park Capital
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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%
JANUS HENDERSON US (HOLDINGS) INC.Direct owner · Schedule AInterest in VICTORY PARK CAPITAL
50% to < 75%
VICTORY PARK CAPITAL ADVISORS MANAGEMENT, L.P.Direct owner · Schedule AInterest in VICTORY PARK CAPITAL
25% to < 50%
RICHARD NEIL LEVYDirect owner · Schedule AInterest in VICTORY PARK CAPITAL
10% to < 25%
BRENDAN FRANCIS CARROLLDirect owner · Schedule AInterest in VICTORY PARK CAPITAL
10% to < 25%
NORTHERN LIGHTS MIDCO, LLCDirect owner · Schedule AInterest in VICTORY PARK CAPITAL
5% to < 10%
BANKERS LIFE AND CASUALTY COMPANYDirect owner · Schedule AInterest in VICTORY PARK CAPITAL
5% to < 10%
VICTORY PARK CAPITAL ADVISORS MANAGEMENT GP, LLCDirect owner · Schedule AInterest in VICTORY PARK CAPITAL
< 5%
AURORA TRUSTIndirect owner · Schedule BInterest in NORTHERN LIGHTS MIDCO, LLC
75%+
JANUS HENDERSON GROUP LTDIndirect owner · Schedule BInterest in JANUS HENDERSON US (HOLDINGS) INC.
75%+
CONSECO LIFE INSURANCE COMPANY OF TEXASIndirect owner · Schedule BInterest in BANKERS LIFE AND CASUALTY COMPANY
75%+
CDOC, INC.Indirect owner · Schedule BInterest in CONSECO LIFE INSURANCE COMPANY OF TEXAS
75%+
CNO FINANCIAL GROUP, INC.Indirect owner · Schedule BInterest in CDOC, INC.
75%+
JUPITER COMPANY LIMITEDIndirect owner · Schedule BInterest in JANUS HENDERSON GROUP LTD
75%+
JUPITER ACQUISITION LIMITEDIndirect owner · Schedule BInterest in JUPITER COMPANY LIMITED
75%+
JUPITER TOPCO LLCIndirect owner · Schedule BInterest in JUPITER ACQUISITION LIMITED
75%+
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 Victory Park Capital.
Reported ownership and control details
Form ADV · Filing date 2026-07-30 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | RICHARD NEIL LEVYCEO, MANAGING PARTNERIndividual | VICTORY PARK CAPITAL | 10% to less than 25%Code B | Yes | CEO, MANAGING PARTNER09/2007 | Schedule APDF page 170 |
| 2 | BRENDAN FRANCIS CARROLLSENIOR PARTNERIndividual | VICTORY PARK CAPITAL | 10% to less than 25%Code B | Yes | SENIOR PARTNER09/2007 | Schedule APDF page 170 |
| 3 | JEFFREY EDWARD SCHNEIDERCHIEF OPERATING OFFICERIndividual | VICTORY PARK CAPITAL | Less than 5%Code NA | Yes | CHIEF OPERATING OFFICER01/2018 | Schedule APDF page 170 |
| 4 | SCOTT RUSSELL ZEMNICKGENERAL COUNSELIndividual | VICTORY PARK CAPITAL | Less than 5%Code NA | Yes | GENERAL COUNSEL09/2008 | Schedule APDF page 170 |
| 5 | VICTORY PARK CAPITAL ADVISORS MANAGEMENT, L.P.MEMBERDomestic entity | VICTORY PARK CAPITAL | 25% to less than 50%Code C | Yes | MEMBER12/2017 | Schedule APDF page 170 |
| 6 | VICTORY PARK CAPITAL ADVISORS MANAGEMENT GP, LLCMANAGING MEMBERDomestic entity | VICTORY PARK CAPITAL | Less than 5%Code NA | Yes | MANAGING MEMBER12/2017 | Schedule APDF page 170 |
| 7 | NORTHERN LIGHTS MIDCO, LLCMEMBERDomestic entity | VICTORY PARK CAPITAL | 5% to less than 10%Code A | No | MEMBER07/2018 | Schedule APDF page 170 |
| 8 | JANUS HENDERSON US (HOLDINGS) INC.MEMBERDomestic entity | VICTORY PARK CAPITAL | 50% to less than 75%Code D | Yes | MEMBER10/2024 | Schedule APDF page 170 |
| 9 | CARLY KRIZMANICH ALTIERICHIEF FINANCIAL OFFICERIndividual | VICTORY PARK CAPITAL | Less than 5%Code NA | Yes | CHIEF FINANCIAL OFFICER12/2025 | Schedule APDF page 170 |
| 10 | THOMAS HENRY GAZDZIAKCHIEF COMPLIANCE OFFICERIndividual | VICTORY PARK CAPITAL | Less than 5%Code NA | Yes | CHIEF COMPLIANCE OFFICER12/2025 | Schedule APDF page 170 |
| 11 | BANKERS LIFE AND CASUALTY COMPANYMEMBERDomestic entity | VICTORY PARK CAPITAL | 5% to less than 10%Code A | No | MEMBER10/2025 | Schedule APDF page 170 |
| 12 | RICHARD NEIL LEVYTRUSTEEIndividual | RICHARD N. LEVY REVOCABLE TRUST U/A/D MAY 18, 2011 | Percentage not specifiedCode F | Yes | TRUSTEE12/2017 | Schedule BPDF page 171 |
| 13 | BRENDAN FRANCIS CARROLLTRUSTEEIndividual | BRENDAN F. CARROLL REVOCABLE TRUST U/A/D JUNE 20, 2007 | Percentage not specifiedCode F | Yes | TRUSTEE12/2017 | Schedule BPDF page 171 |
| 14 | RICHARD N. LEVY REVOCABLE TRUST U/A/D MAY 18, 2011LIMITED PARTNERDomestic entity | VICTORY PARK CAPITAL ADVISORS MANAGEMENT, L.P. | Percentage not specifiedCode F | Yes | LIMITED PARTNER12/2017 | Schedule BPDF page 171 |
| 15 | BRENDAN F. CARROLL REVOCABLE TRUST U/A/D JUNE 20, 2007LIMITED PARTNERDomestic entity | VICTORY PARK CAPITAL ADVISORS MANAGEMENT, L.P. | Percentage not specifiedCode F | Yes | LIMITED PARTNER12/2017 | Schedule BPDF page 171 |
| 16 | VICTORY PARK CAPITAL ADVISORS MANAGEMENT GP, LLCGENERAL PARTNERDomestic entity | VICTORY PARK CAPITAL ADVISORS MANAGEMENT, L.P. | Percentage not specifiedCode F | Yes | GENERAL PARTNER12/2017 | Schedule BPDF page 171 |
| 17 | RICHARD N. LEVY REVOCABLE TRUST U/A/D MAY 18, 2011MANAGING MEMBERDomestic entity | VICTORY PARK CAPITAL ADVISORS MANAGEMENT GP, LLC | Percentage not specifiedCode F | Yes | MANAGING MEMBER12/2017 | Schedule BPDF page 171 |
| 18 | BRENDAN F. CARROLL REVOCABLE TRUST U/A/D JUNE 20, 2007MEMBERDomestic entity | VICTORY PARK CAPITAL ADVISORS MANAGEMENT GP, LLC | Percentage not specifiedCode F | Yes | MEMBER12/2017 | Schedule BPDF page 171 |
| 19 | AURORA TRUSTMEMBERForeign entity | NORTHERN LIGHTS MIDCO, LLC | 75% or moreCode E | Yes | MEMBER11/2014 | Schedule BPDF page 171 |
| 20 | AURORA INVESTMENT MANAGEMENT PTY LIMITEDTRUSTEEForeign entity | AURORA TRUST | Percentage not specifiedCode F | Yes | TRUSTEE11/2014 | Schedule BPDF page 171 |
| 21 | PACIFIC CURRENT GROUP LIMITEDUNITHOLDERForeign entity | AURORA TRUST | Percentage not specifiedCode F | Yes | UNITHOLDER11/2014 | Schedule BPDF page 171 |
| 22 | JANUS HENDERSON GROUP LTDSOLE SHAREHOLDERForeign entity | JANUS HENDERSON US (HOLDINGS) INC. | 75% or moreCode E | Yes | SOLE SHAREHOLDER05/2017 | Schedule BPDF page 171 |
| 23 | CONSECO LIFE INSURANCE COMPANY OF TEXASCOMMON STOCKHOLDERDomestic entity | BANKERS LIFE AND CASUALTY COMPANY | 75% or moreCode E | Yes | COMMON STOCKHOLDER11/2007 | Schedule BPDF page 171 |
| 24 | CDOC, INC.COMMON STOCKHOLDERDomestic entity | CONSECO LIFE INSURANCE COMPANY OF TEXAS | 75% or moreCode E | Yes | COMMON STOCKHOLDER09/2023 | Schedule BPDF page 171 |
| 25 | CNO FINANCIAL GROUP, INC.COMMON STOCKHOLDERDomestic entity | CDOC, INC. | 75% or moreCode E | Yes | COMMON STOCKHOLDER09/2023 | Schedule BPDF page 171 |
| 26 | JUPITER COMPANY LIMITEDSOLE SHAREHOLDERForeign entity | JANUS HENDERSON GROUP LTD | 75% or moreCode E | Yes | SOLE SHAREHOLDER06/2026 | Schedule BPDF page 171 |
| 27 | JUPITER ACQUISITION LIMITEDSOLE SHAREHOLDERForeign entity | JUPITER COMPANY LIMITED | 75% or moreCode E | Yes | SOLE SHAREHOLDER12/2025 | Schedule BPDF page 172 |
| 28 | JUPITER TOPCO LLCSOLE SHAREHOLDERForeign entity | JUPITER ACQUISITION LIMITED | 75% or moreCode E | Yes | SOLE SHAREHOLDER12/2025 | Schedule BPDF page 172 |
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 7/30/2026 4:58:10 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.