{"url":"https://nivawealth.com/firms/jefferies-finance-162264","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/162264","regulatoryAum":24594811631,"crd":"162264","secFileNumber":"801-74480","legalName":"Jefferies Finance LLC","displayName":"Jefferies Finance","website":null,"linkedinUrl":"https://www.linkedin.com/company/jefferies-credit-partners","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"November","headquarters":{"street":"520 Madison Avenue, 12th Floor","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10022-4356"},"tradeNames":["Apex Credit Holdings LLC","Apex Credit Partners LLC","Jefferies Credit Partners LLC"],"registration":{"secApproved":"2 April 2012","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":124,"advisory":51,"brokerDealerReps":7,"insuranceAgents":0,"promoters":3},"aum":{"discretionary":23121875997,"discretionaryAccounts":51,"nonDiscretionary":1472935634,"nonDiscretionaryAccounts":5,"wrapProgram":null,"nonUsClientsPct":79,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":56,"regulatoryAum":14789522456},{"label":"Other","clients":4,"regulatoryAum":9805289175}],"fees":[],"feeNotes":[],"custodians":[{"name":"State Street Bank and Trust Company","shortName":"State Street Bank and Trust","location":"Boston, MA","smaAssets":252268591},{"name":"The Bank of New York Mellon Trust Company, N.A.","shortName":"The Bank of New York Mellon Trust Company, N.A.","location":"Houston, TX","smaAssets":122117894}],"custodyNote":"Jefferies Finance has custody of $122.8M for 25 clients.","otherCustodians":[],"leadership":[{"name":"Thomas Brady","title":"President","crd":"1789446"},{"name":"Thomas Grenville","title":"Chief Compliance Officer","crd":"2737719"},{"name":"Edmund Hess","title":"COO/Managing Director","crd":"4994122"},{"name":"Adam Klepack","title":"General Counsel","crd":"5898361"},{"name":"Daniel Rapino","title":"Chief Accounting Officer","crd":"4847980"}],"ownership":[{"label":"Jefferies Financial Group Inc.","detail":"Member in the 50% to 75% ownership band, since August 2024."},{"label":"Massachusetts Mutual Life Insurance Company","detail":"Member in the 50% to 75% ownership band, since August 2024."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"520 Madison Avenue, 12th Floor","city":"New York","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-284-3474","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"Non-exchange-traded equity securities","percent":2},{"label":"Cash and cash equivalents","percent":6},{"label":"Other","percent":91,"detail":"Loans"}],"privateFunds":50},"sources":{"adv1FilingDate":"2 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/162264/PDF/162264.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Jefferies Finance have?","answer":"Jefferies Finance has 60 clients and manages $24.6 billion for them, as of March 2026. They include 56 pooled investment vehicles and 4 other clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 2 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Jefferies Finance offer?","answer":"Jefferies Finance provides portfolio management for pooled vehicles and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Jefferies Finance use?","answer":"Jefferies Finance’s separately managed account assets are held at State Street Bank and Trust Company (Boston, MA), with $252,268,591 and The Bank of New York Mellon Trust Company, N.A. (Houston, TX), with $122,117,894. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 2 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Jefferies Finance have?","answer":"Jefferies Finance has 0 investment adviser representatives registered with state securities authorities, out of 124 employees, and 51 perform investment advisory functions. 7 are registered representatives of a broker-dealer and 0 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Jefferies Finance invest in?","answer":"At the end of its last fiscal year, Jefferies Finance’s separately managed accounts held 91% loans, 6% cash and equivalents and 2% non-exchange-traded equities. It advises 50 private funds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Jefferies Finance?","answer":"Jefferies Finance’s direct owners are Jefferies Financial Group Inc. (50% to 75%) and Massachusetts Mutual Life Insurance Company (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 2 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Jefferies Finance get paid?","answer":"Jefferies Finance is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}