This database was last updated in October 2019 and should only be used as a historical snapshot. There may be new information that is not included here.
Richard Jay Farber
Treasury (joined: Aug. 20, 2018)
Senior Advisor, Under Secretary for Domestic Finance | Financial Disclosure »
Bio, via UCLA Website:
Rick Farber is currently Managing Partner at McKendree Capital, an investment management company in Los Angeles. From 1995 to 2012, Mr. Farber was a Partner at Kayne Anderson Investment Advisors, also in Los Angeles where he was a portfolio manager for alternative investments and absolute return strategies and head of trading. Prior to Kayne Anderson, Mr. Farber was Vice President of Lehman Brothers Commodity Risk Management group, specializing in proprietary energy trading and hedging. He was first employed at Lehman Brothers, Inc. in 1988 as an institutional equity trader. Mr. Farber started his career on Wall Street at Salomon Brothers, Inc. as a mortgage bond analyst. Mr. Farber earned his MBA degree in Finance from the UCLA - Anderson School of Management in 1988. He is currently on the Advisory Board of the Fink Center for Finance & Investments at the Anderson School. Mr. Farber graduated from Franklin and Marshall College in 1982 with a BA in Economics, with a focus on underdeveloped economies. Mr. Farber has served the American Diabetes Association for the past eleven years and is currently the Chair of the Investment Subcommittee and was a member of the Executive Board for 6 years. He is also past Chair of the Finance Committee at the ADA as well as a member of the National Board and Pinnacle Society. Most recently, Rick was Chair of the USA Maccabi Masters Basketball team that won a bronze medal in the 2013 Maccabiah Games in Israel and Gold medal in Chile in 2015. Mr. Farber has also been a speaker at the first Ira Sohn Conference/Excellence in Investing in San Francisco and has been a guest lecturer at Anderson School investment classes and events.
Former Positions Outside Government
- ALF UTMA Custodian
- American Diabetes Association Chair of Audit committee
- American Diabetes Association Chair of Investment Subcommittee
- American Diabetes Association Member of Executive Compensation Committee
- DLF UTMA Custodian
- Estate of Florence Bonnett Executor (Waiting for IRS to approve tax filings to close out estate and distribute to beneficiaries)
- Jewish Graduate Student Initiative Advisory Board
- Kehillat Israel Synogogue Finance Committee Member
- Lightening in a Bottle Productions Chief Financial Officer
- Maccabi USA Executive Board
- Sledgehammer Enterprises LLC Manager
- UCLA Anderson Fink Center for Finance Member of Advisory Board
Former Compensation Sources
- Lightening in a Bottle Productions CFO of company
Employment Assets
| Description | Value | Income |
|---|---|---|
| IRA #1 | ||
| FIDELITY GOVERNMENT MONEY MARKET (SPAXX) | $50,001 - $100,000 | $1,001 - $2,500 |
| BLACKSTONE GSO STRATEGIC CR FD COM (BGB) | $15,001 - $50,000 | $1,001 - $2,500 |
| DOLBY LABORATORIES INC COM (DLB) | None (or less than $1,001) | $2,501 - $5,000 |
| FIRST TR HIGH INCOME LONG SHORT FD DBI (FSD) | $50,001 - $100,000 | $201 - $1,000 |
| ROCKET PHARMACEUTICALS INC COM (RCKT) | $15,001 - $50,000 | $5,001 - $15,000 |
| SOLAR CAP LTD COM (SLRC) | None (or less than $1,001) | $201 - $1,000 |
| KAYNE ANDERSON REAL ESTATE DEBT LP | $250,001 - $500,000 | None (or less than $201) |
| GLACIER WATER TRUST (GWSVP) | None (or less than $1,001) | $201 - $1,000 |
| IRA #2 | ||
| TREMONT MORTGAGE TRUST (TRMT) | $50,001 - $100,000 | None (or less than $201) |
| HPS MEZZANINE PRIVATE INVESTORS III LP OFFSHORE | $100,001 - $250,000 | None (or less than $201) |
| US BANK ACCOUNT (CASH) | $250,001 - $500,000 | $1,001 - $2,500 |
| BLACKSTONE/GSO STRATEGIC CREDIT FUND | $100,001 - $250,000 | $15,001 - $50,000 |
| LIGHTENING IN A BOTTLE PROFIT SHARING PLAN | ||
| FIDELITY GOVERNMENT MONEY MARKET (SPAXX) | $15,001 - $50,000 | $201 - $1,000 |
| VANGUARD WHITEHALL FUNDS INTERNATIONAL (VIGI) | $15,001 - $50,000 | None (or less than $201) |
| SPDR SERIES TRUST BLOOMBERG BRCLYS (JNK) | $15,001 - $50,000 | None (or less than $201) |
| KA ASSOCIATES INVESTMENT ACCOUNT | ||
| US BANK ACCOUNT #2 (CASH) | $250,001 - $500,000 | $5,001 - $15,000 |
| FIDELITY GOVERNMENT CASH RESERVES (FDRXX) | $1,000,001 - $5,000,000 | $15,001 - $50,000 |
| KAYNE ANDERSN MLP MIDS INVT CO COM (KYN) | None (or less than $1,001) | $201 - $1,000 |
| PRIMO WATER CORP COM (PRMW) | None (or less than $1,001) | $5,001 - $15,000 |
| KAYNE NEWROAD VENTURES FUND II, LP | $100,001 - $250,000 | None (or less than $201) |
| KAYNE ANDERSON ENERGY FUND III (QP), L.P. | $15,001 - $50,000 | None (or less than $201) |
| KAYNE ANDERSON ENERGY FUND V (QP), L.P. | $100,001 - $250,000 | $5,001 - $15,000 |
| KAYNE ANDERSON ENERGY FUND VI, L.P. | $500,001 - $1,000,000 | $50,001 - $100,000 |
| KAYNE PARTNERS FUND III (QP), L.P. | $500,001 - $1,000,000 | $15,001 - $50,000 |
| KAYNE ANDERSON CAPITAL INCOME PARTNERS (QP), LP | $1,000,001 - $5,000,000 | None (or less than $201) |
| KAYNE ANDERSON MLP FUND, L.P. | $1,000,001 - $5,000,000 | None (or less than $201) |
| KAYNE ANDERSON REAL ESTATE DEBT, L.P. | $500,001 - $1,000,000 | $15,001 - $50,000 |
| KAYNE ANDERSON REAL ESTATE DEBT II, L.P. | $500,001 - $1,000,000 | $15,001 - $50,000 |
| KAYNE ANDERSON REAL ESTATE PARTNER V | $250,001 - $500,000 | None (or less than $201) |
| LEHMAN BROTHERS HOLDING INC., DEFINED BENEFIT PLAN (ADMINISTERED BY PBGC) (VALUE NOT READILY ASCERTAINABLE) | None (or less than $201) | |
| Kayne Anderson Capital Advisors, L.P., partnership fixed payout (remainder of underlying assets not readily ascertainable) | $5,000,001 - $25,000,000 | $143,697 |
| Kayne NewRoad Ventures Fund, II, LP | ||
| Kayne Anderson Energy Fund III (QP), L.P. | ||
| Kayne Anderson Energy Fund V (QP), L.P. | ||
| Kayne Anderson Energy Fund VI, L.P. | ||
| Kayne Partners Fund III (QP), L.P. | ||
| Kayne Anderson Capital Income Partners (QP), L.P. | ||
| Kayne Anderson MLP Fund, L.P. | ||
| Kayne Anderson Real Estate Debt, L.P. | ||
| Kayne Anderson Real Estate Debt II, L.P. | ||
| Kayne Anderson Real Estate Partner V | ||
| KAFU Holdings (QP), L.P. | ||
| LIGHTENING IN A BOTTLE PRODUCTIONS (FILM PRODUCTION COMPANY) | $152,000 | |
| KAFU HOLDINGS (QP), L.P. | $1,000,001 - $5,000,000 | $100,001 - $1,000,000 |
| KA Associates, Inc. (Kayne Anderson broker dealer) | $15,001 - $50,000 | $201 - $1,000 |
Other Income/Assets
| Description | Value | Income |
|---|---|---|
| BANK ACCOUNT #1 | ||
| US BANK ACCOUNT #12 (CASH) | $100,001 - $250,000 | $201 - $1,000 |
| Blackstone Re Debt II LP (Real Estate) | $100,001 - $250,000 | $100,001 - $1,000,000 |
| Blackstone Re Debt II LP DPV (Real Estate) | None (or less than $1,001) | $50,001 - $100,000 |
| TRUST #1 | ||
| ACTIVE ASSETS ACCOUNT | ||
| US BANK ACCOUNT #13 (CASH) | $250,001 - $500,000 | $201 - $1,000 |
| US BANK ACCOUNT #14 (CASH) | $100,001 - $250,000 | $201 - $1,000 |
| ALIBABA GROUP HLDG LTD (BABA) | None (or less than $1,001) | $5,001 - $15,000 |
| BOINGO WIRELESS INC COM (WIFI) | $50,001 - $100,000 | $15,001 - $50,000 |
| CHESAPEAKE ENERGY CORP (CHK) | None (or less than $1,001) | $2,501 - $5,000 |
| CNX RESOURC CORP (CNX) | None (or less than $1,001) | $15,001 - $50,000 |
| ENTERPRISE PRODUCTS PARTNERS L.P. (EPD) | $250,001 - $500,000 | $5,001 - $15,000 |
| MGM GROWTH PROPERTIES LLC CL A (MGP) | None (or less than $1,001) | $5,001 - $15,000 |
| ZOETIS INC CLASS-A (ZTS) | $15,001 - $50,000 | $201 - $1,000 |
| BARCLAYS BANK PLC 8.125% ADR (BCS.D) | $50,001 - $100,000 | $5,001 - $15,000 |
| US BANCORP | $50,001 - $100,000 | $1,001 - $2,500 |
| ALLIANZ NFJ DIVID INT (NFJ) | $100,001 - $250,000 | $5,001 - $15,000 |
| BLACKROCK CORP HGH YLD FD INC (HYT) | $250,001 - $500,000 | $15,001 - $50,000 |
| BLACKROCK MUNIHLDNG CA QUAL FD (MUC) | $100,001 - $250,000 | $5,001 - $15,000 |
| FIRST TRUST HIGH INC LONG/SHOR (FSD) | $250,001 - $500,000 | $50,001 - $100,000 |
| ISHARES RUSSELL 3000 ETF (IWV) | $250,001 - $500,000 | $5,001 - $15,000 |
| PUTNAM MANAGED MUNI INCOME TR (PMM) | None (or less than $1,001) | $5,001 - $15,000 |
| STATE OF CALIFORNIA, BONDS | $500,001 - $1,000,000 | $5,001 - $15,000 |
| GENERAL ELECTRIC, BONDS | $50,001 - $100,000 | $2,501 - $5,000 |
| UNITED STATES TREASURY BILL | $500,001 - $1,000,000 | None (or less than $201) |
| INVESCO CONVERT SECURITIES A (CNSAX) | $100,001 - $250,000 | $5,001 - $15,000 |
| STATE OF CALIFORNIA, BONDS | None (or less than $1,001) | $5,001 - $15,000 |
| SUNTRUST BANKS (STI.E) | None (or less than $1,001) | $5,001 - $15,000 |
| TWITTER INC (TWTR) | None (or less than $1,001) | $1,001 - $2,500 |
| BROKERAGE ACCOUNT #1 | ||
| US BANK ACCOUNT #15 (CASH) | None (or less than $1,001) | $201 - $1,000 |
| FIDELITY GOVERNMENT MONEY MARKET (SPAXX) | $1,000,001 - $5,000,000 | $201 - $1,000 |
| FIDELITY SELECT HEALTH CARE (FSPHX) | $250,001 - $500,000 | $15,001 - $50,000 |
| FIDELITY SELECT PHARMACEUTICAL (FPHAX) | $50,001 - $100,000 | $1,001 - $2,500 |
| ENSCO PLC (ESV) | $50,001 - $100,000 | $15,001 - $50,000 |
| NABORS INDUSTRIES LTD SHS(NBR) | $100,001 - $250,000 | $15,001 - $50,000 |
| ACHILLION PHARMACEUTICALS INC (ACHN) | $100,001 - $250,000 | None (or less than $201) |
| BLACKROCK MUNIHOLDINGS CALIF (MUC) | $500,001 - $1,000,000 | $15,001 - $50,000 |
| BLACKROCK MUNIYIELD CALIF QUALITY FD (MCA) | $250,001 - $500,000 | $15,001 - $50,000 |
| CORINDUS VASCULAR ROBOTICS IN CCOM (CVRS) | $15,001 - $50,000 | None (or less than $201) |
| EATON VANCE CALIF MUNICIPAL BOND FUND (EVM) | $250,001 - $500,000 | $15,001 - $50,000 |
| INVESCO VAN KAMPEN MUN INC TR COM (VCV) | $500,001 - $1,000,000 | $50,001 - $100,000 |
| NUVEEN CA QUALITY MUN INCOME FD COM (NAC) | $1,000,001 - $5,000,000 | $50,001 - $100,000 |
| OCH-ZIFF CAP MGMT GROUP CL A SHS (OZM) | $50,001 - $100,000 | $5,001 - $15,000 |
| OCWEN FINL CORP COM NEW (OCN) | $100,001 - $250,000 | $15,001 - $50,000 |
| ROCKET PHARMACEUTICALS INC (RCKT) | $100,001 - $250,000 | $100,001 - $1,000,000 |
| TRI POINTE GROUP INC COM (TPH) | $50,001 - $100,000 | $15,001 - $50,000 |
| TRAVELCENTERS AMER LLC COM (TA) | $50,001 - $100,000 | None (or less than $201) |
| ISHARES MSCI BRAZIL ETF (EWZ) | None (or less than $1,001) | $5,001 - $15,000 |
| ISHARES TR 20 YR TR BD ETF (TLT) | None (or less than $1,001) | $15,001 - $50,000 |
| BARCLAYS BANK PLC IPATH BLOOMBERG (JJCTF) OPEN SHORT POSITION: 100 SHARES AT $30 | None (or less than $201) | |
| AMC NETWORKS INC COM USD0.01 CL A (AMCX) | None (or less than $1,001) | $15,001 - $50,000 |
| ADAMIS PHARMACEUTICALS CORP (ADMP) | None (or less than $1,001) | $15,001 - $50,000 |
| ALASKA AIR GROUP INC (ALK) | None (or less than $1,001) | $15,001 - $50,000 |
| ALIBABA GROUP HLDG LTD (BABA) | None (or less than $1,001) | $5,001 - $15,000 |
| ALLIANCE CALIF MUN INCOME FD COM (AKP) | None (or less than $1,001) | $2,501 - $5,000 |
| ALTISOURCE ASSET MGMT CORP COM (AAMC) | None (or less than $1,001) | $15,001 - $50,000 |
| BAUSCH HEALTH COMPANIES INC COM (BHC) | None (or less than $1,001) | $15,001 - $50,000 |
| BEST BUY INC (BBY) | None (or less than $1,001) | $5,001 - $15,000 |
| CVS HEALTH CORP COM (CVS) | None (or less than $1,001) | $15,001 - $50,000 |
| CBS CORP NEW CL B (CBS) | None (or less than $1,001) | $5,001 - $15,000 |
| CELLECTIS ADS EACH REPR 1 ORD SPON (CLLS) | None (or less than $1,001) | $1,001 - $2,500 |
| CLEVELAND CLIFFS INC COM (CLF) | None (or less than $1,001) | $50,001 - $100,000 |
| ESPERION THERAPEUTICS COM (ESPR) OPEN SHORT POSITION: 100 SHARES AT $43 | $15,001 - $50,000 | |
| HILTON WORLDWIDE HLDGS INC (HLT) OPEN SHORT POSITION: 100 SHARES AT $77 | $2,501 - $5,000 | |
| MACYS INC COM (M) | None (or less than $1,001) | $5,001 - $15,000 |
| MARRIOTT INTL INC CL A (MAR) OPEN SHORT POSITION: 1,000 SHARES AT $121 | None (or less than $201) | |
| NATERA INC COM (NTRA) | None (or less than $1,001) | $50,001 - $100,000 |
| NUVEEN CALIFORNIA AMT QLT MUN COM (NKX) | None (or less than $1,001) | $1,001 - $2,500 |
| NUVEEN CREDIT STRATEGIES INCOME (JQC) | None (or less than $1,001) | $2,501 - $5,000 |
| QUALCOMM INC (QCOM) | None (or less than $1,001) | $15,001 - $50,000 |
| UNITED STATES NATL GAS FUND LP UNIT PAR (UNG) | None (or less than $1,001) | $5,001 - $15,000 |
| UNITED STATES OIL FUND LP UNITS (USO) OPEN SHORT POSITION: 100 SHARES AT $16 | None (or less than $201) | |
| CALL (CVS) CVS HEALTH CORP | None (or less than $1,001) | $50,001 - $100,000 |
| CALL (DM) DOMINION ENERGY | None (or less than $1,001) | $5,001 - $15,000 |
| CALL (EWZ) ISHARES MSCI BRAZIL | None (or less than $1,001) | $5,001 - $15,000 |
| PUT (SPY) SPDR S&P 500 ETF | None (or less than $1,001) | $50,001 - $100,000 |
| CALL (UNG) UNITED STATES NATL GAS | None (or less than $1,001) | $5,001 - $15,000 |
| ADVANCE AUTO PARTS INC COM, (AAP) | None (or less than $1,001) | $5,001 - $15,000 |
| CALL (CLF) CLEVELAND CLIFFS INC COM | None (or less than $1,001) | $5,001 - $15,000 |
| CALL (APRN) BLUE APRON HLDGS INC CL A | None (or less than $1,001) | $5,001 - $15,000 |
| CALL (FXI) ISHARES FTSE/XINHUA CHINA 25 INDEX | None (or less than $1,001) | $5,001 - $15,000 |
| CALL (K) KELLOG COMPANY | None (or less than $1,001) | $5,001 - $15,000 |
| CALL (KITE) KITE PHARMA INC COM | None (or less than $1,001) | $1,001 - $2,500 |
| CALL (LPI) LAREDO PETROLEUM, INC. | None (or less than $1,001) | $15,001 - $50,000 |
| CALL (LULU) LULULEMON ATHLETICA INC COM | None (or less than $1,001) | $5,001 - $15,000 |
| CALL (M) MACYS INC COM | None (or less than $1,001) | $15,001 - $50,000 |
| CALL (QQQ) INVESCO QQQ TRUST | None (or less than $1,001) | $2,501 - $5,000 |
| CALL (SRPT) SAREPTA THERAPEUTICS INC COM | None (or less than $1,001) | $1,001 - $2,500 |
| CALL (TLT) ISHARES TR 20 YR TR BD ETF | None (or less than $1,001) | $5,001 - $15,000 |
| CALL (USO) UNITED STATES OIL FUND LP UNITS | None (or less than $1,001) | $5,001 - $15,000 |
| CALL (UUP) POWERSHARES DB US DOLLAR INDEX BULLISH FD | None (or less than $1,001) | $5,001 - $15,000 |
| CALL (VIAB) VIACOM INC NEW CL B | None (or less than $1,001) | $15,001 - $50,000 |
| CALL BAUSCH HEALTH COMPANIES INC (VRX) | None (or less than $1,001) | $50,001 - $100,000 |
| ECLIPSE RES CORP COM (ECR) | None (or less than $1,001) | $2,501 - $5,000 |
| EDITAS MEDICINE INC COM (EDIT) | None (or less than $1,001) | $15,001 - $50,000 |
| INOTEK PHARMACEUTICALS CORP COM (ITEK) | None (or less than $1,001) | $15,001 - $50,000 |
| INTELLIA THERAPEUTICS INC COM (NTLA) | None (or less than $1,001) | $50,001 - $100,000 |
| ISHARES MSCI MEXICO CAPPED INVESTABLE MA (EWW) | None (or less than $1,001) | $2,501 - $5,000 |
| ISHARES TR IBOXX HI YD ETF (HYG) | None (or less than $1,001) | $5,001 - $15,000 |
| JETBLUE AIRWAYS CORPORATION (JBLU) | None (or less than $1,001) | $2,501 - $5,000 |
| KOHLS CORP COM (KSS) | None (or less than $1,001) | $2,501 - $5,000 |
| LAREDO PETROLEUM INC COM (LPI) | None (or less than $1,001) | $1,001 - $2,500 |
| PUT (CLF) CLEVELAND CLIFFS INC COM | None (or less than $1,001) | $5,001 - $15,000 |
| PUT (ALK) ALASKA AIR GROUP INC | None (or less than $1,001) | $5,001 - $15,000 |
| PUT (CBS) CBS CORP NEW CL B | None (or less than $1,001) | $201 - $1,000 |
| PUT (DKS) DICKS SPORTING GOODS INC | None (or less than $1,001) | $201 - $1,000 |
| PUT (EWW) ISHARES MSCI MEXICO CAPPED INVESTABLE MA | None (or less than $1,001) | $2,501 - $5,000 |
| PUT (EWZ) ISHARES MSCI BRAZIL | None (or less than $1,001) | $15,001 - $50,000 |
| PUT (JWN) NORDSTROM, INC. | None (or less than $1,001) | $15,001 - $50,000 |
| PUT (KITE) KITE PHARMA INC COM | None (or less than $1,001) | $1,001 - $2,500 |
| PUT (KSS) KOHLS CORP COM | None (or less than $1,001) | $2,501 - $5,000 |
| PUT (QQQ) INVESCO QQQ TRUST | None (or less than $1,001) | $1,001 - $2,500 |
| PUT (SHLD) SEARS HLDGS CORP COM | None (or less than $1,001) | $2,501 - $5,000 |
| PUT (SLV) ISHARES SILVER TR ISHARES | None (or less than $1,001) | $2,501 - $5,000 |
| PUT (SWN) SOUTHWESTERN ENERGY CO | None (or less than $1,001) | $201 - $1,000 |
| PUT (TLT) ISHARES TR 20 YR TR BD ETF | None (or less than $1,001) | $5,001 - $15,000 |
| PUT BAUSCH HEALTH COMPANIES INC (VRX) | None (or less than $1,001) | $2,501 - $5,000 |
| PUT (WLL) WHITING PETE CORP NEW COM | None (or less than $1,001) | $2,501 - $5,000 |
| PUT (XLF) FINANCIAL SELECT SECTOR SPDR ETF | None (or less than $1,001) | $2,501 - $5,000 |
| SEARS HLDGS CORP COM (SHLD) | None (or less than $1,001) | $5,001 - $15,000 |
| VALEANT PHARMACEUTICALS INTLINC (VRX) | None (or less than $1,001) | $2,501 - $5,000 |
| VIACOM INC NEW CL B (VIAB) | None (or less than $1,001) | $5,001 - $15,000 |
| WHITING PETE CORP NEW COM (WLL) | None (or less than $1,001) | $15,001 - $50,000 |
| BP MIDSTREAM PARTNERS LP UNIT LTDPTNR (BPMP) | None (or less than $1,001) | $1,001 - $2,500 |
| ISHARES SILVER TR ISHARES (SLV) | None (or less than $1,001) | $5,001 - $15,000 |
| KKR & CO L P DEL COM UNITS (KKR) | None (or less than $1,001) | $15,001 - $50,000 |
| TOLL BROTHERS INC COM (TOL) | None (or less than $1,001) | $1,001 - $2,500 |
| FIDELITY SELECT MATERIALS PORTFOLIO (FSDPX) | None (or less than $1,001) | $15,001 - $50,000 |
| CALL (BHGE) BAKER HUGHES A GE COFEB | None (or less than $1,001) | $5,001 - $15,000 |
| PUT (CVS) CVS HEALTH CORP | None (or less than $1,001) | $5,001 - $15,000 |
| PUT (DM) DOMINION ENERGY | None (or less than $1,001) | $2,501 - $5,000 |
| PUT (ESV) ENSCO PLC COM | None (or less than $1,001) | $2,501 - $5,000 |
| CALL (F) FORD MTR CO DEL COM | None (or less than $1,001) | $1,001 - $2,500 |
| PUT (NBR) NABORS INDUSTRIES | None (or less than $1,001) | $201 - $1,000 |
| PUT (NBR) NABORS INDUSTRIES | None (or less than $1,001) | $1,001 - $2,500 |
| PUT (NTLA) INTELLIA THERAPEUTICS INC COM | None (or less than $1,001) | $1,001 - $2,500 |
| CALL (OIH) VANECK VECTORS ETF | None (or less than $1,001) | $5,001 - $15,000 |
| CALL (RCKT) ROCKET PHARMACEUTICALS INC | None (or less than $1,001) | $2,501 - $5,000 |
| PUT (RCKT) ROCKET PHARMACEUTICALS INC | None (or less than $1,001) | $15,001 - $50,000 |
| CALL (SPY) SPDR S&P 500 ETF | None (or less than $1,001) | $2,501 - $5,000 |
| PUT (UNG) UNITED STATES NATL GAS | None (or less than $1,001) | $1,001 - $2,500 |
| CALL (URBN) URBAN OUTFITTERS INC COM | None (or less than $1,001) | $2,501 - $5,000 |
| PUT (URBN) URBAN OUTFITTERS INC COM | None (or less than $1,001) | $201 - $1,000 |
| CALL (VIX) CBOE MKT VOLATILITY | None (or less than $1,001) | $2,501 - $5,000 |
| CALL (VXX) BARCLAYS BK PLC | None (or less than $1,001) | $5,001 - $15,000 |
| PUT (VXX) BARCLAYS BK PLC | None (or less than $1,001) | $5,001 - $15,000 |
| BARCLAYS BK PLC IPATH S&P 500 VIX SHORT TERM FUTURES ETN (VXX) | None (or less than $1,001) | $15,001 - $50,000 |
| BROKERAGE ACCOUNT #2 | ||
| US MARGIN ACCOUNT #1 (CASH) | $100,001 - $250,000 | None (or less than $201) |
| US BROKERAGE ACCOUNT #4 | $250,001 - $500,000 | $201 - $1,000 |
| ACHILLION PHARMACEUTICALS INC (ACHN) | $50,001 - $100,000 | None (or less than $201) |
| BRISTOL MYERS SQUIBB COMPANY (BMY) | $100,001 - $250,000 | $15,001 - $50,000 |
| CANADA GOOSE HOLDINGS INC SUB VTG (GOOS), OPEN SHORT POSITION: 3,000 SHARES AT $61 | None (or less than $201) | |
| FATE THERAPEUTICS INC (FATE) | $250,001 - $500,000 | None (or less than $201) |
| FIREEYE INC (FEYE) | $250,001 - $500,000 | $15,001 - $50,000 |
| ROCKET PHARMACEUTICALS INC (RCKT) | $250,001 - $500,000 | None (or less than $201) |
| CELLECTIS ROMAINVILLE SHS NOM (CMVLF) | $100,001 - $250,000 | $15,001 - $50,000 |
| MEIRAGTX HOLDINGS PLC (MGTX) | $15,001 - $50,000 | None (or less than $201) |
| CALL BAUSCH HEALTH COS (BHC) | $50,001 - $100,000 | None (or less than $201) |
| SOLAR SENIOR CAPITAL LTD (SUNS) | $100,001 - $250,000 | $15,001 - $50,000 |
| SHELL MIDSTREAM PARTNERS LP (SHLX) | $100,001 - $250,000 | $15,001 - $50,000 |
| MONARCH CAPITAL PARTNERS III LP | $1,000,001 - $5,000,000 | $100,001 - $1,000,000 |
| NB STRATEGIC CO INVESTMENT PARTNERS III B LP | $500,001 - $1,000,000 | None (or less than $201) |
| DOVA PHARMACEUTICALS INC (DOVA) | None (or less than $1,001) | $15,001 - $50,000 |
| VERRICA PHARMACEUTICALS INC (VRCA) | None (or less than $1,001) | $2,501 - $5,000 |
| UNITED STATES OIL FUND LTD PARTNERSHIP (USO) | None (or less than $1,001) | $5,001 - $15,000 |
| CALL QUALCOMM INC (QCOM) | None (or less than $1,001) | $15,001 - $50,000 |
| GENERAL MILLS INC | None (or less than $1,001) | $2,501 - $5,000 |
| TENCENT HOLDINGS LTD (TCEHY) | None (or less than $1,001) | $50,001 - $100,000 |
| OUTFRONT MEDIA INC (OUT) | None (or less than $1,001) | $15,001 - $50,000 |
| RAPID7 INC (RPD) | None (or less than $1,001) | $2,501 - $5,000 |
| ARSANIS INC (ASNS) | None (or less than $1,001) | $5,001 - $15,000 |
| BP MIDSTREAM PARTNERS LP (BPMP) | None (or less than $1,001) | $15,001 - $50,000 |
| BARCLAYS PLC ADR (BCS) | None (or less than $1,001) | $1,001 - $2,500 |
| COMMERCEHUB INC C (CHUBK) | None (or less than $1,001) | $2,501 - $5,000 |
| COMMERCEHUB INC A (CHUBA) | None (or less than $1,001) | $1,001 - $2,500 |
| CREDIT SUISSE GRP SP ADR (CS) | None (or less than $1,001) | $5,001 - $15,000 |
| FT VII GLB TACTICAL ETF (FTGC) | None (or less than $1,001) | $2,501 - $5,000 |
| SMART GLOBAL HLDGS INC (SGH) | None (or less than $1,001) | $15,001 - $50,000 |
| SOUTHWESTERN ENERGY CO (SWN) | None (or less than $1,001) | $2,501 - $5,000 |
| CALL BRISTOL MYERS SQUIBB COMPANY (BMY) | None (or less than $1,001) | $1,001 - $2,500 |
| PUT BRISTOL MYERS SQUIBB COMPANY (BMY) | None (or less than $1,001) | $1,001 - $2,500 |
| CALL FIREEYE INC (FEYE) | None (or less than $1,001) | $15,001 - $50,000 |
| CALL ALERIAN MLP ETF (AMLP) | None (or less than $1,001) | $5,001 - $15,000 |
| BROKERAGE ACCOUNT #3 | ||
| FOUNDATION MEDICINE INC (FMI) | None (or less than $1,001) | $100,001 - $1,000,000 |
| JETBLUE AIRWAYS CORP (JBLU) | None (or less than $1,001) | $50,001 - $100,000 |
| KKR & CO INC COM NPV-CL A (KKR) | $250,001 - $500,000 | $5,001 - $15,000 |
| PLAINS ALL AMERICAN PIPELINE LP (PAA) | $250,001 - $500,000 | $15,001 - $50,000 |
| TWITTER INC (TWTR) | None (or less than $1,001) | $1,001 - $2,500 |
| ZSCALER INC (ZS) | $100,001 - $250,000 | $15,001 - $50,000 |
| AILERON THERAPEUTICS INC (ALRN) | $100,001 - $250,000 | None (or less than $201) |
| BOSTON PRIVATE FINL HOLDINGS INC (BPFH) | $50,001 - $100,000 | $2,501 - $5,000 |
| CAMPING WORLD HOLDINGS INC-A (CWH) | $100,001 - $250,000 | $201 - $1,000 |
| DICERNA PHARMACEUTICALS INC (DRNA) | $100,001 - $250,000 | None (or less than $201) |
| FRESHPET INC (FRPT) | $100,001 - $250,000 | None (or less than $201) |
| PTC THERAPEUTICS INC (PTCT) | $100,001 - $250,000 | $15,001 - $50,000 |
| SWITCH INC - A (SWCH) | $100,001 - $250,000 | $1,001 - $2,500 |
| TOCAGEN INC (TOCA) | $50,001 - $100,000 | None (or less than $201) |
| VIVEVE MEDICAL INC (VIVE) | $50,001 - $100,000 | None (or less than $201) |
| WISDOMTREE INVESTMENTS INC (WETF) | $50,001 - $100,000 | $2,501 - $5,000 |
| AIA GROUP LTD (HKD) | $250,001 - $500,000 | $5,001 - $15,000 |
| BELMOND LTD-CLASS A (BEL) | $100,001 - $250,000 | None (or less than $201) |
| ROCHE HOLDING LTD-SPONS ADR (RHHB Y) | $100,001 - $250,000 | $5,001 - $15,000 |
| CHARLES SCHWAB CORP (BBB /BAA) | $100,001 - $250,000 | $15,001 - $50,000 |
| MACKAY MUNICIPAL STRATEGIC OPPORTUNITIES FUND, L.P. | $1,000,001 - $5,000,000 | $5,001 - $15,000 |
| DFJ GROWTH 2013 PRIVATE INVESTORS, LLC CLASS A | $500,001 - $1,000,000 | None (or less than $201) |
| GIF V PRIVATE INVESTORS ONSHORE LLC | $100,001 - $250,000 | $5,001 - $15,000 |
| SVSS IV PRIVATE INVESTORS, LLC | $100,001 - $250,000 | None (or less than $201) |
| WARBURG PINCUS ENERGY PRIVATE INVESTORS ONSHORE, LLC | $500,001 - $1,000,000 | $2,501 - $5,000 |
| FOREST CITY REALTY TRUST-A | $100,001 - $250,000 | $2,501 - $5,000 |
| DOMINION ENERGY MIDSTREAM PARTNERS, LP | $100,001 - $250,000 | $15,001 - $50,000 |
| ISHARES SILVER TRUST (SLV) | $250,001 - $500,000 | None (or less than $201) |
| BLACKROCK CORPORATE HIGH YIELD FUND | $15,001 - $50,000 | $5,001 - $15,000 |
| PUERTO RICO, BONDS | $500,001 - $1,000,000 | None (or less than $201) |
| TRI POINTE HOMES INC | $100,001 - $250,000 | None (or less than $201) |
| JPM TR I TAX FREE RESERVE SWEEP FD | $1,000,001 - $5,000,000 | $15,001 - $50,000 |
| GOLAR LNG LTD (GLNG) | None (or less than $1,001) | $15,001 - $50,000 |
| WAVE LIFE SCIENCES PTE LTD (WVE) | None (or less than $1,001) | $50,001 - $100,000 |
| TRIUMPH GROUP INC (TGI) | None (or less than $1,001) | $15,001 - $50,000 |
| AMC NETWORKS INC-A (AMCX) | None (or less than $1,001) | $15,001 - $50,000 |
| IPATH BLOOMBERG COFFEE SUBINDEX TOTAL RETURN ETN (JJOFF) | None (or less than $1,001) | $5,001 - $15,000 |
| BLUEBIRD BIO INC (BLUE) | None (or less than $1,001) | $50,001 - $100,000 |
| FOUNDATION MEDICINE INC (FMI) | None (or less than $1,001) | $50,001 - $100,000 |
| FORTRESS INVESTMENTS GRP (FIG) | None (or less than $1,001) | $50,001 - $100,000 |
| MORGAN STANLEY (MS PRI) | None (or less than $1,001) | $5,001 - $15,000 |
| FERRARI NV - W/I (RACE) | None (or less than $1,001) | $15,001 - $50,000 |
| TOLL BROTHERS (TOL) | None (or less than $1,001) | $5,001 - $15,000 |
| JPMORGAN CHASE & CO BONDS | None (or less than $1,001) | $15,001 - $50,000 |
| BANK ACCOUNT #2 (CASH) | None (or less than $1,001) | $201 - $1,000 |
| BANK ACCOUNT #3 (CASH) | $100,001 - $250,000 | $201 - $1,000 |
| BANK ACCOUNT #4 (MONEY MARKET ACCOUNT) | $50,001 - $100,000 | $201 - $1,000 |
| CAPTIVE8 (online advertising and data analysis for social media) | $50,001 - $100,000 | None (or less than $201) |
| BANK ACCOUNT #5 | ||
| CASH | $250,001 - $500,000 | $201 - $1,000 |
| BLACKROCK LIQUIDITY (TMCXX) | $50,001 - $100,000 | $2,501 - $5,000 |
| IRREVOCABLE INSURANCE TRUST | ||
| NORTHWESTERN MUTUAL WHOLE LIFE INSURANCE POLICY | $100,001 - $250,000 | $5,001 - $15,000 |
| BANK ACCOUNT #6 (CASH) | $50,001 - $100,000 | None (or less than $201) |
| BANK ACCOUNT #7 (CASH) | $50,001 - $100,000 | $201 - $1,000 |
| BANK ACCOUNT #8 (CASH) | $15,001 - $50,000 | None (or less than $201) |
| BANK ACCOUNT #9 (CASH) | $50,001 - $100,000 | None (or less than $201) |
| BANK ACCOUNT #10 (CASH) | $1,001 - $15,000 | None (or less than $201) |
| BANK ACCOUNT #11 (CASH) | $15,001 - $50,000 | None (or less than $201) |
| RTW ONSHORE FUND ONE, LP | $500,001 - $1,000,000 | None (or less than $201) |
| RILEY INVESTMENT PARTNERS TRUST, A L.P. LIQUIDATING TRUST (Value not readily available) | $5,001 - $15,000 | |
| FORTRESS INVESTMENT GROUP LLC (INVESTMENT MANAGEMENT) | None (or less than $1,001) | $1,800 |
| QUALCOMM Incorporated (QCOM) | None (or less than $1,001) | $50,001 - $100,000 |
| PUT SOUTHWESTERN ENERGY COMPANY (SWN) | None (or less than $1,001) | $1,001 - $2,500 |
| SOUTHWESTERN ENERGY COMPANY (SWN) | None (or less than $1,001) | $15,001 - $50,000 |
| US OIL FUND (USO) | None (or less than $1,001) | $2,501 - $5,000 |
| CITIGROUP PREFERRED STOCK | None (or less than $1,001) | $15,001 - $50,000 |
| Dow Jones ETF | None (or less than $1,001) | $15,001 - $50,000 |
| FIRST TRUST HIGH INCOME LONG/SHORT FUND (FSD) | None (or less than $1,001) | $15,001 - $50,000 |
| First Trust High Income Long/Short Fund (FSD) | None (or less than $1,001) | $5,001 - $15,000 |
| MOBILEYE NV (MBLY) (IMAGE SENSING AND PROCESSING TECHNOLOGY FOR AUTOMOTIVE APPLICATIONS) | None (or less than $1,001) | $50,001 - $100,000 |
| SOLAR CAPITAL LTD. (SLRC) | None (or less than $1,001) | $15,001 - $50,000 |
| CALIFORNIA STATE GENERAL OBLIGATION BOND | None (or less than $1,001) | $15,001 - $50,000 |
| OUTFRONT MEDIA (OUT) (FRACTIONAL SHARE) | None (or less than $1,001) | $201 - $1,000 |
| GLACIER WATER TR (GWSV) (WATER DISPENSING COMPANY) | None (or less than $1,001) | $15,001 - $50,000 |
Employment Agreements and Arrangements
| Employer or Party | City, State | Status and Terms | Date |
|---|---|---|---|
| Kayne Anderson Capital Partners, L.P. | Los Angeles, California | Pursuant to the terms of the partnership agreement, I receive a yearly partnership distribution. | June 16, 1995 |
| Lightening in a Bottle Productions | Pacific Palisades, California | I will continue to participate in the profit sharing plan. | April 16, 2017 |
Liabilities
| Creditor Name | Creditor Type | Amount | Rate | Year Incurred |
|---|---|---|---|---|
| Kayne Anderson Energy Fund VI, LP | Capital Call | $250,001 - $500,000 | N/A | 2012 |
| Kayne Anderson Real Estate Debt II, LP | Capital Call | $250,001 - $500,000 | N/A | 2017 |
| Kayne Anderson Real Estate Partners V, LP | Capital Call | $1,000,001 - $5,000,000 | N/A | 2018 |
| Kayne Newroad Ventures Fund II, LP | Capital Call | $100,001 - $250,000 | N/A | 2016 |
| Kayne Partners Fund III, LP | Capital Call | $50,001 - $100,000 | N/A | 2016 |
| GIF V (Gavea) | Capital Call | $50,001 - $100,000 | N/A | 2014 |
| WP Energy (Warburg) | Capital Call | $250,001 - $500,000 | N/A | 2014 |
| DFJ Growth | Capital Call | $15,001 - $50,000 | N/A | 2013 |
| Strategic Value (SVSS) | Capital Call | $500,001 - $1,000,000 | N/A | 2018 |
| NB Co-invest (Neuberger) | Capital Call | $250,001 - $500,000 | N/A | 2015 |
Spouse's Employment Assets
| Description | Value | Income Type | Income Amount |
|---|---|---|---|
| IRA #1 | |||
| ARES COMMERCIAL REAL EST CORP (ACRE) | $15,001 - $50,000 | Dividends | $5,001 - $15,000 |
| WILLIAMS CO INC (WMB) | $15,001 - $50,000 | Dividends | $1,001 - $2,500 |
| FIRST TR DOW JONES STOXX EUR (FDD) | $50,001 - $100,000 | $2,501 - $5,000 | |
| ISHARES US REAL ESTATE ETF (IYR) | $50,001 - $100,000 | $2,501 - $5,000 | |
| ISHARES GLOBAL HIGH YIELD CORP BOND ETF (GHYG) | $50,001 - $100,000 | None (or less than $201) | |
| PRODUCER-WRITERS GUILD OF AMERICA, DEFINED BENEFIT PLAN (VALUE NOT READILY DETERMINABLE) | None (or less than $201) | ||
| LIGHTENING IN A BOTTLE PRODUCTIONS (FILM PRODUCTION COMPANY) | Salary |
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