DAFNA CAPITAL MANAGEMENT, LLC

RIASEC RegisteredEst. 2003

Total AUM

$645M

Discretionary

$645M

100% of AUM

Avg account

$161M

Accounts

4

Employees

8

Advisory reps

3

Firm details

Headquarters: Los Angeles, California
CRD number: 129053
Registered since: December 19, 2003
Website: www.dafnacapital.com
Fee structure: Percentage of AUM, Performance Based Fees
Client types: Pooled Investment Vehicles100%
Services: Portfolio Management for Pooled Investment Vehicles

Firm profile

FINTRX

Overview

Dafna Capital Management, LLC is an SEC-registered hedge fund manager organized as an LLC and operating since 2003. The firm provides portfolio management for pooled investment vehicles and serves institutional clients. Its compensation combines an asset-based fee with performance-based fees. Dafna is not positioned as a capital allocator and does not identify as an active ESG investor or a multi-state adviser in the available data.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Owners & executives

3 of 3

FARIBA GHODSIAN
Chief Investment OfficerCRD 2760694
XUN LIN
Director of Finance & Chief Compliance OfficerCRD 6931171
NATHAN FISCHEL
Chief Executive Officer & FounderCRD 4732394

Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 3

Active vs passive

$91.9M in ETFs

Passive

100%

$91.9M

Active

0%

$0

ETF	Provider	Style	Category	Value	Shares	% of portfolio
STATE STREET(R) SPDR(R) S&P(R) BIOTECH ETF (XBI)	State Street	Passive	Health	$40.7M	318,505	44.29%

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Primary office

Los Angeles, CA

LOS ANGELES

Location

Los Angeles, CA

Headquartered in Los Angeles, CA, anchoring the Los Angeles-Long Beach, CA metro in the West.

Metro area: Los Angeles-Long Beach, CA
Region: West
County: LOS ANGELES
Address: 10990 Wilshire Blvd
Time zone: PT (UTC-8)
Office locations

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