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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

TUCKERMAN GROUP LLC

THE TUCKERMAN GROUP LLC, CRD 109634

RYE BROOK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:03f54fdd-2b13-cc3e-d42a-a7df194a736b

Data as of Aug 7, 2012 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 1
Observed: Mar 30, 2012 to Aug 7, 2012
2 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Real Estate Fundsidentity

Tuckerman Group LLC

Real estate fund manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $7.3BItem 5.F on the latest filing (2012-08-07); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $7.0B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 29
Private funds: 5Schedule D 7.B(1)
Private fund GAV: $206Mgross asset value as reported per fund; never fund size
Custody, client assets: $1.4B
SEC number: 801-56935
CRD: 109634
Filings on the tape: 2
First filed: Mar 30, 2012
Latest filed: Aug 7, 2012
Organised: Limited Liability Company, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
DOCKSIDE PARTNERS LLC	Member	B	yes	04/1999	Mar 30, 2012	Aug 7, 2012
JOHNSON, SHAWN, C.D.	Director	Na	yes	07/2003	Mar 30, 2012	Aug 7, 2012
MARSHALL, STEPHEN, HATHAWAY	Director	Na	yes	11/2008	Mar 30, 2012	Aug 7, 2012
STATE STREET CORPORATION	SH AR EH OL DE R	E	yes	06/1990	Mar 30, 2012	Aug 7, 2012
STATE STREET GLOBAL ADVISORS, INC.	Member	E	yes	07/2012	Mar 30, 2012	Aug 7, 2012
WEISBERG, GLEN, SCOT	Director	Na	yes	11/2002	Mar 30, 2012	Aug 7, 2012
DE BARA, STEVEN	VP/CHIEF COMPLIANCE OFFICER	Na	no	01/2005	Mar 30, 2012	Aug 7, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
SSGA FUNDS MANAGEMENT, INC.	n/a	Asset manager	$1421B	N	yes	n/a
STATE STREET GLOBAL ADVISORS LIMITED	n/a	Former SEC adviser	$424B	N	yes	n/a
CARPATHIA REAL ESTATE ADVISORS LLC	n/a	Former SEC adviser	$608M	Y	yes	n/a
STATE STREET BANK & TRUST COMPANY	n/a	n/a	n/a	N	yes	Ma
STATE STREET GLOBAL ADVISORS FRANCE, S.A.	n/a	n/a	n/a	N	yes	n/a
STATE STREET GLOBAL MARKETS, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Chicago	IL	United States	n/a	no
Boston	Ma	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 30, 2012	$7.3B	$7.0B	n/a	n/a	n/a	5	$206M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$7.3B	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (4)

→ SSGA FUNDS MANAGEMENT, INC.Registered adviserother investment adviser, common control
factForm ADV
→ STATE STREET GLOBAL ADVISORS LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
→ CARPATHIA REAL ESTATE ADVISORS LLCRegistered adviserother investment adviser, control, common control
factForm ADV
← SHOTT CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (6)

← MARSHALL, STEPHEN, HATHAWAYOwnerDIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← WEISBERG, GLEN, SCOTOwnerDIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← JOHNSON, SHAWN, C.D.OwnerDIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← DOCKSIDE PARTNERS LLCOwnerMEMBER, ownership code B, domestic entity
Mar 30, 2012 to presentfactForm ADV
← STATE STREET CORPORATIONOwnerSH AR EH OL DE R, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← STATE STREET GLOBAL ADVISORS, INC.OwnerMEMBER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Owns (1)

← DE BARA, STEVENOwnerVP/CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:03f54fdd-2b13-cc3e-d42a-a7df194a736b
First observed: Mar 30, 2012
Last observed: Aug 7, 2012 171 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

TUCKERMAN GROUP LLC

THE TUCKERMAN GROUP LLC, CRD 109634

RYE BROOK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:03f54fdd-2b13-cc3e-d42a-a7df194a736b

Data as of Aug 7, 2012 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:28 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DOCKSIDE PARTNERS LLC

Member

yes

04/1999

Mar 30, 2012

Aug 7, 2012

JOHNSON, SHAWN, C.D.

Director

yes

07/2003

Mar 30, 2012

Aug 7, 2012

MARSHALL, STEPHEN, HATHAWAY

Director

yes

11/2008

Mar 30, 2012

Aug 7, 2012

STATE STREET CORPORATION

SH AR EH OL DE R

yes

06/1990

Mar 30, 2012

Aug 7, 2012

STATE STREET GLOBAL ADVISORS, INC.

Member

yes

07/2012

Mar 30, 2012

Aug 7, 2012

WEISBERG, GLEN, SCOT

Director

yes

11/2002

Mar 30, 2012

Aug 7, 2012

DE BARA, STEVEN

VP/CHIEF COMPLIANCE OFFICER

01/2005

Mar 30, 2012

Aug 7, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SSGA FUNDS MANAGEMENT, INC.

n/a

Asset manager

$1421B

yes

n/a

STATE STREET GLOBAL ADVISORS LIMITED

n/a

Former SEC adviser

$424B

yes

n/a

CARPATHIA REAL ESTATE ADVISORS LLC

n/a

Former SEC adviser

$608M

yes

n/a

STATE STREET BANK & TRUST COMPANY

n/a

yes

STATE STREET GLOBAL ADVISORS FRANCE, S.A.

n/a

yes

n/a

STATE STREET GLOBAL MARKETS, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Chicago

United States

n/a

Boston

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 30, 2012

$7.3B

$7.0B

n/a

$206M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$7.3B

n/a