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CRD 104955
WHITE PLAINS, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| DOSSANTOS, PAUL, A | VP,CFO,CEO,CLO,AMLO,CCO | D | yes | 06/1981 | Jan 6, 2012 | Aug 7, 2020 |
| KEENAN, JEROME, STEPHEN | PRESIDENT,COO | D | yes | 06/1981 | Jan 6, 2012 | Aug 7, 2020 |
| PEREYRA, ANNIE | ASSOCIATE PARTNER | Na | yes | 08/2020 | Mar 23, 2020 | Aug 7, 2020 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| INTERNATIONAL EQUITY SERVICES, INC. | n/a | n/a | n/a | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Schnectady | NY | United States | 2 | no |
| Cincinnati | Oh | United States | 2 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2019 | Mar 23, 2020 | $73.2M | $0 | 4 | 2 | 2 | n/a | n/a |
| 2018 | Mar 29, 2019 | $62.2M | $0 | 4 | 2 | 2 | n/a | n/a |
| 2017 | Mar 28, 2018 | $63.6M | $0 | 4 | 2 | 2 | n/a | n/a |
| 2016 | Mar 7, 2017 | $51.3M | $0 | 2 | 2 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $55.3M | $0 | 2 | 2 | n/a | n/a | n/a |
| 2014 | Feb 23, 2015 | $52.8M | $0 | 5 | 3 | n/a | n/a | n/a |
| 2013 | Mar 25, 2014 | $47.6M | $0 | 4 | 3 | n/a | n/a | n/a |
| 2012 | Jan 9, 2013 | $46.3M | $0 | 4 | 3 | n/a | n/a | n/a |
| 2011 | Jan 6, 2012 | $35.1M | $0 | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2019 | $73.2M | $62.2M | 17.8% | $51.3M | 12.6% | 4 | 4 | 2 | 2 |