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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

PICKWICK CAPITAL ADVISORS, LLC

CRD 139114

WHITE PLAINS, 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:0fe83dfa-f71e-11a3-07d3-e4323b9b5de2

Data as of Mar 29, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 2
Observed: Dec 13, 2011 to Mar 29, 2019
11 observations

Across DFX

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

Private Equityidentity

Pickwick Capital Advisors, LLC

Intermediary · shared crd

Real Estate Fundsidentity

Pickwick Capital Advisors, LLC

Affiliate · 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: $26.6MItem 5.F on the latest filing (2019-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $26.6M
Private client RAUM: $26.6MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 57
Individual clients: 23
High net worth clients: 9
SEC number: 801-65828
CRD: 139114
Filings on the tape: 11
First filed: Dec 13, 2011
Latest filed: Mar 29, 2019
Organised: Limited Liability Company, Connecticut

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
GREENWOOD, DOUGLAS, CHARLES WILLIAM	MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	E	yes	12/2005	Dec 13, 2011	Mar 29, 2019
PAVLOV, VALERI, VASSILEV	PRESIDENT/CHIEF INVESTMENT OFFICER	Na	yes	12/2005	Dec 13, 2011	Mar 29, 2019

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
PICKWICK CAPITAL PARTNERS, LLC	n/a	n/a	n/a	Y	yes	n/a

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
2018	Mar 29, 2019	$26.6M	$26.6M	2	1	0	n/a	n/a
2017	Mar 29, 2018	$25.3M	$25.3M	3	1	0	n/a	n/a
2016	Mar 17, 2017	$29.7M	$24.6M	3	2	n/a	n/a	n/a
2015	Mar 23, 2016	$30.7M	$24.0M	3	2	n/a	n/a	n/a
2014	Mar 18, 2015	$32.8M	$27.4M	3	2	n/a	n/a	n/a
2013	Mar 27, 2014	$32.1M	$26.6M	3	2	n/a	n/a	n/a
2012	Mar 21, 2013	$29.1M	$23.4M	3	2	n/a	n/a	n/a
2011	Feb 16, 2012	$27.2M	$22.2M	n/a	n/a	n/a	n/a	n/a

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
2018	$26.6M	$25.3M	5.4%	$30.7M	-4.6%	2	3	0	0

Relationships

Controls (2)

← GREENWOOD, DOUGLAS, CHARLES WILLIAMOwnerMANAGING MEMBER AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Dec 13, 2011 to presentfactForm ADV
← PAVLOV, VALERI, VASSILEVOwnerPRESIDENT/CHIEF INVESTMENT OFFICER, ownership code NA, individual
Dec 13, 2011 to presentfactForm ADV

Registered with (1)

← KEVIN RAYMOND HARPERAdvisorregistration: previous registration
Jul 20, 2009 to Dec 16, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0fe83dfa-f71e-11a3-07d3-e4323b9b5de2
First observed: Dec 13, 2011
Last observed: Mar 29, 2019 91 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.

PICKWICK CAPITAL ADVISORS, LLC

CRD 139114

WHITE PLAINS, 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:0fe83dfa-f71e-11a3-07d3-e4323b9b5de2

Data as of Mar 29, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:01 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GREENWOOD, DOUGLAS, CHARLES WILLIAM

MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER

yes

12/2005

Dec 13, 2011

Mar 29, 2019

PAVLOV, VALERI, VASSILEV

PRESIDENT/CHIEF INVESTMENT OFFICER

yes

12/2005

Dec 13, 2011

Mar 29, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PICKWICK CAPITAL PARTNERS, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 29, 2019

$26.6M

n/a

2017

Mar 29, 2018

$25.3M

n/a

2016

Mar 17, 2017

$29.7M

$24.6M

n/a

2015

Mar 23, 2016

$30.7M

$24.0M

n/a

2014

Mar 18, 2015

$32.8M

$27.4M

n/a

2013

Mar 27, 2014

$32.1M

$26.6M

n/a

2012

Mar 21, 2013

$29.1M

$23.4M

n/a

2011

Feb 16, 2012

$27.2M

$22.2M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$26.6M

$25.3M

5.4%

$30.7M

-4.6%