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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

SPARTA ASSET MANAGEMENT, LLC

CRD 144792

ROSEMONT, IL

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:12717ca8-ddbc-e71d-bb75-b987ddaee4c6

Data as of Aug 31, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Nov 18, 2011 to Aug 31, 2012
3 observations

Across DFX

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.

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: $117MItem 5.F on the latest filing (2012-08-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $117M
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: 12
SEC number: 801-68260
CRD: 144792
Filings on the tape: 3
First filed: Nov 18, 2011
Latest filed: Aug 31, 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
BURKHART, CHARLES, B.	Manager	F	yes	05/2000	Nov 18, 2011	Aug 31, 2012
GURNEY, SUSAN, EILEEN	CHIEF OPERATING OFFICER	Na	yes	09/2007	Nov 18, 2011	Aug 31, 2012
ROSEMONT INVESTMENT PARTNERS II, LLC	GP	F	yes	03/2004	Nov 18, 2011	Aug 31, 2012
ROSEMONT INVESTMENT PARTNERS, LLC	Manager	F	yes	03/2004	Nov 18, 2011	Aug 31, 2012
ROSEMONT PARTNERS II, LP	Member	C	yes	07/2007	Nov 18, 2011	Aug 31, 2012
SAM PARTNERS LLC	Member	D	yes	09/2007	Nov 18, 2011	Aug 31, 2012
WILKINSON, NEAL, ALLEN	CHIEF COMPLIANCE OFFICER / CEO	Na	yes	09/2007	Nov 18, 2011	Aug 31, 2012
WILKINSON, NEAL, ALLEN	MANAGEMENT COMMITTEE	F	yes	09/2007	Nov 18, 2011	Aug 31, 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
ROSEMONT INVESTMENT PARTNERS, LLC	n/a	Former SEC adviser	$142M	Y	no	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Bellevue	Wa	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	$531M	$531M	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
2011	$117M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ ROSEMONT INVESTMENT PARTNERS, LLCRegistered adviserother investment adviser, control
factForm ADV

Controls (7)

← GURNEY, SUSAN, EILEENOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Nov 18, 2011 to presentfactForm ADV
← WILKINSON, NEAL, ALLENOwnerMANAGEMENT COMMITTEE, ownership code F, individual
Nov 18, 2011 to presentfactForm ADV
← BURKHART, CHARLES, B.OwnerMANAGER, ownership code F, individual
Nov 18, 2011 to presentfactForm ADV
← ROSEMONT INVESTMENT PARTNERS II, LLCOwnerGP, ownership code F, domestic entity
Nov 18, 2011 to presentfactForm ADV
← ROSEMONT INVESTMENT PARTNERS, LLCOwnerMANAGER, ownership code F, domestic entity
Nov 18, 2011 to presentfactForm ADV
← ROSEMONT PARTNERS II, LPOwnerMEMBER, ownership code C, domestic entity
Nov 18, 2011 to presentfactForm ADV
← SAM PARTNERS LLCOwnerMEMBER, ownership code D, domestic entity
Nov 18, 2011 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:12717ca8-ddbc-e71d-bb75-b987ddaee4c6
First observed: Nov 18, 2011
Last observed: Aug 31, 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.

SPARTA ASSET MANAGEMENT, LLC

CRD 144792

ROSEMONT, IL

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:12717ca8-ddbc-e71d-bb75-b987ddaee4c6

Data as of Aug 31, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:33 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BURKHART, CHARLES, B.

Manager

yes

05/2000

Nov 18, 2011

Aug 31, 2012

GURNEY, SUSAN, EILEEN

CHIEF OPERATING OFFICER

yes

09/2007

Nov 18, 2011

Aug 31, 2012

ROSEMONT INVESTMENT PARTNERS II, LLC

yes

03/2004

Nov 18, 2011

Aug 31, 2012

ROSEMONT INVESTMENT PARTNERS, LLC

Manager

yes

03/2004

Nov 18, 2011

Aug 31, 2012

ROSEMONT PARTNERS II, LP

Member

yes

07/2007

Nov 18, 2011

Aug 31, 2012

SAM PARTNERS LLC

Member

yes

09/2007

Nov 18, 2011

Aug 31, 2012

WILKINSON, NEAL, ALLEN

CHIEF COMPLIANCE OFFICER / CEO

yes

09/2007

Nov 18, 2011

Aug 31, 2012

WILKINSON, NEAL, ALLEN

MANAGEMENT COMMITTEE

yes

09/2007

Nov 18, 2011

Aug 31, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ROSEMONT INVESTMENT PARTNERS, LLC

n/a

Former SEC adviser

$142M

n/a

City

State

Country

Employees

Also broker-dealer

Bellevue

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 30, 2012

$531M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$117M

n/a