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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

PITON INVESTMENT MANAGEMENT, LP

CRD 282517

GARDEN CITY, 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:13485d72-bcc8-8098-4a53-3929ddf508cb

Data as of Apr 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 6
On other graphs: 0
Observed: Jan 26, 2016 to Apr 24, 2026
33 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: asset managerderivedprivate_client_share=0.02 fund_share=0.92 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0
Regulatory AUM: $928MItem 5.F on the latest filing (2026-04-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $928M
Private client RAUM: $14.2MderivedItem 5.D individuals plus high net worth individuals
Private client share: 2%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $155Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 9
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 177
Individual clients: 2
High net worth clients: 5
Custody, client assets: $0
SEC number: 801-107227
CRD: 282517
Filings on the tape: 33
First filed: Jan 26, 2016
Latest filed: Apr 24, 2026
Organised: Limited Partnership, DE
Website: pitonim.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
BRIAN MATTHEW LOCKWOOD	Chartered Financial Analyst	GARDEN CITY, NY	7	32	n/a	no
DANIEL THOMAS HUGHEY	Chartered Financial Analyst	GARDEN CITY, NY	6	16	n/a	no
RALPH CHAN	n/a	GARDEN CITY, NY	4	21	n/a	no
KRISTOPHER ROBERT KONRAD	n/a	GARDEN CITY, NY	0	11	n/a	no

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
PITON SPECIALTY FINANCE FUND LLC	Other Private Fund	$33.6M	Apr 15, 2024	2	Mar 29, 2023	reported	021-476459
PITON ALPHA ENHANCED INCOME MASTER FUND LP	Hedge Fund	$21.1M	Sep 29, 2017	22	May 26, 2016	dropped	021-257146

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
FORTESCUE, JAMES, PATRICK	ELECTED MANAGER	F	yes	08/2015	Jan 26, 2016	Apr 15, 2024
FORTESCUE, JAMES, PATRICK	CHIEF EXECUTIVE OFFICER	Na	yes	07/2015	Jan 26, 2016	Apr 15, 2024
GILMORE, WALTER, ALAN	Cco	Na	yes	06/2021	Jun 2, 2021	Apr 15, 2024
KONRAD, KRISTOPHER, ROBERT	Director	Na	yes	01/2018	Jan 26, 2016	Apr 15, 2024
KONRAD, KRISTOPHER, ROBERT	ELECTED MANAGER	F	yes	01/2018	Jan 26, 2016	Apr 15, 2024
LOCKWOOD, BRIAN, MATTHEW	CHIEF INVESTMENT OFFICER	Na	yes	02/2021	May 1, 2018	Apr 15, 2024
PITON MANAGEMENT LLC	OWNER, GENERAL PARTNER	E	yes	01/2018	Jan 26, 2016	Apr 15, 2024
SLATTERY, JAMES, PATRICK	PRESIDENT, CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER	Na	yes	01/2024	Jan 26, 2016	Apr 15, 2024

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
U.S. CAPITAL WEALTH ADVISORS, LLC	n/a	Bd affiliated wealth	$8.8B	Y	yes	n/a
CLEARSHARES LLC	n/a	Asset manager	$382M	N	no	n/a
13CAPITAL LLC	n/a	n/a	n/a	N	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; showing 10 of 12

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 24, 2026	$928M	$928M	9	6	0	n/a	n/a
2024	Apr 8, 2025	$871M	$871M	9	5	0	1	n/a
2023	Mar 21, 2024	$920M	$920M	10	7	0	1	$33.6M
2022	Mar 29, 2023	$973M	$973M	11	7	0	1	$30.0M
2021	Mar 28, 2022	$963M	$963M	10	6	0	n/a	n/a
2020	Mar 18, 2021	$931M	$931M	10	6	0	n/a	n/a
2019	Mar 30, 2020	$924M	$924M	10	5	0	n/a	n/a
2018	Mar 28, 2019	$1.3B	$1.3B	9	5	0	n/a	n/a
2017	Feb 7, 2018	$0	$0	7	3	0	n/a	n/a
2016	Mar 29, 2017	$94.6M	$94.6M	12	3	n/a	1	$94.6M

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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
2025	$928M	$871M	6.5%	$973M	-1.6%	9	9	0	0

Relationships

Affiliated with (3)

→ CLEARSHARES LLCRegistered adviserother investment adviser
factForm ADV
→ U.S. CAPITAL WEALTH ADVISORS, LLCRegistered adviserother investment adviser, control, common control
factForm ADV
← U.S. CAPITAL WEALTH ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Registered with (6)

← KRISTOPHER ROBERT KONRADAdvisorregistration: current employment
Mar 19, 2026 to presentfactForm ADV
← Michael E FarrellAdvisorregistration: current employment
Sep 29, 2022 to presentfactForm ADV
← RALPH CHANAdvisorregistration: current employment
Oct 18, 2021 to presentfactForm ADV
← DANIEL THOMAS HUGHEYAdvisorregistration: current employment
Sep 2, 2020 to presentfactForm ADV
← BRIAN MATTHEW LOCKWOODAdvisorregistration: current employment
Apr 18, 2019 to presentfactForm ADV
← JAMES PATRICK FORTESCUEAdvisorregistration: current employment
May 2, 2018 to presentfactForm ADV

Advises (2)

→ PITON SPECIALTY FINANCE FUND LLCPrivate fundOther Private Fund, IA
Mar 29, 2023 to presentfactForm ADV
→ PITON ALPHA ENHANCED INCOME MASTER FUND LPPrivate fundHedge Fund, IA, no longer reported
May 26, 2016 to Sep 29, 2017factForm ADV

Controls (6)

← GILMORE, WALTER, ALANOwnerCCO, ownership code NA, individual
Jun 2, 2021 to Apr 15, 2024factForm ADV
← LOCKWOOD, BRIAN, MATTHEWOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
May 1, 2018 to Apr 15, 2024factForm ADV
← FORTESCUE, JAMES, PATRICKOwnerELECTED MANAGER, ownership code F, individual
Jan 26, 2016 to Apr 15, 2024factForm ADV
← SLATTERY, JAMES, PATRICKOwnerPRESIDENT, CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER, ownership code NA, individual
Jan 26, 2016 to Apr 15, 2024factForm ADV
← KONRAD, KRISTOPHER, ROBERTOwnerELECTED MANAGER, ownership code F, individual
Jan 26, 2016 to Apr 15, 2024factForm ADV
← PITON MANAGEMENT LLCOwnerOWNER, GENERAL PARTNER, ownership code E, domestic entity
Jan 26, 2016 to Apr 15, 2024factForm ADV

Dated events

Occurred
Mar 21, 2024
Control person left
Wilhelmina Sheridan (Chief Operating Officer) no longer on Schedule A of Piton Investment Management, Lp (listed 2023-03-29, absent 2024-03-21)
Form ADVobserved 5 days ago
Occurred
Jun 2, 2021
Control person left
Patrick Jon Meyer (Chief Compliance Officer) no longer on Schedule A of Piton Investment Management, Lp (listed 2021-04-27, absent 2021-06-02)
Form ADVobserved 5 days ago
Occurred
Jun 2, 2021
Control person joined
Alan Walter Gilmore (Cco) appeared on Schedule A of Piton Investment Management, Lp
Form ADVobserved 5 days ago
Occurred
Oct 23, 2019
Control person joined
Patrick Jon Meyer (Chief Compliance Officer) appeared on Schedule A of Piton Investment Management, Lp
Form ADVobserved 5 days ago
Occurred
Oct 23, 2019
Control person left
Narasingarao Eswara (Chief Compliance Officer) no longer on Schedule A of Piton Investment Management, Lp (listed 2019-03-28, absent 2019-10-23)
Form ADVobserved 5 days ago
Occurred
Jan 26, 2016
First Form ADV filing
Piton Investment Management, Lp filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:13485d72-bcc8-8098-4a53-3929ddf508cb
First observed: Jan 26, 2016
Last observed: Apr 24, 2026 5 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.

PITON INVESTMENT MANAGEMENT, LP

CRD 282517

GARDEN CITY, 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:13485d72-bcc8-8098-4a53-3929ddf508cb

Data as of Apr 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:29 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

BRIAN MATTHEW LOCKWOOD

Chartered Financial Analyst

GARDEN CITY, NY

n/a

DANIEL THOMAS HUGHEY

Chartered Financial Analyst

GARDEN CITY, NY

n/a

RALPH CHAN

n/a

GARDEN CITY, NY

n/a

KRISTOPHER ROBERT KONRAD

n/a

GARDEN CITY, NY

n/a

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

PITON SPECIALTY FINANCE FUND LLC

Other Private Fund

$33.6M

Apr 15, 2024

Mar 29, 2023

reported

021-476459

PITON ALPHA ENHANCED INCOME MASTER FUND LP

Hedge Fund

$21.1M

Sep 29, 2017

May 26, 2016

dropped

021-257146

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FORTESCUE, JAMES, PATRICK

ELECTED MANAGER

yes

08/2015

Jan 26, 2016

Apr 15, 2024

FORTESCUE, JAMES, PATRICK

CHIEF EXECUTIVE OFFICER

yes

07/2015

Jan 26, 2016

Apr 15, 2024

GILMORE, WALTER, ALAN

Cco

yes

06/2021

Jun 2, 2021

Apr 15, 2024

KONRAD, KRISTOPHER, ROBERT

Director

yes

01/2018

Jan 26, 2016

Apr 15, 2024

KONRAD, KRISTOPHER, ROBERT

ELECTED MANAGER

yes

01/2018

Jan 26, 2016

Apr 15, 2024

LOCKWOOD, BRIAN, MATTHEW

CHIEF INVESTMENT OFFICER

yes

02/2021

May 1, 2018

Apr 15, 2024

PITON MANAGEMENT LLC

OWNER, GENERAL PARTNER

yes

01/2018

Jan 26, 2016

Apr 15, 2024

SLATTERY, JAMES, PATRICK

PRESIDENT, CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER

yes

01/2024

Jan 26, 2016

Apr 15, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

U.S. CAPITAL WEALTH ADVISORS, LLC

n/a

Bd affiliated wealth

$8.8B

yes

n/a

CLEARSHARES LLC

n/a

Asset manager

$382M

n/a

13CAPITAL LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 24, 2026

$928M

n/a

2024

Apr 8, 2025

$871M

n/a

2023

Mar 21, 2024

$920M

$33.6M

2022

Mar 29, 2023

$973M

$30.0M

2021

Mar 28, 2022

$963M

n/a

2020

Mar 18, 2021

$931M

n/a

2019

Mar 30, 2020

$924M

n/a

2018

Mar 28, 2019

$1.3B

n/a

2017

Feb 7, 2018

n/a

2016

Mar 29, 2017

$94.6M

n/a

$94.6M

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$928M

$871M

6.5%

$973M

-1.6%