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

M.D. SASS ASSOCIATES INC.

CRD 110596

NEW YORK, 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:140a4c42-e470-cdb1-c4d8-aaca42743235

Data as of Mar 31, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 7
On other graphs: 0
Observed: Mar 27, 2012 to Mar 31, 2022
14 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: $342MItem 5.F on the latest filing (2022-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $342M
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
Employees: 20
Advisory employees: 9
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 17
Individual clients: 0
High net worth clients: 0
SEC number: 801-8670
CRD: 110596
Filings on the tape: 14
First filed: Mar 27, 2012
Latest filed: Mar 31, 2022
Organised: Corporation, 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
FRIEDMAN, SAM, HARRIS	CHIEF FINANCIAL OFFICER	Na	yes	10/2018	Mar 29, 2019	Mar 31, 2022
LIU, BOBBY	CHIEF OPERATING OFFICER, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER	Na	yes	07/2005	Mar 27, 2012	Mar 31, 2022
SASS, ARI	PRESIDENT, SENIOR PORTFOLIO MANAGER (EQUITIES)	Na	yes	01/2018	Mar 27, 2012	Mar 31, 2022
SASS, MARTIN, DOUGLAS	CHAIRMAN, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, DIRECTOR	E	yes	03/1972	Mar 27, 2012	Mar 31, 2022

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
M.D. SASS INVESTORS SERVICES, INC.	n/a	Other adviser	$2.1B	N	yes	n/a
AMERRA CAPITAL MANAGEMENT, LLC	n/a	Asset manager	$610M	Y	yes	n/a
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC	n/a	Asset manager	$8.3M	N	yes	n/a
CLADRIUS PARTNERS LLC	n/a	n/a	n/a	N	yes	n/a
M.D. SASS SECURITIES, L.L.C.	n/a	n/a	n/a	N	yes	n/a
TAURUS FUNDS MANAGEMENT PTY LIMITED	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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Mar 31, 2022	$342M	$342M	20	9	0	n/a	n/a
2020	Mar 30, 2021	$344M	$344M	19	9	0	n/a	n/a
2019	Mar 30, 2020	$496M	$496M	20	9	0	n/a	n/a
2018	Mar 29, 2019	$690M	$690M	21	10	0	n/a	n/a
2017	Mar 30, 2018	$960M	$960M	31	12	0	n/a	n/a
2016	Mar 31, 2017	$2.7B	$2.7B	31	11	n/a	n/a	n/a
2015	Mar 30, 2016	$2.5B	$2.5B	33	12	n/a	n/a	n/a
2014	Mar 31, 2015	$2.5B	$2.5B	30	14	n/a	n/a	n/a
2013	Mar 28, 2014	$2.2B	$2.2B	34	11	n/a	n/a	n/a
2012	Mar 28, 2013	$2.0B	$2.0B	41	12	n/a	n/a	n/a
2011	Mar 27, 2012	$2.3B	$2.3B	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
2021	$342M	$344M	-0.3%	$690M	-20.8%	20	19	0	0

Relationships

Affiliated with (7)

→ M.D. SASS, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ AMERRA CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser, bank, control, common control
factForm ADV
← M.D. SASS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← RESURGENCE ASSET MANAGEMENT,LLCRegistered adviserother investment adviser, common control
factForm ADV
← RE ENTERPRISE ASSET MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
← RESURGENCE ASSET MANAGEMENT INTL LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (4)

← SASS, MARTIN, DOUGLASOwnerCHAIRMAN, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, DIRECTOR, ownership code E, individual
Mar 27, 2012 to presentfactForm ADV
← LIU, BOBBYOwnerCHIEF OPERATING OFFICER, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 27, 2012 to presentfactForm ADV
← SASS, ARIOwnerPRESIDENT, SENIOR PORTFOLIO MANAGER (EQUITIES), ownership code NA, individual
Mar 27, 2012 to presentfactForm ADV
← FRIEDMAN, SAM, HARRISOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 29, 2019 to presentfactForm ADV

Dated events

Occurred
Mar 30, 2021
Regulatory AUM changed
M.D. Sass Associates Inc. reported RAUM $343.6M, down 31% from $495.7M (2020-03-30 to 2021-03-30)
Form ADVobserved 4 days ago
$-152M
Occurred
Mar 30, 2020
Regulatory AUM changed
M.D. Sass Associates Inc. reported RAUM $495.7M, down 28% from $690.4M (2019-03-29 to 2020-03-30)
Form ADVobserved 4 days ago
$-195M
Occurred
Mar 29, 2019
Regulatory AUM changed
M.D. Sass Associates Inc. reported RAUM $690.4M, down 28% from $959.6M (2018-03-30 to 2019-03-29)
Form ADVobserved 4 days ago
$-269M
Occurred
Mar 29, 2019
Control person left
Matthew Philip Sivin (Chief Financial Officer, Senior Managing Director) no longer on Schedule A of M.D. Sass Associates Inc. (listed 2018-03-30, absent 2019-03-29)
Form ADVobserved 4 days ago
Occurred
Mar 29, 2019
Control person left
Luke Richard O'Hara (Senior Vice President And Director Of Institutional Sales) no longer on Schedule A of M.D. Sass Associates Inc. (listed 2018-03-30, absent 2019-03-29)
Form ADVobserved 4 days ago
Occurred
Mar 29, 2019
Control person joined
Harris Sam Friedman (Chief Financial Officer) appeared on Schedule A of M.D. Sass Associates Inc.
Form ADVobserved 4 days ago
Occurred
Feb 6, 2018
Regulatory AUM changed
M.D. Sass Associates Inc. reported RAUM $959.6M, down 65% from $2.7B (2017-03-31 to 2018-02-06)
Form ADVobserved 4 days ago
$-1.8B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:140a4c42-e470-cdb1-c4d8-aaca42743235
First observed: Mar 27, 2012
Last observed: Mar 31, 2022 54 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.

M.D. SASS ASSOCIATES INC.

CRD 110596

NEW YORK, 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:140a4c42-e470-cdb1-c4d8-aaca42743235

Data as of Mar 31, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:37 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FRIEDMAN, SAM, HARRIS

CHIEF FINANCIAL OFFICER

yes

10/2018

Mar 29, 2019

Mar 31, 2022

LIU, BOBBY

CHIEF OPERATING OFFICER, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER

yes

07/2005

Mar 27, 2012

Mar 31, 2022

SASS, ARI

PRESIDENT, SENIOR PORTFOLIO MANAGER (EQUITIES)

yes

01/2018

Mar 27, 2012

Mar 31, 2022

SASS, MARTIN, DOUGLAS

CHAIRMAN, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, DIRECTOR

yes

03/1972

Mar 27, 2012

Mar 31, 2022

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

M.D. SASS INVESTORS SERVICES, INC.

n/a

Other adviser

$2.1B

yes

n/a

AMERRA CAPITAL MANAGEMENT, LLC

n/a

Asset manager

$610M

yes

n/a

M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC

n/a

Asset manager

$8.3M

yes

n/a

CLADRIUS PARTNERS LLC

n/a

yes

n/a

M.D. SASS SECURITIES, L.L.C.

n/a

yes

n/a

TAURUS FUNDS MANAGEMENT PTY LIMITED

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 31, 2022

$342M

n/a

2020

Mar 30, 2021

$344M

n/a

2019

Mar 30, 2020

$496M

n/a

2018

Mar 29, 2019

$690M

n/a

2017

Mar 30, 2018

$960M

n/a

2016

Mar 31, 2017

$2.7B

n/a

2015

Mar 30, 2016

$2.5B

n/a

2014

Mar 31, 2015

$2.5B

n/a

2013

Mar 28, 2014

$2.2B

n/a

2012

Mar 28, 2013

$2.0B

n/a

2011

Mar 27, 2012

$2.3B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$342M

$344M

-0.3%

$690M

-20.8%