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CRD 137728
GREAT NECK, 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.
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| M•••••• P•••• P••••••• L• | Hedge Fund | $16.4M | Aug 27, 2014 | 10 | Mar 26, 2012 | dropped | 021-72261 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B••••• J••••••• P••• | MANAGER / CHIEF OPERATING OFFICER / CHIEF COMPLIANCE OFFICER | D | yes | 12/2005 | Mar 26, 2012 | Mar 24, 2022 |
| S••••••• J•••• L•••• | Manager | D | yes | 02/1998 | Mar 26, 2012 | Mar 24, 2022 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Brentwood | Tn | United States | 2 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2021 | $1.7B | $1.4B | 23.9% | $789M | 29.1% | 17 | 18 | 1 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| W••••• E••••••••• A••••••• S•••••••• L•• | 3 | Jun 3, 2022 | Jun 1, 2022 | GREAT NECK, NY | Firm absorbed | RIA to ibd | 75.0% |
| Member |
| Na |
| no |
| 01/2019 |
| Mar 28, 2019 |
| Mar 24, 2022 |
| Mar 22, 2022 |
| $1.7B |
| $1.6B |
| 17 |
| 9 |
| 1 |
| n/a |
| n/a |
| 2020 | Mar 23, 2021 | $1.4B | $1.3B | 18 | 7 | 1 | n/a | n/a |
| 2019 | Mar 24, 2020 | $1.1B | $1.1B | 15 | 7 | 1 | n/a | n/a |
| 2018 | Mar 28, 2019 | $789M | $778M | 13 | 7 | 1 | n/a | n/a |
| 2017 | Mar 28, 2018 | $801M | $794M | 13 | 8 | 1 | n/a | n/a |
| 2016 | Mar 29, 2017 | $733M | $725M | 13 | 8 | n/a | n/a | n/a |
| 2015 | Mar 29, 2016 | $715M | $712M | 13 | 9 | n/a | n/a | n/a |
| 2014 | Mar 25, 2015 | $638M | $636M | 13 | 8 | n/a | n/a | n/a |
| 2013 | Mar 24, 2014 | $564M | $562M | 10 | 5 | n/a | 1 | $16.4M |
| 2012 | Mar 13, 2013 | $503M | $500M | 9 | 4 | n/a | 1 | $14.5M |
| 2011 | Mar 26, 2012 | $392M | $390M | n/a | n/a | n/a | 1 | $8.6M |