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

M.D. SASS, LLC

CRD 167331

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:1e171808-a7a4-2b31-225d-748dfac9e170

Data as of Mar 30, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 3
On other graphs: 0
Observed: Apr 22, 2013 to Mar 30, 2019
11 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: $45.6MItem 5.F on the latest filing (2019-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $45.6M
Private client RAUM: $4.2MderivedItem 5.D individuals plus high net worth individuals
Private client share: 9%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 16
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 2
Individual clients: 0
SEC number: 801-78002
CRD: 167331
Filings on the tape: 11
First filed: Apr 22, 2013
Latest filed: Mar 30, 2019
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
FRIEDMAN, SAM, HARRIS	CHIEF FINANCIAL OFFICER	Na	yes	10/2018	Mar 30, 2019	Mar 30, 2019
LIU, BOBBY	CHIEF OPERATING OFFICER, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER	Na	yes	02/2013	Apr 22, 2013	Mar 30, 2019
SASS, ARI	PRESIDENT, SENIOR PORTFOLIO MANAGER (EQUITIES)	C	yes	01/2018	Apr 22, 2013	Mar 30, 2019
SASS, MARTIN, DOUGLAS	CHAIRMAN, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER	D	yes	02/2013	Apr 22, 2013	Mar 30, 2019
BARNEY, CRAIG, CHRISTIAN	CLASS B MEMBER	A	no	10/2013	Mar 28, 2014	Mar 30, 2019
MD SASS FAMILY TRUST	CLASS B MEMBER	D	no	10/2013	Mar 28, 2014	Mar 30, 2019
POSADA, CRISTIAN, FERNANDO	CLASS B MEMBER	A	no	10/2013	Mar 28, 2014	Mar 30, 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
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 ASSOCIATES INC.	n/a	Former SEC adviser	$342M	N	yes	n/a
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC	n/a	Asset manager	$8.3M	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
2018	Mar 30, 2019	$45.6M	$45.6M	16	5	0	n/a	n/a
2017	Mar 30, 2018	$66.0M	$66.0M	26	5	0	n/a	n/a
2016	Mar 31, 2017	$70.2M	$70.2M	26	6	n/a	n/a	n/a
2015	Mar 30, 2016	$156M	$156M	28	6	n/a	n/a	n/a
2014	Mar 31, 2015	$109M	$109M	24	5	n/a	n/a	n/a
2013	Mar 28, 2014	$55.3M	$55.3M	29	6	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	$45.6M	$66.0M	-30.9%	$156M	-33.7%	16	26	0	0

Relationships

Affiliated with (4)

→ M.D. SASS, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ M.D. SASS ASSOCIATES INC.Registered adviserother investment adviser, 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, control, common control
factForm ADV

Owns (3)

← BARNEY, CRAIG, CHRISTIANOwnerCLASS B MEMBER, ownership code A, individual
Mar 28, 2014 to presentfactForm ADV
← POSADA, CRISTIAN, FERNANDOOwnerCLASS B MEMBER, ownership code A, individual
Mar 28, 2014 to presentfactForm ADV
← MD SASS FAMILY TRUSTOwnerCLASS B MEMBER, ownership code D, domestic entity
Mar 28, 2014 to presentfactForm ADV

Controls (4)

← SASS, MARTIN, DOUGLASOwnerCHAIRMAN, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, ownership code D, individual
Apr 22, 2013 to presentfactForm ADV
← LIU, BOBBYOwnerCHIEF OPERATING OFFICER, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 22, 2013 to presentfactForm ADV
← SASS, ARIOwnerPRESIDENT, SENIOR PORTFOLIO MANAGER (EQUITIES), ownership code C, individual
Apr 22, 2013 to presentfactForm ADV
← FRIEDMAN, SAM, HARRISOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 30, 2019 to presentfactForm ADV

Dated events

Occurred
Mar 30, 2019
Control person joined
Harris Sam Friedman (Chief Financial Officer) appeared on Schedule A of M.D. Sass, Llc
Form ADVobserved 6 days ago
Occurred
Mar 30, 2019
Control person left
Matthew Philip Sivin (Chief Financial Officer, Senior Managing Director) no longer on Schedule A of M.D. Sass, Llc (listed 2018-03-30, absent 2019-03-30)
Form ADVobserved 6 days ago
Occurred
Apr 22, 2013
First Form ADV filing
M.D. Sass, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1e171808-a7a4-2b31-225d-748dfac9e170
First observed: Apr 22, 2013
Last observed: Mar 30, 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.

M.D. SASS, LLC

CRD 167331

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:1e171808-a7a4-2b31-225d-748dfac9e170

Data as of Mar 30, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:38 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 30, 2019

LIU, BOBBY

CHIEF OPERATING OFFICER, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER

yes

02/2013

Apr 22, 2013

Mar 30, 2019

SASS, ARI

PRESIDENT, SENIOR PORTFOLIO MANAGER (EQUITIES)

yes

01/2018

Apr 22, 2013

Mar 30, 2019

SASS, MARTIN, DOUGLAS

CHAIRMAN, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER

yes

02/2013

Apr 22, 2013

Mar 30, 2019

BARNEY, CRAIG, CHRISTIAN

CLASS B MEMBER

10/2013

Mar 28, 2014

Mar 30, 2019

MD SASS FAMILY TRUST

CLASS B MEMBER

10/2013

Mar 28, 2014

Mar 30, 2019

POSADA, CRISTIAN, FERNANDO

CLASS B MEMBER

10/2013

Mar 28, 2014

Mar 30, 2019

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 ASSOCIATES INC.

n/a

Former SEC adviser

$342M

yes

n/a

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

n/a

Asset manager

$8.3M

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

2018

Mar 30, 2019

$45.6M

n/a

2017

Mar 30, 2018

$66.0M

n/a

2016

Mar 31, 2017

$70.2M

n/a

2015

Mar 30, 2016

$156M

n/a

2014

Mar 31, 2015

$109M

n/a

2013

Mar 28, 2014

$55.3M

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

$45.6M

$66.0M

-30.9%

$156M

-33.7%