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

BLOOMBERGBLACK

BLOOMBERG WEALTH LLC, CRD 166284

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:2934c4fa-2912-d217-44b5-145ad801f00f

Data as of May 15, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Nov 30, 2012 to May 15, 2013
2 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: $221MItem 5.F on the latest filing (2013-05-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
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: 45
Advisory employees: 11
Accounts: 376
SEC number: 801-77439
CRD: 166284
Filings on the tape: 2
First filed: Nov 30, 2012
Latest filed: May 15, 2013
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
BLOOMBERG INC.	Partner	E	yes	08/1987	Nov 30, 2012	May 15, 2013
BLOOMBERG L.P.	Member	E	yes	11/2010	Nov 30, 2012	May 15, 2013
BLOOMBERG, MICHAEL, RUBENS	Trustee	F	yes	04/2009	Nov 30, 2012	May 15, 2013
DESCHERER, RICHARD, KALTMAN	Secretary	Na	yes	11/2011	Nov 30, 2012	May 15, 2013
HERTE, BRIAN, GERARD	VICE PRESIDENT	Na	yes	11/2010	Nov 30, 2012	May 15, 2013
KANTROWITZ, NAOMI, LYNN	CHIEF COMPLIANCE OFFICER	Na	yes	11/2010	Nov 30, 2012	May 15, 2013
MICHEL, JOHN, DONALD	President	Na	yes	11/2010	Nov 30, 2012	May 15, 2013
THE MICHAEL R. BLOOMBERG BI REVOCABLE TRUST	Shareholder	E	yes	04/2009	Nov 30, 2012	May 15, 2013

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
BLOOMBERG TRADEBOOK LLC	n/a	n/a	n/a	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Skillman	Nj	United States	n/a	no

Relationships

Controls (7)

← MICHEL, JOHN, DONALDOwnerPRESIDENT, ownership code NA, individual
Nov 30, 2012 to presentfactForm ADV
← BLOOMBERG, MICHAEL, RUBENSOwnerTRUSTEE, ownership code F, individual
Nov 30, 2012 to presentfactForm ADV
← HERTE, BRIAN, GERARDOwnerVICE PRESIDENT, ownership code NA, individual
Nov 30, 2012 to presentfactForm ADV
← KANTROWITZ, NAOMI, LYNNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 30, 2012 to presentfactForm ADV
← DESCHERER, RICHARD, KALTMANOwnerSECRETARY, ownership code NA, individual
Nov 30, 2012 to presentfactForm ADV
← BLOOMBERG INC.OwnerPARTNER, ownership code E, domestic entity
Nov 30, 2012 to presentfactForm ADV
← THE MICHAEL R. BLOOMBERG BI REVOCABLE TRUSTOwnerSHAREHOLDER, ownership code E, domestic entity
Nov 30, 2012 to presentfactForm ADV

Dated events

Occurred
Nov 30, 2012
First Form ADV filing
Bloomberg Wealth Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2934c4fa-2912-d217-44b5-145ad801f00f
First observed: Nov 30, 2012
Last observed: May 15, 2013 162 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.

BLOOMBERGBLACK

BLOOMBERG WEALTH LLC, CRD 166284

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:2934c4fa-2912-d217-44b5-145ad801f00f

Data as of May 15, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:08 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BLOOMBERG INC.

Partner

yes

08/1987

Nov 30, 2012

May 15, 2013

BLOOMBERG L.P.

Member

yes

11/2010

Nov 30, 2012

May 15, 2013

BLOOMBERG, MICHAEL, RUBENS

Trustee

yes

04/2009

Nov 30, 2012

May 15, 2013

DESCHERER, RICHARD, KALTMAN

Secretary

yes

11/2011

Nov 30, 2012

May 15, 2013

HERTE, BRIAN, GERARD

VICE PRESIDENT

yes

11/2010

Nov 30, 2012

May 15, 2013

KANTROWITZ, NAOMI, LYNN

CHIEF COMPLIANCE OFFICER

yes

11/2010

Nov 30, 2012

May 15, 2013

MICHEL, JOHN, DONALD

President

yes

11/2010

Nov 30, 2012

May 15, 2013

THE MICHAEL R. BLOOMBERG BI REVOCABLE TRUST

Shareholder

yes

04/2009

Nov 30, 2012

May 15, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BLOOMBERG TRADEBOOK LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Skillman

United States

n/a