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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 1b 10b

M.D. SASS, LLC

CRD 110590

NEW YORK, NY

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Search this name across graphsid dfx:ria:32e6b76a-4273-006b-71e9-fbba19ad6e91

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 8
On other graphs: 0
Observed: Mar 27, 2012 to Mar 31, 2026
28 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: other adviserderivedprivate_client_share=0.18 fund_share=0.18 institutional_share=0.54 related_bd=true related_bank=true bd_reps=4.0
Regulatory AUM: $2.1BItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.1B
Private client RAUM: $370MderivedItem 5.D individuals plus high net worth individuals
Private client share: 18%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $2.1Bderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 19
Advisory employees: 10
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 83
High net worth clients: 44
Private funds: 2Schedule D 7.B(1)
Custody, client assets: $151M
SEC number: 801-8663
CIK: 922940
CRD: 110590
Filings on the tape: 28
First filed: Mar 27, 2012
Latest filed: Mar 31, 2026
Organised: Limited Liability Company, DE

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
ROBERT STUART LITTELL	n/a	NEW YORK, NY	22	42	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
M.D. SASS GOVERNMENT AGENCY PORTABLE ALPHA, L.P.	Hedge Fund	$3.3B	Mar 28, 2024	1	Mar 30, 2020	reported	021-349889
NEW HEIGHTS FUND, L.P.	Hedge Fund	$125M	Mar 29, 2019	28	Mar 27, 2012	dropped	021-131619
M.D. SASS MULTI-STRATEGY PARTNERS II, L.P.	Hedge Fund	$1.2M	Apr 9, 2015	31	Mar 27, 2012	dropped	021-206727

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 28, 2024
LIU, BOBBY	CHIEF OPERATING OFFICER, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER	Na	yes	08/2006	Mar 27, 2012	Mar 28, 2024
M.D. SASS FINANCIAL, INC.	Member	D	yes	11/2023	Jan 12, 2024	Mar 28, 2024
SASS, ARI	PRESIDENT, SENIOR PORTFOLIO MANAGER (EQUITIES)	D	yes	01/2018	Mar 27, 2012	Mar 28, 2024
SASS, MARTIN, DOUGLAS	Owner	E	yes	11/2023	Mar 27, 2012	Mar 28, 2024
SASS, MARTIN, DOUGLAS	CHAIRMAN, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, DIRECTOR, MANAGING MEMBER	Na	yes	03/1972	Mar 27, 2012	Mar 28, 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
AMERRA CAPITAL MANAGEMENT, LLC	n/a	Asset manager	$610M	Y	yes	n/a
CLADRIUS PARTNERS LLC	n/a	Former SEC adviser	$211M	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 PORTABLE ALPHA GP, 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

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 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$2.1B	$2.1B	19	10	0	2	n/a
2024	Mar 31, 2025	$2.2B	$2.2B	18	9	0	1	n/a
2023	Mar 28, 2024	$4.5B	$4.5B	20	10	0	1	$3.3B
2022	Mar 31, 2023	$3.3B	$3.3B	19	9	0	1	$2.2B
2021	Mar 31, 2022	$3.2B	$3.2B	20	9	0	1	$2.2B
2020	Mar 30, 2021	$1.5B	$1.5B	19	9	0	1	$516M
2019	Mar 30, 2020	$1.3B	$1.3B	20	9	0	1	$332M
2018	Mar 29, 2019	$1.0B	$1.0B	21	10	0	1	$125M
2017	Mar 30, 2018	$1.9B	$1.8B	34	13	0	1	$125M
2016	Mar 31, 2017	$1.9B	$1.9B	34	14	n/a	1	$151M
2015	Mar 30, 2016	$2.1B	$2.1B	37	15	n/a	1	$176M
2014	Mar 31, 2015	$2.2B	$2.2B	33	16	n/a	2	$170M
2013	Mar 28, 2014	$1.9B	$1.9B	40	16	n/a	2	$213M
2012	Mar 28, 2013	$2.3B	$2.3B	49	17	n/a	2	$117M
2011	Mar 27, 2012	$2.5B	$2.5B	n/a	n/a	n/a	2	$175M

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	$2.1B	$2.2B	-4.9%	$3.3B	-14.4%	19	18	0	0

Relationships

Affiliated with (11)

→ 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
→ CLADRIUS PARTNERS LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← AMERRA CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser, bank, control, common control
factForm ADV
← CLADRIUS PARTNERS LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← M.D. SASS ASSOCIATES INC.Registered adviserother investment adviser, bank, common control
factForm ADV
← M.D. SASS, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← RESURGENCE ASSET MANAGEMENT,LLCRegistered adviserother investment adviser, control, common control
factForm ADV
← RE ENTERPRISE ASSET MANAGEMENT LLCRegistered adviserother investment adviser, control, common control
factForm ADV
← RESURGENCE ASSET MANAGEMENT INTL LLCRegistered adviserother investment adviser, control, common control
factForm ADV

Advises (3)

→ M.D. SASS GOVERNMENT AGENCY PORTABLE ALPHA, L.P.Private fundHedge Fund, IA
Mar 30, 2020 to presentfactForm ADV
→ NEW HEIGHTS FUND, L.P.Private fundHedge Fund, IA, no longer reported
Mar 27, 2012 to Mar 29, 2019factForm ADV
→ M.D. SASS MULTI-STRATEGY PARTNERS II, L.P.Private fundHedge Fund, IA, no longer reported
Mar 27, 2012 to Apr 9, 2015factForm ADV

Registered with (1)

← ROBERT STUART LITTELLAdvisorregistration: current employment
Jun 11, 2004 to presentfactForm ADV

Controls (5)

← SASS, MARTIN, DOUGLASOwnerOWNER, ownership code E, individual
Mar 27, 2012 to Mar 28, 2024factForm ADV
← LIU, BOBBYOwnerCHIEF OPERATING OFFICER, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 27, 2012 to Mar 28, 2024factForm ADV
← SASS, ARIOwnerPRESIDENT, SENIOR PORTFOLIO MANAGER (EQUITIES), ownership code D, individual
Mar 27, 2012 to Mar 28, 2024factForm ADV
← FRIEDMAN, SAM, HARRISOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 29, 2019 to Mar 28, 2024factForm ADV
← M.D. SASS FINANCIAL, INC.OwnerMEMBER, ownership code D, domestic entity
Jan 12, 2024 to Mar 28, 2024factForm ADV

Dated events

Occurred
Mar 31, 2025
Regulatory AUM changed
M.D. Sass, Llc reported RAUM $2.2B, down 52% from $4.5B (2025-01-14 to 2025-03-31)
Form ADVobserved 5 days ago
$-2.3B
Occurred
Mar 28, 2024
Succession filed (Item 4)
M.D. Sass, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 5 days ago
Occurred
Mar 28, 2024
Regulatory AUM changed
M.D. Sass, Llc reported RAUM $4.5B, up 36% from $3.3B (2024-01-12 to 2024-03-28)
Form ADVobserved 5 days ago
$1.2B
Occurred
Mar 31, 2022
Regulatory AUM changed
M.D. Sass, Llc reported RAUM $3.2B, up 105% from $1.5B (2021-11-08 to 2022-03-31)
Form ADVobserved 5 days ago
$1.6B
Occurred
Mar 30, 2020
Regulatory AUM changed
M.D. Sass, Llc reported RAUM $1.3B, up 32% from $1.0B (2019-03-29 to 2020-03-30)
Form ADVobserved 5 days ago
$324M
Occurred
Mar 29, 2019
Regulatory AUM changed
M.D. Sass, Llc reported RAUM $1.0B, down 46% from $1.9B (2018-03-30 to 2019-03-29)
Form ADVobserved 5 days ago
$-878M
Occurred
Mar 29, 2019
Control person left
Matthew Philip Sivin (Chief Financial Officer, Senior Managing Director, Director) no longer on Schedule A of M.D. Sass, Llc (listed 2018-03-30, absent 2019-03-29)
Form ADVobserved 5 days ago
Occurred
Mar 29, 2019
Control person joined
Harris Sam Friedman (Chief Financial Officer) appeared on Schedule A of M.D. Sass, Llc
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:32e6b76a-4273-006b-71e9-fbba19ad6e91
First observed: Mar 27, 2012
Last observed: Mar 31, 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.

M.D. SASS, LLC

CRD 110590

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:32e6b76a-4273-006b-71e9-fbba19ad6e91

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:20 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ROBERT STUART LITTELL

n/a

NEW YORK, NY

n/a

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

M.D. SASS GOVERNMENT AGENCY PORTABLE ALPHA, L.P.

Hedge Fund

$3.3B

Mar 28, 2024

Mar 30, 2020

reported

021-349889

NEW HEIGHTS FUND, L.P.

Hedge Fund

$125M

Mar 29, 2019

Mar 27, 2012

dropped

021-131619

M.D. SASS MULTI-STRATEGY PARTNERS II, L.P.

Hedge Fund

$1.2M

Apr 9, 2015

Mar 27, 2012

dropped

021-206727

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FRIEDMAN, SAM, HARRIS

CHIEF FINANCIAL OFFICER

yes

10/2018

Mar 29, 2019

Mar 28, 2024

LIU, BOBBY

CHIEF OPERATING OFFICER, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER

yes

08/2006

Mar 27, 2012

Mar 28, 2024

M.D. SASS FINANCIAL, INC.

Member

yes

11/2023

Jan 12, 2024

Mar 28, 2024

SASS, ARI

PRESIDENT, SENIOR PORTFOLIO MANAGER (EQUITIES)

yes

01/2018

Mar 27, 2012

Mar 28, 2024

SASS, MARTIN, DOUGLAS

Owner

yes

11/2023

Mar 27, 2012

Mar 28, 2024

SASS, MARTIN, DOUGLAS

CHAIRMAN, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, DIRECTOR, MANAGING MEMBER

yes

03/1972

Mar 27, 2012

Mar 28, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

AMERRA CAPITAL MANAGEMENT, LLC

n/a

Asset manager

$610M

yes

n/a

CLADRIUS PARTNERS LLC

n/a

Former SEC adviser

$211M

yes

n/a

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

n/a

Asset manager

$8.3M

yes

n/a

M.D. SASS PORTABLE ALPHA GP, LLC

n/a

yes

n/a

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

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$2.1B

n/a

2024

Mar 31, 2025

$2.2B

n/a

2023

Mar 28, 2024

$4.5B

$3.3B

2022

Mar 31, 2023

$3.3B

$2.2B

2021

Mar 31, 2022

$3.2B

$2.2B

2020

Mar 30, 2021

$1.5B

$516M

2019

Mar 30, 2020

$1.3B

$332M

2018

Mar 29, 2019

$1.0B

$125M

2017

Mar 30, 2018

$1.9B

$1.8B

$125M

2016

Mar 31, 2017

$1.9B

n/a

$151M

2015

Mar 30, 2016

$2.1B

n/a

$176M

2014

Mar 31, 2015

$2.2B

n/a

$170M

2013

Mar 28, 2014

$1.9B

n/a

$213M

2012

Mar 28, 2013

$2.3B

n/a

$117M

2011

Mar 27, 2012

$2.5B

n/a

$175M

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

$2.1B

$2.2B

-4.9%

$3.3B

-14.4%