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CRD 333332
NEW YORK, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| UZAIR TAHIR HAFEEZ | n/a | Woodstock, GA | NEW YORK, NY | 1 | 12 | 1 | yes |
| Theodore Hart Dulchinos | n/a | NEW YORK, NY | 1 | 13 | n/a | yes |
| Samuel Berkowitz | n/a | NEW YORK, NY | 0 | 10 | n/a | no |
| Blake Lawrence Weltmann | n/a | NEW YORK, NY | 0 | 10 | 2 | yes |
| Garrett Johnson | n/a | NEW YORK, NY | 0 | 10 | 4 | yes |
| Kyra L Hershkowitz | n/a | NEW YORK, NY | 0 | 18 | 1 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CALLAHAN, THOMAS, FRANCIS | CHIEF EXECUTIVE OFFICER | Na | yes | 11/2024 | Nov 19, 2024 | Nov 19, 2024 |
| Kroculick, Andrew, John | HEAD OF BUSINESS OPERATIONS AND CLIENT EXPERIENCE | Na | yes | 11/2024 | Nov 19, 2024 | Nov 19, 2024 |
| NASDAQ PRIVATE MARKET, LLC | Shareholder | E | yes | 11/2024 | Nov 19, 2024 | Nov 19, 2024 |
| Setaro, Christopher, Michael | CHIEF COMPLIANCE OFFICER | Na | yes | 11/2024 | Nov 19, 2024 | Nov 19, 2024 |
| ALLEN & COMPANY LLC | Owner | F | no | 11/2024 | Nov 19, 2024 | Nov 19, 2024 |
| BANC OF AMERICA STRATEGIC INVESTMENTS CORPORATION | Owner | F | no | 11/2024 | Nov 19, 2024 | Nov 19, 2024 |
| BNP PARIBAS S.A. | Owner | F | no | 11/2024 | Nov 19, 2024 | Nov 19, 2024 |
| CITICORP NORTHAMERICA, INC. | Owner | F | no | 11/2024 | Nov 19, 2024 | Nov 19, 2024 |
| DRW VENTURE CAPITAL LLC | Owner | F | no | 11/2024 | Nov 19, 2024 | Nov 19, 2024 |
| GOLDMAN SACHS PSI GLOBAL HOLDINGS LLC | Owner | F | no | 11/2024 | Nov 19, 2024 | Nov 19, 2024 |
| HIJOJO PARTNERS INC | Owner | F | no | 11/2024 | Nov 19, 2024 | Nov 19, 2024 |
| NASDAQ FUND SECONDARIES, LLC | Owner | F | no | 11/2024 | Nov 19, 2024 | Nov 19, 2024 |
| NASDAQ INC. | Owner | F | no | 11/2024 | Nov 19, 2024 | Nov 19, 2024 |
| STRATEGIC INVESTMENTS I, INC. | Owner | F | no | 11/2024 | Nov 19, 2024 | Nov 19, 2024 |
| SVB FINANCIAL GROUP | Owner | F | no | 11/2024 | Nov 19, 2024 | Nov 19, 2024 |
| UBS AMERICAS, INC | Owner | F | no | 11/2024 | Nov 19, 2024 | Nov 19, 2024 |
| WELLS FARGO CENTRAL PACIFIC HOLDINGS, INC | Owner | F | no | 11/2024 | Nov 19, 2024 | Nov 19, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| DORSEY, WRIGHT & ASSOCIATES, LLC | n/a | Mixed wealth | $1.0B | N | yes | n/a |
| NASDAQ CAPITAL MARKETS ADVISORY LLC | n/a | n/a | n/a | N | yes | n/a |
| NASDAQ EXECUTION SERVICES, LLC | n/a | n/a | n/a | N | yes | n/a |
| NASDAQ INC | n/a | n/a | n/a | N | yes | n/a |
| NFSTX, LLC | n/a | n/a | n/a | N | yes | n/a |
| NPM SECURITIES, LLC | n/a | n/a | n/a | N | yes | n/a |
| SECONDMARKET GROWTH MANAGEMENT, LLC | n/a | n/a | n/a | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $150M | $150M | 19 | 3 | 0 | 25 | n/a |
| 2024 | Feb 26, 2025 | $0 | $0 | 14 | 1 | 0 | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 3 | 1 | 2 | 16.7% | 1 | 0 | 0 | 5 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $150M | $0 | n/a | n/a | n/a | 19 | 14 | 0 | 0 |