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

DOMINICK & DOMINICK LLC

CRD 7344

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:34e4a9cd-d8b2-f5bb-68c5-1431d12ef6f3

Data as of Dec 16, 2014 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 51
Dated events: 0
On other graphs: 1
Observed: Mar 29, 2012 to Dec 16, 2014
19 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Dominick & Dominick LLC

Intermediary · shared crd

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: $372MItem 5.F on the latest filing (2014-12-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $288M
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: 100
Advisory employees: 65
Accounts: 577
SEC number: 801-63247
CRD: 7344
Filings on the tape: 19
First filed: Mar 29, 2012
Latest filed: Dec 16, 2014
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
CAMPBELL, MICHAEL JOHN	NON EXECUTIVE CHAIRMAN, MEMBER	C	yes	10/2012	Mar 29, 2012	Dec 16, 2014
DERBY WEST LLC	TRUSTEE OF DM TRUST	Na	yes	01/2004	Mar 29, 2012	Dec 16, 2014
DM TRUST	Owner	D	yes	12/2008	Mar 29, 2012	Dec 16, 2014
MCKAY, KEVIN JOHN	CHIEF EXECUTIVE OFFICER, MANAGING MEMBER	B	yes	08/2013	Aug 19, 2013	Dec 16, 2014
REILLY, ROBERT XAVIER	CHIEF OPERATING OFFICER, MANAGING MEMBER	A	yes	08/2003	Mar 29, 2012	Dec 16, 2014
DEMATTEO, TODD MATTHEWS	SR, MANAGING DIRECTOR	Na	no	09/2007	Mar 29, 2012	Dec 16, 2014
HLADEK, ROBERT MICHAEL	SR. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	Na	no	11/1995	Mar 29, 2012	Dec 16, 2014

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
IKE CAPITAL, LLC	n/a	Independent wealth	$257M	N	no	n/a
QUESTRION RESEARCH CORPORATION	n/a	n/a	n/a	N	no	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Miami	FL	United States	n/a	no
Atlanta	Ga	United States	n/a	no
n/a	n/a	n/a	n/a	no

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
2013	Mar 25, 2014	$372M	$288M	100	65	n/a	n/a	n/a
2012	Feb 27, 2013	$299M	$264M	125	49	n/a	n/a	n/a
2011	Mar 29, 2012	$322M	$283M	n/a	n/a	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
2013	$372M	$299M	24.3%	n/a	n/a	100	125	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
B. RILEY WEALTH ADVISORS, INC.	8	Jan 26, 2015	Feb 2, 2024	NEW YORK, NY	Team lift out	Other	32.0%
B RILEY WEALTH MANAGEMENT	5	Jan 26, 2015	Feb 12, 2015	MIAMI, FL	Team lift out	Other	20.0%
B RILEY WEALTH MANAGEMENT	10	Jan 26, 2015	Feb 10, 2015	NEW YORK, NY	Team lift out	Other	40.0%

Relationships

Affiliated with (1)

→ IKE CAPITAL, LLCRegistered adviserother investment adviser
factForm ADV

Controls (5)

← MCKAY, KEVIN JOHNOwnerCHIEF EXECUTIVE OFFICER, MANAGING MEMBER, ownership code B, individual
Aug 19, 2013 to presentfactForm ADV
← REILLY, ROBERT XAVIEROwnerCHIEF OPERATING OFFICER, MANAGING MEMBER, ownership code A, individual
Mar 29, 2012 to presentfactForm ADV
← CAMPBELL, MICHAEL JOHNOwnerNON EXECUTIVE CHAIRMAN, MEMBER, ownership code C, individual
Mar 29, 2012 to presentfactForm ADV
← DERBY WEST LLCOwnerTRUSTEE OF DM TRUST, ownership code NA, domestic entity
Mar 29, 2012 to presentfactForm ADV
← DM TRUSTOwnerOWNER, ownership code D, domestic entity
Mar 29, 2012 to presentfactForm ADV

Owns (2)

← HLADEK, ROBERT MICHAELOwnerSR. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← DEMATTEO, TODD MATTHEWSOwnerSR, MANAGING DIRECTOR, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV

Moved with (2)

→ B. RILEY WEALTH ADVISORS, INC.Registered adviser8 advisors, team lift out
Jan 26, 2015 to Feb 2, 2024factForm ADV
→ B RILEY WEALTH MANAGEMENTRegistered adviser5 advisors, team lift out, same day
Jan 26, 2015 to Feb 12, 2015factForm ADV

Registered with (40)

← JONATHAN GREENEAdvisorregistration: previous registration
Feb 24, 2009 to Jan 28, 2015factForm ADV
← JOSEPH ALBERT PRICEAdvisorregistration: previous registration
Apr 23, 2009 to Jan 28, 2015factForm ADV
← LAWRENCE HOWARD LEVYAdvisorregistration: previous registration
Mar 17, 2006 to Jan 28, 2015factForm ADV
← MONTAGUE STEPHAN HENRYAdvisorregistration: previous registration
Feb 14, 2013 to Jan 28, 2015factForm ADV
← HAL WILLIAM BROWNAdvisorregistration: previous registration
Jun 20, 2006 to Jan 28, 2015factForm ADV
← NEIL SCOTT MEISSNERAdvisorregistration: previous registration
Mar 28, 2012 to Jan 28, 2015factForm ADV
← EUGENE JOSEPH MULVANEYAdvisorregistration: previous registration
Mar 20, 2006 to Jan 28, 2015factForm ADV
← ROBERT XAVIER REILLYAdvisorregistration: previous registration
Mar 20, 2006 to Jan 28, 2015factForm ADV
← IRA E MENKESAdvisorregistration: previous registration
Sep 6, 2011 to Jan 28, 2015factForm ADV
← Marjorie Sue SamuelsAdvisorregistration: previous registration
Jul 9, 2009 to Jan 28, 2015factForm ADV
← ANDRE LAMAR MCCLUREAdvisorregistration: previous registration
Oct 7, 2009 to Jan 28, 2015factForm ADV
← ROBERT IRVING RAFFORDAdvisorregistration: previous registration
Sep 7, 2006 to Jan 28, 2015factForm ADV
← GISSETTE CRUZAdvisorregistration: previous registration
Feb 1, 2012 to Jan 28, 2015factForm ADV
← LYNN RENEE SPERANDEOAdvisorregistration: previous registration
Sep 29, 2006 to Jan 28, 2015factForm ADV
← YOUNG-AI CHOIAdvisorregistration: previous registration
Apr 25, 2007 to Jan 28, 2015factForm ADV
← JAMES BAROUTASAdvisorregistration: previous registration
Jun 7, 2011 to Jan 26, 2015factForm ADV
← GARY STEVEN BROCHINAdvisorregistration: previous registration
Jun 26, 2006 to Jan 26, 2015factForm ADV
← ROBERTO LUIS LIZAMAAdvisorregistration: previous registration
Aug 10, 2006 to Jan 26, 2015factForm ADV
← EDWARD REED LAUGHLINAdvisorregistration: previous registration
Sep 23, 2011 to Jan 26, 2015factForm ADV
← JOHN MEAD RUSTAdvisorregistration: previous registration
Mar 6, 2006 to Jan 26, 2015factForm ADV
← GLORIA LUZ ANEIROSAdvisorregistration: previous registration
Nov 17, 2014 to Jan 26, 2015factForm ADV
← MAURICIO U ASSAELAdvisorregistration: previous registration
Jul 24, 2014 to Jan 26, 2015factForm ADV
← CATHERINE ADLEYAdvisorregistration: previous registration
Oct 1, 2013 to Jan 26, 2015factForm ADV
← DEWITT LOOMIS ALEXANDREAdvisorregistration: previous registration
Mar 6, 2006 to Jan 26, 2015factForm ADV
← RODOLFO EDUARDO MILANIAdvisorregistration: previous registration
Aug 10, 2006 to Jan 26, 2015factForm ADV
← KEITH WILLIAM PETRUSAdvisorregistration: previous registration
Sep 24, 2010 to Oct 22, 2014factForm ADV
← MITCHELL ALLAN ROMANOAdvisorregistration: previous registration
Jun 25, 2008 to Sep 15, 2014factForm ADV
← MICHAEL ANTHONY MEYERSAdvisorregistration: previous registration
Jul 10, 2006 to May 9, 2013factForm ADV
← SAMUEL HOMER POLKAdvisorregistration: previous registration
Sep 27, 2011 to Feb 6, 2013factForm ADV
← MICHAEL JOSEPH ROSEAdvisorregistration: previous registration
Oct 30, 2009 to Jul 3, 2012factForm ADV
and 10 more

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:34e4a9cd-d8b2-f5bb-68c5-1431d12ef6f3
First observed: Mar 29, 2012
Last observed: Dec 16, 2014 143 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.

DOMINICK & DOMINICK LLC

CRD 7344

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:34e4a9cd-d8b2-f5bb-68c5-1431d12ef6f3

Data as of Dec 16, 2014 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:55 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CAMPBELL, MICHAEL JOHN

NON EXECUTIVE CHAIRMAN, MEMBER

yes

10/2012

Mar 29, 2012

Dec 16, 2014

DERBY WEST LLC

TRUSTEE OF DM TRUST

yes

01/2004

Mar 29, 2012

Dec 16, 2014

DM TRUST

Owner

yes

12/2008

Mar 29, 2012

Dec 16, 2014

MCKAY, KEVIN JOHN

CHIEF EXECUTIVE OFFICER, MANAGING MEMBER

yes

08/2013

Aug 19, 2013

Dec 16, 2014

REILLY, ROBERT XAVIER

CHIEF OPERATING OFFICER, MANAGING MEMBER

yes

08/2003

Mar 29, 2012

Dec 16, 2014

DEMATTEO, TODD MATTHEWS

SR, MANAGING DIRECTOR

09/2007

Mar 29, 2012

Dec 16, 2014

HLADEK, ROBERT MICHAEL

SR. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER

11/1995

Mar 29, 2012

Dec 16, 2014

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

IKE CAPITAL, LLC

n/a

Independent wealth

$257M

n/a

QUESTRION RESEARCH CORPORATION

n/a

City

State

Country

Employees

Also broker-dealer

Miami

United States

n/a

Atlanta

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Mar 25, 2014

$372M

$288M

100

n/a

2012

Feb 27, 2013

$299M

$264M

125

n/a

2011

Mar 29, 2012

$322M

$283M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

$372M

$299M

24.3%

n/a

100

125

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

B. RILEY WEALTH ADVISORS, INC.

Jan 26, 2015

Feb 2, 2024

NEW YORK, NY

Team lift out

Other

32.0%

B RILEY WEALTH MANAGEMENT

Jan 26, 2015

Feb 12, 2015

MIAMI, FL

Team lift out

Other

20.0%

B RILEY WEALTH MANAGEMENT

Jan 26, 2015

Feb 10, 2015

NEW YORK, NY

Team lift out

Other

40.0%