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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

STRATIGRAPHIC ASSET MANAGEMENT, INC.

CRD 107119

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:360a647b-ee0c-4401-8778-2b4484acebd5

Data as of Dec 3, 2024 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 3
On other graphs: 0
Observed: Feb 15, 2012 to Dec 3, 2024
33 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: $160MItem 5.F on the latest filing (2024-12-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $121M
Private client RAUM: $104MderivedItem 5.D individuals plus high net worth individuals
Private client share: 65%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 64
Individual clients: 12
High net worth clients: 33
Custody, client assets: $38.6M
SEC number: 801-43838
CRD: 107119
Filings on the tape: 33
First filed: Feb 15, 2012
Latest filed: Dec 3, 2024
Organised: Corporation, New York
Website: stratigraphic.com

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
BERNSTEIN, ALAN, SAUL	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	02/1978	Feb 15, 2012	Dec 3, 2024

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
2023	Jan 22, 2024	$160M	$121M	1	1	0	n/a	n/a
2022	Feb 1, 2023	$125M	$92.4M	1	1	0	n/a	n/a
2021	Feb 21, 2022	$155M	$114M	2	2	0	n/a	n/a
2020	Feb 12, 2021	$136M	$101M	3	2	0	n/a	n/a
2019	Feb 19, 2020	$128M	$93.6M	3	2	0	n/a	n/a
2018	Mar 11, 2019	$114M	$81.6M	3	2	1	n/a	n/a
2017	Jan 30, 2018	$122M	$87.7M	3	2	1	n/a	n/a
2016	Jan 19, 2017	$114M	$81.1M	3	2	n/a	n/a	n/a
2015	Mar 16, 2016	$118M	$83.9M	3	2	n/a	n/a	n/a
2014	Feb 3, 2015	$125M	$89.7M	3	2	n/a	n/a	n/a
2013	Feb 7, 2014	$124M	$89.9M	3	2	n/a	n/a	n/a
2012	Jan 30, 2013	$110M	$81.2M	3	2	n/a	n/a	n/a
2011	Feb 15, 2012	$98.7M	$73.4M	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
2023	$160M	$125M	28.3%	$136M	5.5%	1	1	0	0

Relationships

Controls (1)

← BERNSTEIN, ALAN, SAULOwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Feb 15, 2012 to presentfactForm ADV

Registered with (2)

← Alan Saul BernsteinAdvisorregistration: previous registration
Jun 6, 1997 to Jan 17, 2025factForm ADV
← SALOMON LEVYAdvisorregistration: previous registration
Jan 25, 2000 to Oct 18, 2010factForm ADV

Dated events

Occurred
Feb 3, 2025
Left the SEC roster
Stratigraphic Asset Management, Inc. no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $160.0M)
Form ADVobserved 5 days ago
$160M
Occurred
Jan 17, 2025
Advisor changed firm
Alan Saul Bernstein left Stratigraphic Asset Management, Inc. for Neuberger Berman Bd Llc (registered 2025-06-13)
Form ADVobserved 5 days ago
Occurred
Dec 12, 2022
Control person left
Perelman Jayusia Bernstein (Chairman) no longer on Schedule A of Stratigraphic Asset Management, Inc. (listed 2022-02-23, absent 2022-12-12)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:360a647b-ee0c-4401-8778-2b4484acebd5
First observed: Feb 15, 2012
Last observed: Dec 3, 2024 21 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.

STRATIGRAPHIC ASSET MANAGEMENT, INC.

CRD 107119

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:360a647b-ee0c-4401-8778-2b4484acebd5

Data as of Dec 3, 2024 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:38 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BERNSTEIN, ALAN, SAUL

PRESIDENT AND CHIEF COMPLIANCE OFFICER

yes

02/1978

Feb 15, 2012

Dec 3, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Jan 22, 2024

$160M

$121M

n/a

2022

Feb 1, 2023

$125M

$92.4M

n/a

2021

Feb 21, 2022

$155M

$114M

n/a

2020

Feb 12, 2021

$136M

$101M

n/a

2019

Feb 19, 2020

$128M

$93.6M

n/a

2018

Mar 11, 2019

$114M

$81.6M

n/a

2017

Jan 30, 2018

$122M

$87.7M

n/a

2016

Jan 19, 2017

$114M

$81.1M

n/a

2015

Mar 16, 2016

$118M

$83.9M

n/a

2014

Feb 3, 2015

$125M

$89.7M

n/a

2013

Feb 7, 2014

$124M

$89.9M

n/a

2012

Jan 30, 2013

$110M

$81.2M

n/a

2011

Feb 15, 2012

$98.7M

$73.4M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$160M

$125M

28.3%

$136M

5.5%