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S••••• A••• A•••• M••••••••• INC, CRD 110408
BIRMINGHAM, AL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B••••• B••••• K•••• | CHIEF FINANCIAL OFFICER, SECRETARY & TREASURER | Na | yes | 10/2009 | Jan 3, 2012 | Jan 25, 2012 |
| C••••••• J•••• F•••••• | CHIEF COMPLIANCE OFFICER | Na | yes | 03/2011 | Jan 3, 2012 | Jan 25, 2012 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| S••••• A••• I••••••••• A•••••••• I••• | n/a | Former SEC adviser | $10.4M | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2011 | Jan 3, 2012 | $417M | $417M | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2011 | $417M | n/a | n/a | n/a | n/a | n/a | n/a | n/a | n/a |
| PRESIDENT & DIRECTOR |
| Na |
| yes |
| 04/2004 |
| Jan 3, 2012 |
| Jan 25, 2012 |
| R•••• W•••••• A•••••• | DIRECTOR & CEO | Na | yes | 09/2005 | Jan 3, 2012 | Jan 25, 2012 |
| S••••• A••• G••••• I••• | 100% OWNER | E | yes | 07/1996 | Jan 3, 2012 | Jan 25, 2012 |