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CRD 110484
WARWICK, RI
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| ARMAND CHRISTOPHER SPAZIANO | Chartered Financial Analyst | CRANSTON, RI | 11 | 34 | 1 | no |
| THEODORE RICHARD AUGUSTYNIAK | n/a | Oakbrook Terrace, IL | CRANSTON, RI | 11 | 20 | 9 | no |
| BRADFORD DALE SZCZECINSKI | n/a | Oakbrook Terrace, IL | CRANSTON, RI | 11 | 23 | 8 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| SPAZIANO, ARMAND, CHRISTOPHER | VICE PRESIDENT,MEMBER, CHIEF COMPLIANCE OFFICER | D | yes | 02/2003 | Mar 30, 2012 | Jun 27, 2012 |
| SPAZIANO, RICHARD, MICHAEL | PRESIDENT, MEMBER | D | yes | 02/2003 | Mar 30, 2012 | Jun 27, 2012 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| ROBERT L. PASQUAZZI | n/a | n/a | n/a | N | no | n/a |
| SPAGUS CAPITAL PARTNERS, LLC | n/a | n/a | n/a | N | yes | n/a |
| UNIVERSITY EQUITY CAPITAL, LLC | n/a | n/a | n/a | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2011 | Mar 30, 2012 | $34.4M | $33.1M | n/a | n/a | n/a | 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 |
|---|---|---|---|---|---|---|---|---|
| 0 | 1 | -1 | 33.3% | 0 | 0 | 0 | 0 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2011 | $34.4M | n/a | n/a | n/a | n/a | n/a | n/a | n/a | n/a |