DFX Intelligence

Data Factory

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

RESOURCE ALTERNATIVE ADVISOR, LLC

CRD 286099

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:3c1f845b-16df-a6eb-6b3d-d617ac87704a

Data as of Aug 3, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 33
Dated events: 6
On other graphs: 0
Observed: Dec 22, 2016 to Aug 3, 2020
13 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: $294MItem 5.F on the latest filing (2020-08-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $294M
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: 59
Advisory employees: 13
Offices: 3Schedule D 1.F, beyond the principal office
Accounts: 1
Individual clients: 0
High net worth clients: 0
SEC number: 801-108890
CRD: 286099
Filings on the tape: 13
First filed: Dec 22, 2016
Latest filed: Aug 3, 2020
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
ANUBIS ADVISORS LLC	Member	E	yes	03/2010	Dec 22, 2016	Aug 3, 2020
ASTON, JAMES, ANDREW	MEMBER OF BOARD OF MANAGERS	F	yes	01/2019	Dec 22, 2016	Aug 3, 2020
ASTON, JAMES, ANDREW	SENIOR VICE PRESIDENT	Na	yes	11/2016	Dec 22, 2016	Aug 3, 2020
BLOCK, LAWRENCE, STEVEN	SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER & SECRETARY	Na	yes	11/2016	Dec 22, 2016	Aug 3, 2020
BLOMSTROM, JEFFREY, DEAN	SENIOR VICE PRESIDENT	Na	yes	11/2016	Dec 22, 2016	Aug 3, 2020
C-III CAPITAL PARTNERS LLC	SOLE SHAREHOLDER	E	yes	09/2016	Dec 22, 2016	Aug 3, 2020
CARLETON, GEORGE, EDWARD	SENIOR VICE PRESIDENT	Na	yes	11/2016	Dec 22, 2016	Aug 3, 2020
COHEN, JEFFREY, PATRICK	MEMBER OF BOARD OF MANAGERS	F	yes	02/2010	Dec 22, 2016	Aug 3, 2020
COHEN, JEFFREY, PATRICK	President	Na	yes	11/2016	Dec 22, 2016	Aug 3, 2020
ELLIOTT, THOMAS, CHARLES	SENIOR VICE PRESIDENT	Na	yes	11/2016	Dec 22, 2016	Aug 3, 2020
FARKAS, ANDREW, LAWRENCE	MEMBER OF BOARD OF MANAGERS	F	yes	02/2010	Dec 22, 2016	Aug 3, 2020
FARKAS, ANDREW, LAWRENCE	Member	E	yes	07/2003	Dec 22, 2016	Aug 3, 2020
FELDMAN, ALAN, FRANK	SENIOR VICE PRESIDENT	Na	yes	11/2016	Dec 22, 2016	Aug 3, 2020
HAWKINS, BRIAN, STEPHEN	VICE PRESIDENT	Na	yes	11/2016	Mar 12, 2019	Aug 3, 2020
ISLAND C-III DIRECTIVES II LLC	MANAGING MEMBER	F	yes	05/2010	Dec 22, 2016	Aug 3, 2020
ISLAND C-III DIRECTIVES LLC	MANAGING MEMBER	F	yes	11/2009	Dec 22, 2016	Aug 3, 2020
ISLAND C-III HOLDINGS II LLC	Member	C	yes	05/2010	Dec 22, 2016	Aug 3, 2020
ISLAND C-III HOLDINGS LLC	Member	C	yes	02/2010	Mar 29, 2018	Aug 3, 2020
ISLAND C-III MANAGER LLC	Manager	F	yes	02/2010	Dec 22, 2016	Aug 3, 2020
ISLAND CAPITAL GROUP, LLC	Member	E	yes	03/2010	Dec 22, 2016	Aug 3, 2020
ISLAND CAPITAL GROUP, LLC	Member	E	yes	10/2009	Dec 22, 2016	Aug 3, 2020
JESSELSON, MICHAEL, GERSHON	MEMBER OF BOARD OF MANAGERS	F	yes	05/2012	Dec 22, 2016	Aug 3, 2020
REISMAN, SIDNEY, JOSEPH	MEMBER OF BOARD OF MANAGERS	F	yes	02/2010	Dec 22, 2016	Aug 3, 2020
RESOURCE AMERICA, INC.	SOLE MEMBER	E	yes	11/2016	Dec 22, 2016	Aug 3, 2020
STERN, MATTHEW, JON	SENIOR VICE PRESIDENT	Na	yes	11/2016	Dec 22, 2016	Aug 3, 2020
TERWILLIGER, MICHAEL, THOMAS	MANAGING DIRECTOR	Na	yes	08/2017	Feb 28, 2018	Aug 3, 2020
GAZA, MARYKATHLEEN, FOYNES	VICE PRESIDENT - COMPLIANCE & ASSISTANT SECRETARY	Na	no	03/2018	Mar 29, 2018	Aug 3, 2020

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
C-III INVESTMENT MANAGEMENT LLC	n/a	Asset manager	$2.5B	N	yes	n/a
ISLAND INVESTMENT MANAGEMENT LLC	n/a	Asset manager	$1.7B	N	yes	n/a
RESOURCE REAL ESTATE LLC	n/a	Former SEC adviser	$366M	N	yes	n/a
ANUBIS SECURITIES LLC	n/a	n/a	n/a	N	yes	n/a
C-III CAPITAL PARTNERS LLC	n/a	n/a	n/a	Y	no	n/a
C-III HY DIRECTIVES III LLC	n/a	n/a	n/a	N	yes	n/a
C-III HY DIRECTIVES IV LLC	n/a	n/a	n/a	N	yes	n/a
C-III JERIT MANAGER LLC	n/a	n/a	n/a	N	yes	n/a
C-III REALTY SERVICES LLC	n/a	n/a	n/a	N	yes	n/a
C-III RF DIRECTIVES II LLC	n/a	n/a	n/a	N	yes	n/a
C-III RF DIRECTIVES III LLC	n/a	n/a	n/a	N	yes	n/a
C-III RFI DIRECTIVES LLC	n/a	n/a	n/a	N	yes	n/a
C-III SA MANAGEMENT LLC	n/a	n/a	n/a	N	yes	n/a
ICG REALTY LLC	n/a	n/a	n/a	N	yes	n/a
ISLAND CAPITAL GROUP LLC	n/a	n/a	n/a	Y	no	n/a
ISLAND DIRECTIVES III LLC	n/a	n/a	n/a	N	yes	n/a
JER INVESTORS TRUST INC.	n/a	n/a	n/a	Y	no	n/a
NEW AMERICA NETWORK INC.	n/a	n/a	n/a	N	yes	n/a
RESOURCE SECURITIES LLC	n/a	n/a	n/a	N	yes	n/a
RFII NY2 CO-INVESTMENT GP LLC	n/a	n/a	n/a	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	3	yes
Philadelphia	Pa	United States	2	yes
Greenville	Sc	United States	1	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
2019	Feb 11, 2020	$294M	$294M	59	13	3	n/a	n/a
2018	Mar 12, 2019	$192M	$192M	91	15	5	n/a	n/a
2017	Feb 28, 2018	$77.8M	$77.8M	38	10	1	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
2019	$294M	$192M	53.2%	n/a	n/a	59	91	3	5

Relationships

Affiliated with (6)

← RESOURCE REAL ESTATE LLCRegistered adviserother investment adviser, common control
factForm ADV
→ C-III INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ RESOURCE REAL ESTATE LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ ISLAND INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
← EXANTAS CAPITAL MANAGER INC.Registered adviserother investment adviser, bank, common control
factForm ADV
← RFFMRegistered adviserother investment adviser, bank, common control
factForm ADV

Controls (22)

← JESSELSON, MICHAEL, GERSHONOwnerMEMBER OF BOARD OF MANAGERS, ownership code F, individual
Dec 22, 2016 to presentfactForm ADV
← ASTON, JAMES, ANDREWOwnerMEMBER OF BOARD OF MANAGERS, ownership code F, individual
Dec 22, 2016 to presentfactForm ADV
← FARKAS, ANDREW, LAWRENCEOwnerMEMBER OF BOARD OF MANAGERS, ownership code F, individual
Dec 22, 2016 to presentfactForm ADV
← HAWKINS, BRIAN, STEPHENOwnerVICE PRESIDENT, ownership code NA, individual
Mar 12, 2019 to presentfactForm ADV
← BLOCK, LAWRENCE, STEVENOwnerSENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER & SECRETARY, ownership code NA, individual
Dec 22, 2016 to presentfactForm ADV
← FELDMAN, ALAN, FRANKOwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Dec 22, 2016 to presentfactForm ADV
← COHEN, JEFFREY, PATRICKOwnerMEMBER OF BOARD OF MANAGERS, ownership code F, individual
Dec 22, 2016 to presentfactForm ADV
← BLOMSTROM, JEFFREY, DEANOwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Dec 22, 2016 to presentfactForm ADV
← STERN, MATTHEW, JONOwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Dec 22, 2016 to presentfactForm ADV
← TERWILLIGER, MICHAEL, THOMASOwnerMANAGING DIRECTOR, ownership code NA, individual
Feb 28, 2018 to presentfactForm ADV
← ELLIOTT, THOMAS, CHARLESOwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Dec 22, 2016 to presentfactForm ADV
← REISMAN, SIDNEY, JOSEPHOwnerMEMBER OF BOARD OF MANAGERS, ownership code F, individual
Dec 22, 2016 to presentfactForm ADV
← CARLETON, GEORGE, EDWARDOwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Dec 22, 2016 to presentfactForm ADV
← ANUBIS ADVISORS LLCOwnerMEMBER, ownership code E, domestic entity
Dec 22, 2016 to presentfactForm ADV
← C-III CAPITAL PARTNERS LLCOwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Dec 22, 2016 to presentfactForm ADV
← ISLAND C-III DIRECTIVES II LLCOwnerMANAGING MEMBER, ownership code F, domestic entity
Dec 22, 2016 to presentfactForm ADV
← ISLAND C-III DIRECTIVES LLCOwnerMANAGING MEMBER, ownership code F, domestic entity
Dec 22, 2016 to presentfactForm ADV
← ISLAND C-III HOLDINGS II LLCOwnerMEMBER, ownership code C, domestic entity
Dec 22, 2016 to presentfactForm ADV
← ISLAND C-III HOLDINGS LLCOwnerMEMBER, ownership code C, domestic entity
Mar 29, 2018 to presentfactForm ADV
← ISLAND C-III MANAGER LLCOwnerMANAGER, ownership code F, domestic entity
Dec 22, 2016 to presentfactForm ADV
← ISLAND CAPITAL GROUP, LLCOwnerMEMBER, ownership code E, domestic entity
Dec 22, 2016 to presentfactForm ADV
← RESOURCE AMERICA, INC.OwnerSOLE MEMBER, ownership code E, domestic entity
Dec 22, 2016 to presentfactForm ADV

Owns (1)

← GAZA, MARYKATHLEEN, FOYNESOwnerVICE PRESIDENT - COMPLIANCE & ASSISTANT SECRETARY, ownership code NA, individual
Mar 29, 2018 to presentfactForm ADV

Dated events

Occurred
Jun 12, 2020
Control person left
Matthew Justin Milberg (Managing Director) no longer on Schedule A of Resource Alternative Advisor, Llc (listed 2020-02-11, absent 2020-06-12)
Form ADVobserved 6 days ago
Occurred
Feb 11, 2020
Regulatory AUM changed
Resource Alternative Advisor, Llc reported RAUM $293.5M, up 53% from $191.6M (2019-08-26 to 2020-02-11)
Form ADVobserved 6 days ago
$102M
Occurred
Mar 12, 2019
Regulatory AUM changed
Resource Alternative Advisor, Llc reported RAUM $191.6M, up 146% from $77.8M (2019-01-02 to 2019-03-12)
Form ADVobserved 6 days ago
$114M
Occurred
Mar 12, 2019
Control person joined
Stephen Brian Hawkins (Vice President) appeared on Schedule A of Resource Alternative Advisor, Llc
Form ADVobserved 6 days ago
Occurred
Jan 2, 2019
Control person left
Mcmurry Frank Garrison (Member Of Board Of Managers) no longer on Schedule A of Resource Alternative Advisor, Llc (listed 2018-06-27, absent 2019-01-02)
Form ADVobserved 6 days ago
Occurred
Dec 22, 2016
First Form ADV filing
Resource Alternative Advisor, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3c1f845b-16df-a6eb-6b3d-d617ac87704a
First observed: Dec 22, 2016
Last observed: Aug 3, 2020 74 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.

RESOURCE ALTERNATIVE ADVISOR, LLC

CRD 286099

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:3c1f845b-16df-a6eb-6b3d-d617ac87704a

Data as of Aug 3, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:05 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ANUBIS ADVISORS LLC

Member

yes

03/2010

Dec 22, 2016

Aug 3, 2020

ASTON, JAMES, ANDREW

MEMBER OF BOARD OF MANAGERS

yes

01/2019

Dec 22, 2016

Aug 3, 2020

ASTON, JAMES, ANDREW

SENIOR VICE PRESIDENT

yes

11/2016

Dec 22, 2016

Aug 3, 2020

BLOCK, LAWRENCE, STEVEN

SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER & SECRETARY

yes

11/2016

Dec 22, 2016

Aug 3, 2020

BLOMSTROM, JEFFREY, DEAN

SENIOR VICE PRESIDENT

yes

11/2016

Dec 22, 2016

Aug 3, 2020

C-III CAPITAL PARTNERS LLC

SOLE SHAREHOLDER

yes

09/2016

Dec 22, 2016

Aug 3, 2020

CARLETON, GEORGE, EDWARD

SENIOR VICE PRESIDENT

yes

11/2016

Dec 22, 2016

Aug 3, 2020

COHEN, JEFFREY, PATRICK

MEMBER OF BOARD OF MANAGERS

yes

02/2010

Dec 22, 2016

Aug 3, 2020

COHEN, JEFFREY, PATRICK

President

yes

11/2016

Dec 22, 2016

Aug 3, 2020

ELLIOTT, THOMAS, CHARLES

SENIOR VICE PRESIDENT

yes

11/2016

Dec 22, 2016

Aug 3, 2020

FARKAS, ANDREW, LAWRENCE

MEMBER OF BOARD OF MANAGERS

yes

02/2010

Dec 22, 2016

Aug 3, 2020

FARKAS, ANDREW, LAWRENCE

Member

yes

07/2003

Dec 22, 2016

Aug 3, 2020

FELDMAN, ALAN, FRANK

SENIOR VICE PRESIDENT

yes

11/2016

Dec 22, 2016

Aug 3, 2020

HAWKINS, BRIAN, STEPHEN

VICE PRESIDENT

yes

11/2016

Mar 12, 2019

Aug 3, 2020

ISLAND C-III DIRECTIVES II LLC

MANAGING MEMBER

yes

05/2010

Dec 22, 2016

Aug 3, 2020

ISLAND C-III DIRECTIVES LLC

MANAGING MEMBER

yes

11/2009

Dec 22, 2016

Aug 3, 2020

ISLAND C-III HOLDINGS II LLC

Member

yes

05/2010

Dec 22, 2016

Aug 3, 2020

ISLAND C-III HOLDINGS LLC

Member

yes

02/2010

Mar 29, 2018

Aug 3, 2020

ISLAND C-III MANAGER LLC

Manager

yes

02/2010

Dec 22, 2016

Aug 3, 2020

ISLAND CAPITAL GROUP, LLC

Member

yes

03/2010

Dec 22, 2016

Aug 3, 2020

ISLAND CAPITAL GROUP, LLC

Member

yes

10/2009

Dec 22, 2016

Aug 3, 2020

JESSELSON, MICHAEL, GERSHON

MEMBER OF BOARD OF MANAGERS

yes

05/2012

Dec 22, 2016

Aug 3, 2020

REISMAN, SIDNEY, JOSEPH

MEMBER OF BOARD OF MANAGERS

yes

02/2010

Dec 22, 2016

Aug 3, 2020

RESOURCE AMERICA, INC.

SOLE MEMBER

yes

11/2016

Dec 22, 2016

Aug 3, 2020

STERN, MATTHEW, JON

SENIOR VICE PRESIDENT

yes

11/2016

Dec 22, 2016

Aug 3, 2020

TERWILLIGER, MICHAEL, THOMAS

MANAGING DIRECTOR

yes

08/2017

Feb 28, 2018

Aug 3, 2020

GAZA, MARYKATHLEEN, FOYNES

VICE PRESIDENT - COMPLIANCE & ASSISTANT SECRETARY

03/2018

Mar 29, 2018

Aug 3, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

C-III INVESTMENT MANAGEMENT LLC

n/a

Asset manager

$2.5B

yes

n/a

ISLAND INVESTMENT MANAGEMENT LLC

n/a

Asset manager

$1.7B

yes

n/a

RESOURCE REAL ESTATE LLC

n/a

Former SEC adviser

$366M

yes

n/a

ANUBIS SECURITIES LLC

n/a

yes

n/a

C-III CAPITAL PARTNERS LLC

n/a

C-III HY DIRECTIVES III LLC

n/a

yes

n/a

C-III HY DIRECTIVES IV LLC

n/a

yes

n/a

C-III JERIT MANAGER LLC

n/a

yes

n/a

C-III REALTY SERVICES LLC

n/a

yes

n/a

C-III RF DIRECTIVES II LLC

n/a

yes

n/a

C-III RF DIRECTIVES III LLC

n/a

yes

n/a

C-III RFI DIRECTIVES LLC

n/a

yes

n/a

C-III SA MANAGEMENT LLC

n/a

yes

n/a

ICG REALTY LLC

n/a

yes

n/a

ISLAND CAPITAL GROUP LLC

n/a

ISLAND DIRECTIVES III LLC

n/a

yes

n/a

JER INVESTORS TRUST INC.

n/a

NEW AMERICA NETWORK INC.

n/a

yes

n/a

RESOURCE SECURITIES LLC

n/a

yes

n/a

RFII NY2 CO-INVESTMENT GP LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

yes

Philadelphia

United States

yes

Greenville

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Feb 11, 2020

$294M

n/a

2018

Mar 12, 2019

$192M

n/a

2017

Feb 28, 2018

$77.8M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$294M

$192M

53.2%

n/a