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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

CLINTON RETAIL INVESTMENT MANAGEMENT LLC

CRD 282675

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:3e8882ff-57ce-6a88-00a7-c548fcfc6575

Data as of Jul 1, 2018 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Jan 15, 2016 to Jul 1, 2018
5 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: $0Item 5.F on the latest filing (2018-07-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 39
Advisory employees: 29
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 0
Custody, client assets: $0
SEC number: 801-107195
CRD: 282675
Filings on the tape: 5
First filed: Jan 15, 2016
Latest filed: Jul 1, 2018
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
BEHBEHANI, NADER	Cco	Na	yes	12/2010	Jan 15, 2016	Jul 1, 2018
CGI HOLDINGS INC.	Shareholder	E	yes	12/2001	Jan 15, 2016	Jul 1, 2018
CLINTON GROUP, INC	Member	E	yes	01/2016	Jan 15, 2016	Jul 1, 2018
HALL, GEORGE, ESTES	CEO/PRESIDENT/DIRECTOR	Na	yes	08/1991	Jan 15, 2016	Jul 1, 2018
HALL, GEORGE, ESTES	President	E	yes	05/1999	Jan 15, 2016	Jul 1, 2018
HALL, JOHN, LAWRENCE	SECRETARY/DIRECTOR	Na	yes	05/1995	Jan 15, 2016	Jul 1, 2018
MADISON AVENUE CAPITAL HOLDINGS INC.	SOLE OWNER	E	yes	12/2001	Mar 31, 2017	Jul 1, 2018
RUCHALSKI, FRANCIS	CFO/DIRECTOR	Na	yes	12/2002	Jan 15, 2016	Jul 1, 2018

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
CLINTON FOCUSED GP LLC	n/a	n/a	n/a	Y	yes	n/a
CLINTON GP INC.	n/a	n/a	n/a	Y	yes	n/a
CLINTON GROUP, INC	n/a	Former SEC adviser	n/a	N	yes	n/a
CLINTON RELATIONAL OPPORTUNITY GP LLC	n/a	n/a	n/a	N	yes	n/a
CLINTON SPOTLIGHT GP LLC	n/a	n/a	n/a	N	yes	n/a
CLINTON UNION LEAGUE LLC	n/a	n/a	n/a	Y	no	n/a
ESTES CAPITAL, LP	n/a	n/a	n/a	N	yes	n/a
ESTES HOLDINGS, LLC	n/a	n/a	n/a	N	yes	n/a
ESTES MANAGEMENT, LLC	n/a	n/a	n/a	N	yes	n/a
GEH CAPITAL INC.	n/a	n/a	n/a	N	yes	n/a
ROI ACQUISITION CORP II	n/a	n/a	n/a	N	yes	n/a
ROI ACQUISITION HOLDINGS LP II	n/a	n/a	n/a	N	yes	n/a
ROIC ACQUISITION HOLDINGS GP LLC II	n/a	n/a	n/a	N	yes	n/a
STRATEGIC CO-INVESTMENT PARTNERS (CAYMAN) LP	n/a	n/a	n/a	N	yes	n/a
STRATEGIC CO-INVESTMENT PARTNERS GP LLC	n/a	n/a	n/a	N	yes	n/a
STRATEGIC CO-INVESTMENT PARTNERS GP LP	n/a	n/a	n/a	N	yes	n/a
STRATEGIC CO-INVESTMENT PARTNERS MANAGEMENT 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
TINTON FALLS	Nj	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
2017	Jul 1, 2018	$0	$0	39	29	1	n/a	n/a
2016	Mar 31, 2017	$0	$0	50	40	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
2017	$0	$0	n/a	n/a	n/a	39	50	1	n/a

Relationships

Affiliated with (1)

→ CLINTON GROUP, INCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Controls (7)

← CLINTON GROUP, INCOwnerMEMBER, ownership code E, domestic entity
Jan 15, 2016 to presentfactForm ADV
← HALL, GEORGE, ESTESOwnerPRESIDENT, ownership code E, individual
Jan 15, 2016 to presentfactForm ADV
← HALL, JOHN, LAWRENCEOwnerSECRETARY/DIRECTOR, ownership code NA, individual
Jan 15, 2016 to presentfactForm ADV
← BEHBEHANI, NADEROwnerCCO, ownership code NA, individual
Jan 15, 2016 to presentfactForm ADV
← RUCHALSKI, FRANCISOwnerCFO/DIRECTOR, ownership code NA, individual
Jan 15, 2016 to presentfactForm ADV
← CGI HOLDINGS INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Jan 15, 2016 to presentfactForm ADV
← MADISON AVENUE CAPITAL HOLDINGS INC.OwnerSOLE OWNER, ownership code E, domestic entity
Mar 31, 2017 to presentfactForm ADV

Dated events

Occurred
Jan 15, 2016
First Form ADV filing
Clinton Retail Investment Management Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3e8882ff-57ce-6a88-00a7-c548fcfc6575
First observed: Jan 15, 2016
Last observed: Jul 1, 2018 100 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.

CLINTON RETAIL INVESTMENT MANAGEMENT LLC

CRD 282675

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:3e8882ff-57ce-6a88-00a7-c548fcfc6575

Data as of Jul 1, 2018 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:42 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BEHBEHANI, NADER

Cco

yes

12/2010

Jan 15, 2016

Jul 1, 2018

CGI HOLDINGS INC.

Shareholder

yes

12/2001

Jan 15, 2016

Jul 1, 2018

CLINTON GROUP, INC

Member

yes

01/2016

Jan 15, 2016

Jul 1, 2018

HALL, GEORGE, ESTES

CEO/PRESIDENT/DIRECTOR

yes

08/1991

Jan 15, 2016

Jul 1, 2018

HALL, GEORGE, ESTES

President

yes

05/1999

Jan 15, 2016

Jul 1, 2018

HALL, JOHN, LAWRENCE

SECRETARY/DIRECTOR

yes

05/1995

Jan 15, 2016

Jul 1, 2018

MADISON AVENUE CAPITAL HOLDINGS INC.

SOLE OWNER

yes

12/2001

Mar 31, 2017

Jul 1, 2018

RUCHALSKI, FRANCIS

CFO/DIRECTOR

yes

12/2002

Jan 15, 2016

Jul 1, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CLINTON FOCUSED GP LLC

n/a

yes

n/a

CLINTON GP INC.

n/a

yes

n/a

CLINTON GROUP, INC

n/a

Former SEC adviser

n/a

yes

n/a

CLINTON RELATIONAL OPPORTUNITY GP LLC

n/a

yes

n/a

CLINTON SPOTLIGHT GP LLC

n/a

yes

n/a

CLINTON UNION LEAGUE LLC

n/a

ESTES CAPITAL, LP

n/a

yes

n/a

ESTES HOLDINGS, LLC

n/a

yes

n/a

ESTES MANAGEMENT, LLC

n/a

yes

n/a

GEH CAPITAL INC.

n/a

yes

n/a

ROI ACQUISITION CORP II

n/a

yes

n/a

ROI ACQUISITION HOLDINGS LP II

n/a

yes

n/a

ROIC ACQUISITION HOLDINGS GP LLC II

n/a

yes

n/a

STRATEGIC CO-INVESTMENT PARTNERS (CAYMAN) LP

n/a

yes

n/a

STRATEGIC CO-INVESTMENT PARTNERS GP LLC

n/a

yes

n/a

STRATEGIC CO-INVESTMENT PARTNERS GP LP

n/a

yes

n/a

STRATEGIC CO-INVESTMENT PARTNERS MANAGEMENT LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

TINTON FALLS

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Jul 1, 2018

n/a

2016

Mar 31, 2017

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

n/a