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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

GERSTEIN FISHER

GERSTEIN, FISHER & ASSOCIATES, INC., CRD 118551

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:4a896015-edf7-bdef-64e8-df94b708dd77

Data as of Aug 1, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 28
Dated events: 0
On other graphs: 0
Observed: Mar 14, 2012 to Aug 1, 2016
14 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: $1.9BItem 5.F on the latest filing (2016-08-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.9B
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: 45
Advisory employees: 35
Accounts: 5,880
Custody, client assets: $18.0M
SEC number: 801-60870
CRD: 118551
Filings on the tape: 14
First filed: Mar 14, 2012
Latest filed: Aug 1, 2016
Organised: Corporation, New York

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
DELMAN, BRIAN, EDWARD	CHIEF COMPLIANCE OFFICER	Na	yes	02/2015	Feb 20, 2015	Aug 1, 2016
FISHER, GREGG, SCOTT	PRESIDENT, CHIEF INVESTMENT OFFICER	E	yes	04/1996	Mar 14, 2012	Aug 1, 2016
JOLLIE, WILLIAM, ALBERT	HEAD OF INVESTMENT OPERATIONS	Na	yes	10/2011	Apr 1, 2013	Aug 1, 2016

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
GFA SECURITIES, LLC	n/a	n/a	n/a	N	yes	n/a

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
2015	Mar 29, 2016	$1.9B	$1.9B	45	35	n/a	n/a	n/a
2014	Mar 30, 2015	$1.8B	$1.8B	42	33	n/a	n/a	n/a
2013	Mar 14, 2014	$1.7B	$1.7B	40	25	n/a	n/a	n/a
2012	Apr 1, 2013	$1.4B	$1.3B	40	25	n/a	n/a	n/a
2011	Mar 14, 2012	$1.2B	$1.2B	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
2015	$1.9B	$1.8B	4.4%	$1.4B	12.2%	45	42	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
PEOPLE'S SECURITIES, INC.	10	Nov 23, 2016	Nov 3, 2016	NEW YORK, NY	Firm absorbed	Other	90.9%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MSI FINANCIAL SERVICES, INC.	2	Mar 3, 2016	Mar 22, 2016	STAMFORD, CT	Team lift out	Other	0.1%

Relationships

Controls (3)

← FISHER, GREGG, SCOTTOwnerPRESIDENT, CHIEF INVESTMENT OFFICER, ownership code E, individual
Mar 14, 2012 to presentfactForm ADV
← JOLLIE, WILLIAM, ALBERTOwnerHEAD OF INVESTMENT OPERATIONS, ownership code NA, individual
Apr 1, 2013 to presentfactForm ADV
← DELMAN, BRIAN, EDWARDOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 20, 2015 to presentfactForm ADV

Registered with (23)

← DANIEL WINSTON MAURERAdvisorregistration: previous registration
Sep 5, 2012 to Nov 29, 2016factForm ADV
← GREGG SCOTT FISHERAdvisorregistration: previous registration
Jun 18, 2003 to Nov 29, 2016factForm ADV
← KERI ROBYN PRIMACKAdvisorregistration: previous registration
Sep 23, 2011 to Nov 29, 2016factForm ADV
← Curt Arri SchultzbergAdvisorregistration: previous registration
Sep 22, 2015 to Nov 29, 2016factForm ADV
← Michael GoldAdvisorregistration: previous registration
Dec 3, 2012 to Nov 29, 2016factForm ADV
← Anna TyutyunikAdvisorregistration: previous registration
Mar 15, 2016 to Nov 29, 2016factForm ADV
← ROBERT HARVARD KINNIEAdvisorregistration: previous registration
Sep 30, 2016 to Nov 29, 2016factForm ADV
← BERNARD JOHN LYNCHAdvisorregistration: previous registration
Dec 28, 2015 to Nov 29, 2016factForm ADV
← STEPHEN ROBERT JOHNSONAdvisorregistration: previous registration
Mar 22, 2016 to Nov 29, 2016factForm ADV
← JUSTIN MICHAEL NEUWIRTAdvisorregistration: previous registration
Mar 31, 2014 to Nov 29, 2016factForm ADV
← CHRISTOPHER ANTHONY DENDEAdvisorregistration: previous registration
Sep 1, 2015 to Nov 23, 2016factForm ADV
← Chet Dylan SchwartzAdvisorregistration: previous registration
Jan 7, 2008 to Dec 8, 2015factForm ADV
← Gregg EisensteinAdvisorregistration: previous registration
Oct 7, 2014 to Jun 18, 2015factForm ADV
← ROBERT SEAN ALIMENAAdvisorregistration: previous registration
Apr 30, 2014 to Apr 8, 2015factForm ADV
← DALYA INHABERAdvisorregistration: previous registration
Nov 11, 2010 to Feb 27, 2015factForm ADV
← MICHAEL ALAN POWSNERAdvisorregistration: previous registration
Dec 3, 2013 to Dec 8, 2014factForm ADV
← SCOTT MICHAEL ANTINAdvisorregistration: previous registration
May 17, 2007 to Jul 21, 2014factForm ADV
← SUSAN KIM MATLOWAdvisorregistration: previous registration
Aug 11, 2011 to May 13, 2013factForm ADV
← CURTIS RANDALL BROOKSAdvisorregistration: previous registration
Oct 28, 2009 to Sep 20, 2011factForm ADV
← MICHAEL ROBERT SANDERSAdvisorregistration: previous registration
Dec 1, 2003 to Sep 21, 2010factForm ADV
← SALVATORE JAMES RICCOAdvisorregistration: previous registration
Jun 19, 2003 to Oct 16, 2009factForm ADV
← Richard J DempseyAdvisorregistration: previous registration
Aug 15, 2007 to Oct 18, 2007factForm ADV
← CRAIG R MARSONAdvisorregistration: previous registration
Sep 29, 2005 to Jan 25, 2007factForm ADV

Moved with (2)

→ PEOPLE'S SECURITIES, INC.Registered adviser10 advisors, firm absorbed
Nov 23, 2016 to Nov 3, 2016factForm ADV
← MSI FINANCIAL SERVICES, INC.Registered adviser2 advisors, team lift out, same day
Mar 3, 2016 to Mar 22, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4a896015-edf7-bdef-64e8-df94b708dd77
First observed: Mar 14, 2012
Last observed: Aug 1, 2016 123 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.

GERSTEIN FISHER

GERSTEIN, FISHER & ASSOCIATES, INC., CRD 118551

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:4a896015-edf7-bdef-64e8-df94b708dd77

Data as of Aug 1, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:55 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DELMAN, BRIAN, EDWARD

CHIEF COMPLIANCE OFFICER

yes

02/2015

Feb 20, 2015

Aug 1, 2016

FISHER, GREGG, SCOTT

PRESIDENT, CHIEF INVESTMENT OFFICER

yes

04/1996

Mar 14, 2012

Aug 1, 2016

JOLLIE, WILLIAM, ALBERT

HEAD OF INVESTMENT OPERATIONS

yes

10/2011

Apr 1, 2013

Aug 1, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

GFA SECURITIES, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 29, 2016

$1.9B

n/a

2014

Mar 30, 2015

$1.8B

n/a

2013

Mar 14, 2014

$1.7B

n/a

2012

Apr 1, 2013

$1.4B

$1.3B

n/a

2011

Mar 14, 2012

$1.2B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$1.9B

$1.8B

4.4%

$1.4B

12.2%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

PEOPLE'S SECURITIES, INC.

Nov 23, 2016

Nov 3, 2016

NEW YORK, NY

Firm absorbed

Other

90.9%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MSI FINANCIAL SERVICES, INC.

Mar 3, 2016

Mar 22, 2016

STAMFORD, CT

Team lift out

Other

0.1%