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

FACTOR ADVISORS, LLC

CRD 164878

SUMMIT, NJ

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:4e0ac0b1-9afc-8fa8-6541-aa1bd4341d2a

Data as of Mar 29, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 24, 2012 to Mar 29, 2016
9 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: $1.0BItem 5.F on the latest filing (2016-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.0B
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: 9
Advisory employees: 4
Accounts: 9
SEC number: 801-76969
CRD: 164878
Filings on the tape: 9
First filed: Jul 24, 2012
Latest filed: Mar 29, 2016
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
FLANAGAN, JOHN, AUGUSTIN	Cfo	Na	yes	03/2015	Mar 29, 2016	Mar 29, 2016
Karol, Banard	President	B	yes	10/2015	Mar 29, 2016	Mar 29, 2016
MASUCCI, SAMUEL, RALPH	CEO, CMO	E	yes	07/2012	Jul 24, 2012	Mar 29, 2016
WEISSMAN, DAVID, HENRY	CCO, COO	Na	yes	10/2014	Apr 30, 2013	Mar 29, 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
SAMUEL MASUCCI, III	n/a	n/a	n/a	Y	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	$1.0B	$1.0B	9	4	n/a	n/a	n/a
2014	Apr 7, 2015	n/a	n/a	6	3	n/a	n/a	n/a
2013	Apr 23, 2014	n/a	n/a	2	1	n/a	n/a	n/a
2012	Apr 30, 2013	$13.5M	$13.5M	4	1	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	$1.0B	n/a	n/a	$13.5M	323.0%	9	6	n/a	n/a

Relationships

Controls (4)

← MASUCCI, SAMUEL, RALPHOwnerCEO, CMO, ownership code E, individual
Jul 24, 2012 to presentfactForm ADV
← WEISSMAN, DAVID, HENRYOwnerCCO, COO, ownership code NA, individual
Apr 30, 2013 to presentfactForm ADV
← FLANAGAN, JOHN, AUGUSTINOwnerCFO, ownership code NA, individual
Mar 29, 2016 to presentfactForm ADV
← Karol, BanardOwnerPRESIDENT, ownership code B, individual
Mar 29, 2016 to presentfactForm ADV

Dated events

Occurred
Jul 24, 2012
First Form ADV filing
Factor Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4e0ac0b1-9afc-8fa8-6541-aa1bd4341d2a
First observed: Jul 24, 2012
Last observed: Mar 29, 2016 127 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.

FACTOR ADVISORS, LLC

CRD 164878

SUMMIT, NJ

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:4e0ac0b1-9afc-8fa8-6541-aa1bd4341d2a

Data as of Mar 29, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:14 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FLANAGAN, JOHN, AUGUSTIN

Cfo

yes

03/2015

Mar 29, 2016

Karol, Banard

President

yes

10/2015

Mar 29, 2016

MASUCCI, SAMUEL, RALPH

CEO, CMO

yes

07/2012

Jul 24, 2012

Mar 29, 2016

WEISSMAN, DAVID, HENRY

CCO, COO

yes

10/2014

Apr 30, 2013

Mar 29, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SAMUEL MASUCCI, III

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 29, 2016

$1.0B

n/a

2014

Apr 7, 2015

n/a

2013

Apr 23, 2014

n/a

2012

Apr 30, 2013

$13.5M

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

$1.0B

n/a

$13.5M

323.0%

n/a