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CRD 151561
HARRISBURG, PA
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| DAILEY, JAMES, LOUIS | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | E | yes | 09/2009 | Mar 27, 2012 | Feb 27, 2013 |
| LINDENBERG, SAMUEL, STANLEY | President | Na | yes | 09/2009 | Mar 27, 2012 | Feb 27, 2013 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| TEAM FINANCIAL MANAGERS, INC. | n/a | Former SEC adviser | $175M | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2012 | Feb 27, 2013 | $29.9M | $29.9M | 4 | 2 | n/a | n/a | n/a |
| 2011 | Mar 27, 2012 | $64.9M | $64.9M | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2012 | $29.9M | $64.9M | -53.9% | n/a | n/a | 4 | n/a | n/a | n/a |