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CRD 150810
PORT WASHINGTON, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| J••• D•••• D••••••••• | n/a | PORT WASHINGTON, NY | 2 | 39 | 1 | no |
| P•••• M•••••• R•• | n/a | PORT WASHINGTON, NY | 2 | 17 |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| O•••• C••••••••• P••••••• I• L• | Other Private Fund | $15.1M | May 20, 2026 | 14 | Mar 13, 2017 | reported | 021-269174 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| D••••••••• J•••• D•••• | CHIEF COMPLIANCE OFFICER AND PRESIDENT-CHIEF OPERATING OFFICER | C | yes | 07/2009 | Mar 21, 2012 | Jun 27, 2024 |
| R••• P••••• M•••••• | MANAGING MEMBER, CEO & CIO | D | yes | 07/2009 | Mar 21, 2012 | Jun 27, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| A•••••• F• L•• | n/a | n/a | n/a | N | yes | n/a |
| O•••• C•••••• M••••••••• I• L•• | n/a | n/a | n/a | Y | yes | n/a |
| S••••• I• G• L•• | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| PORT WASHINGTON | NY | United States | 2 | no |
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 1 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.9B | $1.6B | 18.5% | $1.5B | 8.1% | 9 | 9 | 1 | 2 |
| no |
| E••••• O• M•••••• G••••• F••••• |
| Owner |
| B |
| no |
| 08/2023 |
| Mar 18, 2024 |
| Jun 27, 2024 |
| n/a |
| Y |
| yes |
| n/a |
| Mar 19, 2026 |
| $1.9B |
| $1.1B |
| 9 |
| 5 |
| 2 |
| 1 |
| n/a |
| 2024 | Mar 21, 2025 | $1.6B | $1.0B | 9 | 5 | 2 | 1 | n/a |
| 2023 | Mar 18, 2024 | $1.6B | $1.0B | 10 | 5 | 2 | 1 | $13.5M |
| 2022 | Mar 29, 2023 | $1.5B | $1.3B | 10 | 5 | 2 | 1 | $12.0M |
| 2021 | Mar 29, 2022 | $1.9B | $1.8B | 9 | 5 | 2 | 1 | $15.6M |
| 2020 | Mar 12, 2021 | $1.7B | $1.5B | 10 | 5 | 1 | 1 | $10.6M |
| 2019 | Mar 19, 2020 | $1.4B | $846M | 10 | 5 | 1 | 1 | $10.6M |
| 2018 | Apr 9, 2019 | $1.2B | $684M | 10 | 5 | 1 | 1 | $9.6M |
| 2017 | Mar 14, 2018 | $824M | $551M | 11 | 5 | 1 | 1 | $9.6M |
| 2016 | Mar 13, 2017 | $818M | $622M | 10 | 5 | n/a | 1 | $5.5M |
| 2015 | Mar 8, 2016 | $765M | $509M | 10 | 5 | n/a | n/a | n/a |
| 2014 | Mar 2, 2015 | $781M | $738M | 9 | 6 | n/a | n/a | n/a |
| 2013 | Mar 6, 2014 | $727M | $692M | 6 | 4 | n/a | n/a | n/a |
| 2012 | Feb 26, 2013 | $572M | $380M | 6 | 4 | n/a | n/a | n/a |
| 2011 | Mar 21, 2012 | $461M | $296M | n/a | n/a | n/a | n/a | n/a |