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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

KESSLER INVESTMENT ADVISORS INC

CRD 106393

DENVER, CO

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:5817b29d-31d3-32b5-10d2-96d7604efa56

Data as of Jun 27, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Feb 10, 2012 to Jun 27, 2012
4 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: $34.7MItem 5.F on the latest filing (2012-06-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $34.7M
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
Accounts: 7
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $16.0Mgross asset value as reported per fund; never fund size
Custody, client assets: $16.0M
SEC number: 801-47146
CRD: 106393
Filings on the tape: 4
First filed: Feb 10, 2012
Latest filed: Jun 27, 2012
Organised: Corporation, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
KESSLER CORNERSTONE ABSOLUTE RETURN FUND LTD	Hedge Fund	$16.0M	Jun 27, 2012	3	Feb 10, 2012	reported	021-145791

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
KESSLER FAMILY TRUST	Shareholder	E	yes	06/2003	Feb 10, 2012	Jun 27, 2012
KESSLER, ROBERT, IRVING	GRANTOR TRUST, PROTECTOR	E	yes	06/2003	Feb 10, 2012	Jun 27, 2012
KESSLER, ROBERT, IRVING	CHIEF EXECUTIVE OFFICER, INVEST. COMMITTEE	Na	yes	01/2002	Feb 10, 2012	Jun 27, 2012
THE KESSLER COMPANIES, INC.	Shareholder	E	yes	08/1997	Feb 10, 2012	Jun 27, 2012
HICKMAN, ERIC, WYNNE	MANAGING DIRECTOR, INVESTMENT COMMITTEE	Na	no	09/2007	Feb 10, 2012	Jun 27, 2012
JOHNSON, MAXINE, ADA	CHIEF COMPLIANCE OFFICER,CFO,COO	Na	no	01/2002	Feb 10, 2012	Jun 27, 2012
KESSLER, LISA, ANNE	SEC-TREASURER, INVEST. COMMITTEE	Na	no	01/2002	Feb 10, 2012	Jun 27, 2012

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
KESSLER & COMPANY INVESTMENTS, INC.	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
2011	Feb 10, 2012	$34.7M	$34.7M	n/a	n/a	n/a	1	$16.0M

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
2011	$34.7M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Advises (1)

→ KESSLER CORNERSTONE ABSOLUTE RETURN FUND LTDPrivate fundHedge Fund, IA
Feb 10, 2012 to presentfactForm ADV

Owns (3)

← KESSLER, LISA, ANNEOwnerSEC-TREASURER, INVEST. COMMITTEE, ownership code NA, individual
Feb 10, 2012 to presentfactForm ADV
← JOHNSON, MAXINE, ADAOwnerCHIEF COMPLIANCE OFFICER,CFO,COO, ownership code NA, individual
Feb 10, 2012 to presentfactForm ADV
← HICKMAN, ERIC, WYNNEOwnerMANAGING DIRECTOR, INVESTMENT COMMITTEE, ownership code NA, individual
Feb 10, 2012 to presentfactForm ADV

Controls (3)

← KESSLER, ROBERT, IRVINGOwnerGRANTOR TRUST, PROTECTOR, ownership code E, individual
Feb 10, 2012 to presentfactForm ADV
← KESSLER FAMILY TRUSTOwnerSHAREHOLDER, ownership code E, foreign entity
Feb 10, 2012 to presentfactForm ADV
← THE KESSLER COMPANIES, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Feb 10, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5817b29d-31d3-32b5-10d2-96d7604efa56
First observed: Feb 10, 2012
Last observed: Jun 27, 2012 173 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.

KESSLER INVESTMENT ADVISORS INC

CRD 106393

DENVER, CO

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:5817b29d-31d3-32b5-10d2-96d7604efa56

Data as of Jun 27, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:56 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

KESSLER CORNERSTONE ABSOLUTE RETURN FUND LTD

Hedge Fund

$16.0M

Jun 27, 2012

Feb 10, 2012

reported

021-145791

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KESSLER FAMILY TRUST

Shareholder

yes

06/2003

Feb 10, 2012

Jun 27, 2012

KESSLER, ROBERT, IRVING

GRANTOR TRUST, PROTECTOR

yes

06/2003

Feb 10, 2012

Jun 27, 2012

KESSLER, ROBERT, IRVING

CHIEF EXECUTIVE OFFICER, INVEST. COMMITTEE

yes

01/2002

Feb 10, 2012

Jun 27, 2012

THE KESSLER COMPANIES, INC.

Shareholder

yes

08/1997

Feb 10, 2012

Jun 27, 2012

HICKMAN, ERIC, WYNNE

MANAGING DIRECTOR, INVESTMENT COMMITTEE

09/2007

Feb 10, 2012

Jun 27, 2012

JOHNSON, MAXINE, ADA

CHIEF COMPLIANCE OFFICER,CFO,COO

01/2002

Feb 10, 2012

Jun 27, 2012

KESSLER, LISA, ANNE

SEC-TREASURER, INVEST. COMMITTEE

01/2002

Feb 10, 2012

Jun 27, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

KESSLER & COMPANY INVESTMENTS, INC.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Feb 10, 2012

$34.7M

n/a

$16.0M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$34.7M

n/a