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CRD 120648
STAMFORD, CT
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 |
|---|---|---|---|---|---|---|
| B••••••••• E••••• W• | MANAGER, PRINCIPAL, PRESIDENT AND CHIEF EXECUTIVE OFFICER | C | yes | 01/2001 | Jan 31, 2012 | Jul 31, 2014 |
| B••••••••• E••••• W• | PRESIDENT, PRINCIPAL, CEO, CCO, DIRECTOR AND CHAIRMAN | Na | yes | 04/2002 | Jan 31, 2012 | Jul 31, 2014 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| F•••••• S••••• P•••••••• L•• | n/a | Former SEC adviser | $24.8M | Y | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2013 | Mar 4, 2014 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2013 | $712,000 | $500,000 | 42.4% | n/a | n/a | 9 | 8 | n/a | n/a |
| F•••••• S••••• P•••••••• L•• | Shareholder | E | yes | 04/2002 | Jan 31, 2012 | Jul 31, 2014 |
| G••••• W••••••• L• | CHIEF INVESTMENT OFFICER, PRINCIPAL AND DIRECTOR | Na | yes | 04/2002 | Jan 31, 2012 | Jul 31, 2014 |
| G••••• W••••••• L• | MANAGER, PRINCIPAL AND CHIEF INVESTMENT OFFICER | F | yes | 04/2001 | Jan 31, 2012 | Jul 31, 2014 |
| J••••• H••••••• J••• | Principal | Na | yes | 03/2003 | Jan 31, 2012 | Jul 31, 2014 |
| J••••• H••••••• J••• | Principal | F | yes | 03/2003 | Jan 31, 2012 | Jul 31, 2014 |
| M••••••••• E•••••• P• | PRINCIPAL AND DIRECTOR | Na | yes | 04/2002 | Jan 31, 2012 | Jul 31, 2014 |
| M••••••••• E•••••• P• | MANAGER, PRINCIPAL, CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER AND SECRETARY | F | yes | 01/2001 | Jan 31, 2012 | Jul 31, 2014 |
| M•••••• T••••••• B• | Owner | F | yes | 01/2001 | Jan 31, 2012 | Jul 31, 2014 |
| S••••••••• C••••• H•••• | CHIEF FINANCIAL OFFICER, TREASURER | Na | yes | 04/2011 | Jan 31, 2012 | Jul 31, 2014 |
| W•••••••• A••••• | CHIEF OPERATING OFFICER | F | yes | 08/2013 | Mar 4, 2014 | Jul 31, 2014 |
| I••••••• J•••••• I•• | CHIEF COMPILANCE OFFICER | F | no | 02/2013 | Mar 7, 2013 | Jul 31, 2014 |
| $712,000 |
| $712,000 |
| 9 |
| 4 |
| n/a |
| n/a |
| n/a |
| 2012 | Mar 7, 2013 | $500,000 | $500,000 | 8 | 4 | n/a | 5 | $418M |
| 2011 | Jan 31, 2012 | $1.2M | $1.2M | n/a | n/a | n/a | 5 | $671M |