DFX Intelligence

Data Factory

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

CANNELL & CO.

CRD 106326

NEW YORK, NY

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:64de7899-5e23-fd62-3d00-66e452f5fc27

Data as of Mar 11, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 30
Dated events: 10
On other graphs: 0
Observed: Feb 2, 2012 to Mar 11, 2023
31 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: $3.6BItem 5.F on the latest filing (2023-03-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $3.6B
Private client RAUM: $3.3BderivedItem 5.D individuals plus high net worth individuals
Private client share: 91%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 23
Advisory employees: 10
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 1,565
Individual clients: 1,131
High net worth clients: 366
Custody, client assets: $19.8M
SEC number: 801-27046
CRD: 106326
Filings on the tape: 31
First filed: Feb 2, 2012
Latest filed: Mar 11, 2023
Organised: Corporation, 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
MACCALLUM, IAN, BARRIE	Partner	Na	yes	01/2014	Jan 13, 2014	Mar 11, 2023
MAZZULLO, DAVID, JONATHAN	Partner	Na	yes	03/2019	Mar 29, 2018	Mar 11, 2023
PBC ACQUISITION CORP., INC.	Owner	E	yes	03/2019	Apr 26, 2019	Mar 11, 2023
WERNER, JOSEPH, BLAIR	Partner	Na	yes	03/1991	Feb 2, 2012	Mar 11, 2023
EISING, ROBERT, CHARLES	Partner	Na	no	01/2014	Jan 13, 2014	Mar 11, 2023
GILES, EDWARD, MORGAN	SENIOR VICE PRESIDENT	Na	no	07/2011	Feb 2, 2012	Mar 11, 2023
GILES, WALTER, KENNETH	SENIOR VICE PRESIDENT	Na	no	06/2020	Jun 29, 2020	Mar 11, 2023
GOLDBERG, GLENN, MICHAEL	CHIEF COMPLIANCE OFFICER	Na	no	01/2022	Jan 7, 2022	Mar 11, 2023
HERRMAN II, WILLIAM, HENRY	Partner	Na	no	08/2018	Aug 30, 2018	Mar 11, 2023
KOGAN, PATRICIA, ANN	Partner	Na	no	01/2016	Mar 30, 2017	Mar 11, 2023
LYNN, JENNIFER, BUCHMAN	Partner	Na	no	10/2014	Feb 2, 2012	Mar 11, 2023
SALOMON, ANNA	Treasurer	Na	no	08/2015	Aug 19, 2015	Mar 11, 2023
SHAPIRO, ROBERT, FRANK	SENIOR VICE PRESIDENT	Na	no	01/2014	Jan 13, 2014	Mar 11, 2023
THOW, RONALD, CHARLES	Partner	Na	no	01/2014	Jan 13, 2014	Mar 11, 2023
WARTMAN, PAUL, ANDREW	Partner	Na	no	01/1995	Apr 26, 2019	Mar 11, 2023

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Jupiter	FL	United States	1	no

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
2022	Mar 11, 2023	$3.6B	$3.6B	23	10	1	n/a	n/a
2021	Mar 21, 2022	$4.2B	$4.2B	23	10	1	n/a	n/a
2020	Mar 30, 2021	$3.9B	$3.9B	23	10	1	n/a	n/a
2019	Mar 27, 2020	$3.1B	$3.1B	24	10	0	n/a	n/a
2018	Mar 25, 2019	$3.1B	$3.1B	25	10	0	n/a	n/a
2017	Mar 29, 2018	$3.3B	$3.3B	25	11	0	n/a	n/a
2016	Mar 30, 2017	$3.3B	$3.3B	25	10	n/a	n/a	n/a
2015	Mar 28, 2016	$3.3B	$3.3B	25	10	n/a	n/a	n/a
2014	Mar 26, 2015	$3.9B	$3.9B	25	10	n/a	n/a	n/a
2013	Mar 21, 2014	$3.6B	$3.6B	23	10	n/a	n/a	n/a
2012	Mar 20, 2013	$1.9B	$1.9B	18	6	n/a	n/a	n/a
2011	Mar 29, 2012	$1.8B	$1.8B	n/a	n/a	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
2022	$3.6B	$4.2B	-12.7%	$3.1B	5.3%	23	23	1	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CANNELL & SPEARS LLC	7	Feb 13, 2024	Mar 27, 2024	NEW YORK, NY	Firm absorbed	RIA to RIA	100.0%

Relationships

Owns (11)

← SHAPIRO, ROBERT, FRANKOwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Jan 13, 2014 to presentfactForm ADV
← GILES, EDWARD, MORGANOwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Feb 2, 2012 to presentfactForm ADV
← WARTMAN, PAUL, ANDREWOwnerPARTNER, ownership code NA, individual
Apr 26, 2019 to presentfactForm ADV
← GOLDBERG, GLENN, MICHAELOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 7, 2022 to presentfactForm ADV
← THOW, RONALD, CHARLESOwnerPARTNER, ownership code NA, individual
Jan 13, 2014 to presentfactForm ADV
← EISING, ROBERT, CHARLESOwnerPARTNER, ownership code NA, individual
Jan 13, 2014 to presentfactForm ADV
← GILES, WALTER, KENNETHOwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Jun 29, 2020 to presentfactForm ADV
← HERRMAN II, WILLIAM, HENRYOwnerPARTNER, ownership code NA, individual
Aug 30, 2018 to presentfactForm ADV
← LYNN, JENNIFER, BUCHMANOwnerPARTNER, ownership code NA, individual
Feb 2, 2012 to presentfactForm ADV
← SALOMON, ANNAOwnerTREASURER, ownership code NA, individual
Aug 19, 2015 to presentfactForm ADV
← KOGAN, PATRICIA, ANNOwnerPARTNER, ownership code NA, individual
Mar 30, 2017 to presentfactForm ADV

Controls (4)

← WERNER, JOSEPH, BLAIROwnerPARTNER, ownership code NA, individual
Feb 2, 2012 to presentfactForm ADV
← MAZZULLO, DAVID, JONATHANOwnerPARTNER, ownership code NA, individual
Mar 29, 2018 to presentfactForm ADV
← MACCALLUM, IAN, BARRIEOwnerPARTNER, ownership code NA, individual
Jan 13, 2014 to presentfactForm ADV
← PBC ACQUISITION CORP., INC.OwnerOWNER, ownership code E, domestic entity
Apr 26, 2019 to presentfactForm ADV

Moved with (1)

→ CANNELL & SPEARS LLCRegistered adviser7 advisors, firm absorbed, same day
Feb 13, 2024 to Mar 27, 2024factForm ADV

Registered with (7)

← ROBERT FRANK SHAPIROAdvisorregistration: previous registration
Mar 18, 2022 to Feb 13, 2024factForm ADV
← JOSEPH BLAIR WERNERAdvisorregistration: previous registration
Mar 18, 2022 to Feb 13, 2024factForm ADV
← EDWARD MORGAN GILESAdvisorregistration: previous registration
Mar 18, 2022 to Feb 13, 2024factForm ADV
← ROBERT CHARLES EISINGAdvisorregistration: previous registration
Mar 18, 2022 to Feb 13, 2024factForm ADV
← WALTER KENNETH GILESAdvisorregistration: previous registration
Mar 18, 2022 to Feb 13, 2024factForm ADV
← WILLIAM HENRY HERRMAN IIAdvisorregistration: previous registration
Mar 18, 2022 to Feb 13, 2024factForm ADV
← IAN BARRIE MACCALLUMAdvisorregistration: previous registration
Mar 18, 2022 to Feb 13, 2024factForm ADV

Dated events

Occurred
Feb 13, 2024
Firm absorbed
Cannell & CO.'s advisors moved to Cannell & Spears LLC (New York, NY): 7 of 7 registered, on the same day
Form ADVobserved 5 days ago
7 advisors
Occurred
Feb 13, 2024
Advisor changed firm
Walter Kenneth Giles left Cannell & Co. for Cannell & Spears Llc (registered 2024-02-21)
Form ADVobserved 5 days ago
Occurred
Feb 13, 2024
Advisor changed firm
Ian Barrie Maccallum left Cannell & Co. for Cannell & Spears Llc (registered 2024-02-21)
Form ADVobserved 5 days ago
Occurred
Feb 13, 2024
Advisor changed firm
Robert Charles Eising left Cannell & Co. for Cannell & Spears Llc (registered 2024-03-27)
Form ADVobserved 5 days ago
Occurred
Feb 13, 2024
Advisor changed firm
Joseph Blair Werner left Cannell & Co. for Cannell & Spears Llc (registered 2024-02-21)
Form ADVobserved 5 days ago
Occurred
Feb 13, 2024
Advisor changed firm
Edward Morgan Giles left Cannell & Co. for Cannell & Spears Llc (registered 2024-02-21)
Form ADVobserved 5 days ago
Occurred
Feb 13, 2024
Advisor changed firm
William Henry Herrman Ii left Cannell & Co. for Cannell & Spears Llc (registered 2024-02-21)
Form ADVobserved 5 days ago
Occurred
Feb 13, 2024
Advisor changed firm
Robert Frank Shapiro left Cannell & Co. for Cannell & Spears Llc (registered 2024-02-21)
Form ADVobserved 5 days ago
Occurred
Mar 30, 2021
Regulatory AUM changed
Cannell & Co. reported RAUM $3.9B, up 26% from $3.1B (2020-06-29 to 2021-03-30)
Form ADVobserved 5 days ago
$803M
Occurred
Apr 26, 2019
Succession filed (Item 4)
Peter B. Cannell & Co., Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:64de7899-5e23-fd62-3d00-66e452f5fc27
First observed: Feb 2, 2012
Last observed: Mar 11, 2023 42 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.

CANNELL & CO.

CRD 106326

NEW YORK, NY

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:64de7899-5e23-fd62-3d00-66e452f5fc27

Data as of Mar 11, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:28 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MACCALLUM, IAN, BARRIE

Partner

yes

01/2014

Jan 13, 2014

Mar 11, 2023

MAZZULLO, DAVID, JONATHAN

Partner

yes

03/2019

Mar 29, 2018

Mar 11, 2023

PBC ACQUISITION CORP., INC.

Owner

yes

03/2019

Apr 26, 2019

Mar 11, 2023

WERNER, JOSEPH, BLAIR

Partner

yes

03/1991

Feb 2, 2012

Mar 11, 2023

EISING, ROBERT, CHARLES

Partner

01/2014

Jan 13, 2014

Mar 11, 2023

GILES, EDWARD, MORGAN

SENIOR VICE PRESIDENT

07/2011

Feb 2, 2012

Mar 11, 2023

GILES, WALTER, KENNETH

SENIOR VICE PRESIDENT

06/2020

Jun 29, 2020

Mar 11, 2023

GOLDBERG, GLENN, MICHAEL

CHIEF COMPLIANCE OFFICER

01/2022

Jan 7, 2022

Mar 11, 2023

HERRMAN II, WILLIAM, HENRY

Partner

08/2018

Aug 30, 2018

Mar 11, 2023

KOGAN, PATRICIA, ANN

Partner

01/2016

Mar 30, 2017

Mar 11, 2023

LYNN, JENNIFER, BUCHMAN

Partner

10/2014

Feb 2, 2012

Mar 11, 2023

SALOMON, ANNA

Treasurer

08/2015

Aug 19, 2015

Mar 11, 2023

SHAPIRO, ROBERT, FRANK

SENIOR VICE PRESIDENT

01/2014

Jan 13, 2014

Mar 11, 2023

THOW, RONALD, CHARLES

Partner

01/2014

Jan 13, 2014

Mar 11, 2023

WARTMAN, PAUL, ANDREW

Partner

01/1995

Apr 26, 2019

Mar 11, 2023

City

State

Country

Employees

Also broker-dealer

Jupiter

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 11, 2023

$3.6B

n/a

2021

Mar 21, 2022

$4.2B

n/a

2020

Mar 30, 2021

$3.9B

n/a

2019

Mar 27, 2020

$3.1B

n/a

2018

Mar 25, 2019

$3.1B

n/a

2017

Mar 29, 2018

$3.3B

n/a

2016

Mar 30, 2017

$3.3B

n/a

2015

Mar 28, 2016

$3.3B

n/a

2014

Mar 26, 2015

$3.9B

n/a

2013

Mar 21, 2014

$3.6B

n/a

2012

Mar 20, 2013

$1.9B

n/a

2011

Mar 29, 2012

$1.8B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$3.6B

$4.2B

-12.7%

$3.1B

5.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CANNELL & SPEARS LLC

Feb 13, 2024

Mar 27, 2024

NEW YORK, NY

Firm absorbed

RIA to RIA

100.0%