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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

CARPATHIA REAL ESTATE ADVISORS LLC

CRD 152787

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:69a84753-40d6-dd57-9733-0a66f73bd9a4

Data as of Apr 1, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Apr 1, 2013
6 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: $608MItem 5.F on the latest filing (2013-04-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
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
Employees: 8
Advisory employees: 8
Accounts: 1
SEC number: 801-71018
CRD: 152787
Filings on the tape: 6
First filed: Mar 30, 2012
Latest filed: Apr 1, 2013
Organised: Limited Liability Company, 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
ANTONCIC, MARK, ANDREW	Member	E	yes	01/2005	Mar 30, 2012	Apr 1, 2013
ANTONCIC, MARK, ANDREW	Director	Na	yes	06/2009	Mar 30, 2012	Apr 1, 2013
MARSHALL, STEPHEN, HATHAWAY	Director	Na	yes	01/2013	Jan 30, 2013	Apr 1, 2013
STATE STREET CORPORATION	Shareholder	E	yes	06/1990	Mar 30, 2012	Apr 1, 2013
STATE STREET GLOBAL ADVISORS, INC.	Member	E	yes	12/2012	Mar 30, 2012	Apr 1, 2013
TRILYN CARPATHIA LLC	Member	D	yes	06/2009	Mar 30, 2012	Apr 1, 2013
TRILYN HOLDINGS LLC	Member	E	yes	06/2009	Mar 30, 2012	Apr 1, 2013
TTG CARPATHIA LLC	Member	D	yes	06/2009	Mar 30, 2012	Apr 1, 2013
DE BARA, STEVEN, NMN	CHIEF COMPLIANCE OFFICER	Na	no	07/2009	Mar 30, 2012	Apr 1, 2013

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
TRILYN INVESTMENT MANAGEMENT LLC	n/a	Former SEC adviser	$100M	N	yes	n/a
STATE STREET BANK & TRUST COMPANY	n/a	n/a	n/a	N	yes	n/a
STATE STREET GLOBAL MARKETS, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Chicago	IL	United States	n/a	no
RYE BROOK	NY	United States	n/a	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
2012	Apr 1, 2013	$608M	$0	8	8	n/a	n/a	n/a
2011	Mar 30, 2012	$706M	$0	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
2012	$608M	$706M	-13.9%	n/a	n/a	8	n/a	n/a	n/a

Relationships

Affiliated with (2)

→ TRILYN INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
← TUCKERMAN GROUP LLCRegistered adviserother investment adviser, control, common control
factForm ADV

Controls (7)

← ANTONCIC, MARK, ANDREWOwnerMEMBER, ownership code E, individual
Mar 30, 2012 to presentfactForm ADV
← MARSHALL, STEPHEN, HATHAWAYOwnerDIRECTOR, ownership code NA, individual
Jan 30, 2013 to presentfactForm ADV
← STATE STREET CORPORATIONOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← STATE STREET GLOBAL ADVISORS, INC.OwnerMEMBER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← TRILYN CARPATHIA LLCOwnerMEMBER, ownership code D, domestic entity
Mar 30, 2012 to presentfactForm ADV
← TRILYN HOLDINGS LLCOwnerMEMBER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← TTG CARPATHIA LLCOwnerMEMBER, ownership code D, domestic entity
Mar 30, 2012 to presentfactForm ADV

Owns (1)

← DE BARA, STEVEN, NMNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:69a84753-40d6-dd57-9733-0a66f73bd9a4
First observed: Mar 30, 2012
Last observed: Apr 1, 2013 164 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.

CARPATHIA REAL ESTATE ADVISORS LLC

CRD 152787

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:69a84753-40d6-dd57-9733-0a66f73bd9a4

Data as of Apr 1, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:18 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ANTONCIC, MARK, ANDREW

Member

yes

01/2005

Mar 30, 2012

Apr 1, 2013

ANTONCIC, MARK, ANDREW

Director

yes

06/2009

Mar 30, 2012

Apr 1, 2013

MARSHALL, STEPHEN, HATHAWAY

Director

yes

01/2013

Jan 30, 2013

Apr 1, 2013

STATE STREET CORPORATION

Shareholder

yes

06/1990

Mar 30, 2012

Apr 1, 2013

STATE STREET GLOBAL ADVISORS, INC.

Member

yes

12/2012

Mar 30, 2012

Apr 1, 2013

TRILYN CARPATHIA LLC

Member

yes

06/2009

Mar 30, 2012

Apr 1, 2013

TRILYN HOLDINGS LLC

Member

yes

06/2009

Mar 30, 2012

Apr 1, 2013

TTG CARPATHIA LLC

Member

yes

06/2009

Mar 30, 2012

Apr 1, 2013

DE BARA, STEVEN, NMN

CHIEF COMPLIANCE OFFICER

07/2009

Mar 30, 2012

Apr 1, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

TRILYN INVESTMENT MANAGEMENT LLC

n/a

Former SEC adviser

$100M

yes

n/a

STATE STREET BANK & TRUST COMPANY

n/a

yes

n/a

STATE STREET GLOBAL MARKETS, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Chicago

United States

n/a

RYE BROOK

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Apr 1, 2013

$608M

n/a

2011

Mar 30, 2012

$706M

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

$608M

$706M

-13.9%

n/a