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

ALGONQUIN ADVISORS LLC

CRD 114021

GREENWICH, CT

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:6c049b48-7511-52ff-86ea-0af78d97c50a

Data as of Sep 24, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 0
On other graphs: 2
Observed: Mar 29, 2012 to Sep 24, 2020
60 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Algonquin Advisors LLC

Private equity manager · shared crd

Private Creditidentity

ALGONQUIN ADVISORS LLC

Private credit manager · shared crd

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: $232MItem 5.F on the latest filing (2020-09-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $194M
Private client RAUM: $109MderivedItem 5.D individuals plus high net worth individuals
Private client share: 47%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 23
High net worth clients: 13
Private funds: 4Schedule D 7.B(1)
Private fund GAV: $97.0Mgross asset value as reported per fund; never fund size
Custody, client assets: $62.9M
SEC number: 801-60462
CRD: 114021
Filings on the tape: 60
First filed: Mar 29, 2012
Latest filed: Sep 24, 2020
Organised: Limited Liability Company, Connecticut

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
THE ALGONQUIN FUND, L.P.	Hedge Fund	$24.5M	Nov 11, 2019	8	Mar 29, 2012	reported	021-84402
ALGONQUIN CREDIT OPPORTUNITY FUND I, L.P.	Other Private Fund	$16.7M	Jul 23, 2014	5	Mar 29, 2012	dropped	021-173087
THE ALGONQUIN FUND, LTD.	Hedge Fund	$9.8M	Sep 14, 2017	4	Mar 29, 2012	dropped	021-119160

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
HUBBARD, GEORGE, TAYLOR	MANAGING PARTNER	E	yes	10/1998	Mar 29, 2012	Sep 24, 2020
HYMAN, JOHN, ALLEN	CHIEF EXECUTIVE OFFICER CHIEF COMPLIANCE OFFICER	Na	yes	05/2010	Mar 29, 2012	Sep 24, 2020
THE 2007 HUBBARD FAMILY TRUST	Member	Na	yes	12/2007	Mar 29, 2012	Sep 24, 2020
KLARBERG, RICHARD	Trustee	F	no	12/2007	Mar 29, 2012	Sep 24, 2020

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
AMMOF GP LLC	n/a	n/a	n/a	Y	yes	n/a
MAI WEALTH PRIVATE EQUITY GP LLC	n/a	n/a	n/a	Y	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
2019	Mar 27, 2020	$232M	$194M	7	5	0	4	$97.0M
2018	Mar 25, 2019	$212M	$191M	7	5	0	5	$117M
2017	Mar 26, 2018	$238M	$219M	7	5	0	5	$133M
2016	Mar 16, 2017	$241M	$184M	6	4	n/a	6	$127M
2015	Mar 29, 2016	$246M	$186M	9	6	n/a	5	$123M
2014	Mar 24, 2015	$234M	$181M	9	6	n/a	5	$120M
2013	Mar 26, 2014	$237M	$185M	9	7	n/a	6	$134M
2012	Mar 14, 2013	$196M	$155M	8	7	n/a	5	$108M
2011	Mar 29, 2012	$196M	$150M	n/a	n/a	n/a	5	$112M

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
2019	$232M	$212M	9.6%	$241M	-1.3%	7	7	0	0

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
CERITY PARTNERS LLC	4	Dec 7, 2020	Apr 15, 2024	GREENWICH, CT	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (3)

← HUBBARD, GEORGE, TAYLOROwnerMANAGING PARTNER, ownership code E, individual
Mar 29, 2012 to presentfactForm ADV
← HYMAN, JOHN, ALLENOwnerCHIEF EXECUTIVE OFFICER CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← THE 2007 HUBBARD FAMILY TRUSTOwnerMEMBER, ownership code NA, domestic entity
Mar 29, 2012 to presentfactForm ADV

Owns (1)

← KLARBERG, RICHARDOwnerTRUSTEE, ownership code F, domestic entity
Mar 29, 2012 to presentfactForm ADV

Advises (3)

→ THE ALGONQUIN FUND, L.P.Private fundHedge Fund, IA
Mar 29, 2012 to presentfactForm ADV
→ THE ALGONQUIN FUND, LTD.Private fundHedge Fund, IA, no longer reported
Mar 29, 2012 to Sep 14, 2017factForm ADV
→ ALGONQUIN CREDIT OPPORTUNITY FUND I, L.P.Private fundOther Private Fund, IA, no longer reported
Mar 29, 2012 to Jul 23, 2014factForm ADV

Moved with (1)

→ CERITY PARTNERS LLCRegistered adviser4 advisors, firm absorbed, same day
Dec 7, 2020 to Apr 15, 2024factForm ADV

Registered with (8)

← GEORGE TAYLOR HUBBARDAdvisorregistration: previous registration
Jan 31, 2007 to Dec 7, 2020factForm ADV
← JOHN ALLEN HYMANAdvisorregistration: previous registration
May 18, 2010 to Dec 7, 2020factForm ADV
← MATTHEW J CANNERAdvisorregistration: previous registration
Jul 10, 2019 to Dec 7, 2020factForm ADV
← CONSTANCE THAYER WALKERAdvisorregistration: previous registration
Jan 18, 2007 to Dec 7, 2020factForm ADV
← Laura Thorne Sousa FarrellyAdvisorregistration: previous registration
Jun 30, 2011 to Feb 25, 2020factForm ADV
← Jon-Paul H WitkopAdvisorregistration: previous registration
Feb 24, 2016 to Jun 22, 2018factForm ADV
← DYLAN CHAMBERLAINE BRIXAdvisorregistration: previous registration
Nov 27, 2012 to Sep 19, 2014factForm ADV
← JONATHAN CLAY JENNINGSAdvisorregistration: previous registration
Jan 11, 2007 to Oct 18, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6c049b48-7511-52ff-86ea-0af78d97c50a
First observed: Mar 29, 2012
Last observed: Sep 24, 2020 72 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.

ALGONQUIN ADVISORS LLC

CRD 114021

GREENWICH, CT

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:6c049b48-7511-52ff-86ea-0af78d97c50a

Data as of Sep 24, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:46 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

THE ALGONQUIN FUND, L.P.

Hedge Fund

$24.5M

Nov 11, 2019

Mar 29, 2012

reported

021-84402

ALGONQUIN CREDIT OPPORTUNITY FUND I, L.P.

Other Private Fund

$16.7M

Jul 23, 2014

Mar 29, 2012

dropped

021-173087

THE ALGONQUIN FUND, LTD.

Hedge Fund

$9.8M

Sep 14, 2017

Mar 29, 2012

dropped

021-119160

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HUBBARD, GEORGE, TAYLOR

MANAGING PARTNER

yes

10/1998

Mar 29, 2012

Sep 24, 2020

HYMAN, JOHN, ALLEN

CHIEF EXECUTIVE OFFICER CHIEF COMPLIANCE OFFICER

yes

05/2010

Mar 29, 2012

Sep 24, 2020

THE 2007 HUBBARD FAMILY TRUST

Member

yes

12/2007

Mar 29, 2012

Sep 24, 2020

KLARBERG, RICHARD

Trustee

12/2007

Mar 29, 2012

Sep 24, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

AMMOF GP LLC

n/a

yes

n/a

MAI WEALTH PRIVATE EQUITY GP LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 27, 2020

$232M

$194M

$97.0M

2018

Mar 25, 2019

$212M

$191M

$117M

2017

Mar 26, 2018

$238M

$219M

$133M

2016

Mar 16, 2017

$241M

$184M

n/a

$127M

2015

Mar 29, 2016

$246M

$186M

n/a

$123M

2014

Mar 24, 2015

$234M

$181M

n/a

$120M

2013

Mar 26, 2014

$237M

$185M

n/a

$134M

2012

Mar 14, 2013

$196M

$155M

n/a

$108M

2011

Mar 29, 2012

$196M

$150M

n/a

$112M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$232M

$212M

9.6%

$241M

-1.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CERITY PARTNERS LLC

Dec 7, 2020

Apr 15, 2024

GREENWICH, CT

Firm absorbed

RIA to RIA

100.0%