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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

SOF ADVISORS LLC

CRD 285409

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:6ce88e26-8b33-4b7b-6fde-a74765118f01

Data as of May 15, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 1
On other graphs: 0
Observed: Nov 1, 2016 to May 15, 2020
5 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: $0Item 5.F on the latest filing (2020-05-15); 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
Advisors on IAPD: 0
Employees: 64
Advisory employees: 29
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 0
Individual clients: 0
High net worth clients: 0
SEC number: 801-108618
CRD: 285409
Filings on the tape: 5
First filed: Nov 1, 2016
Latest filed: May 15, 2020
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
ALLORTO, RICHARD, THOMAS	CHIEF FINANCIAL OFFICER	Na	yes	07/2011	Nov 1, 2016	May 15, 2020
BROOK TAUBE TRUST	Member	C	yes	07/2011	Nov 1, 2016	May 15, 2020
MEDLEY LLC	MANAGING MEMBER	E	yes	07/2011	Nov 1, 2016	May 15, 2020
MEDLEY MANAGEMENT INC.	MANAGING MEMBER	F	yes	09/2014	Nov 1, 2016	May 15, 2020
SETH AND ANGIE TAUBE TRUST	Member	C	yes	07/2011	Nov 1, 2016	May 15, 2020
TAUBE, BROOK, BULGER	Trustee	F	yes	09/2014	Nov 1, 2016	May 15, 2020
TAUBE, SETH, BULGER	Trustee	F	yes	09/2014	Nov 1, 2016	May 15, 2020
TAUBE, SETH, BULGER	CHIEF EXECUTIVE OFFICER	Na	yes	07/2011	Nov 1, 2016	May 15, 2020
FREDERICKS, JOHN, DONNAN	GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER	Na	no	03/2014	Nov 1, 2016	May 15, 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
MEDLEY CAPITAL LLC	n/a	Former SEC adviser	$1.8B	N	yes	n/a
MCC ADVISORS LLC	n/a	Former SEC adviser	$432M	N	yes	n/a
MCOF GP LLC	n/a	n/a	n/a	N	yes	n/a
MCOF MANAGEMENT LLC	n/a	n/a	n/a	N	yes	n/a
MEDLEY (ASPECT) GP LLC	n/a	n/a	n/a	N	yes	n/a
MEDLEY (ASPECT) MANAGEMENT LLC	n/a	n/a	n/a	N	yes	n/a
MEDLEY SMA ADVISORS LLC	n/a	n/a	n/a	N	yes	n/a
MOF II GP LLC	n/a	n/a	n/a	N	yes	n/a
MOF II MANAGEMENT LLC	n/a	n/a	n/a	N	yes	n/a
MOF III GP LLC	n/a	n/a	n/a	N	yes	n/a
MOF III MANAGEMENT LLC	n/a	n/a	n/a	N	yes	n/a
MOF III OFFSHORE GP LLC	n/a	n/a	n/a	N	yes	n/a
SIC ADVISORS LLC	n/a	n/a	n/a	N	yes	n/a
STRF ADVISORS LLC	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
2019	May 15, 2020	$0	$0	64	29	0	n/a	n/a
2018	Mar 31, 2019	$0	$0	67	32	1	n/a	n/a
2017	Mar 30, 2018	$0	$0	85	45	1	n/a	n/a
2016	Mar 30, 2017	$0	$0	75	45	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
2019	$0	$0	n/a	$0	n/a	64	67	0	1

Relationships

Affiliated with (6)

← SIC ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV
← MEDLEY CAPITAL LLCRegistered adviserother investment adviser, common control
factForm ADV
→ MCC ADVISORS LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ MEDLEY CAPITAL LLCRegistered adviserother investment adviser, common control
factForm ADV
← MCC ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV
← STRF ADVISORSRegistered adviserother investment adviser, common control
factForm ADV

Controls (7)

← TAUBE, SETH, BULGEROwnerTRUSTEE, ownership code F, individual
Nov 1, 2016 to presentfactForm ADV
← TAUBE, BROOK, BULGEROwnerTRUSTEE, ownership code F, individual
Nov 1, 2016 to presentfactForm ADV
← ALLORTO, RICHARD, THOMASOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Nov 1, 2016 to presentfactForm ADV
← BROOK TAUBE TRUSTOwnerMEMBER, ownership code C, domestic entity
Nov 1, 2016 to presentfactForm ADV
← MEDLEY LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Nov 1, 2016 to presentfactForm ADV
← MEDLEY MANAGEMENT INC.OwnerMANAGING MEMBER, ownership code F, domestic entity
Nov 1, 2016 to presentfactForm ADV
← SETH AND ANGIE TAUBE TRUSTOwnerMEMBER, ownership code C, domestic entity
Nov 1, 2016 to presentfactForm ADV

Owns (1)

← FREDERICKS, JOHN, DONNANOwnerGENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 1, 2016 to presentfactForm ADV

Dated events

Occurred
Nov 1, 2016
First Form ADV filing
Seif Advisors filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6ce88e26-8b33-4b7b-6fde-a74765118f01
First observed: Nov 1, 2016
Last observed: May 15, 2020 77 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.

SOF ADVISORS LLC

CRD 285409

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:6ce88e26-8b33-4b7b-6fde-a74765118f01

Data as of May 15, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:43 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALLORTO, RICHARD, THOMAS

CHIEF FINANCIAL OFFICER

yes

07/2011

Nov 1, 2016

May 15, 2020

BROOK TAUBE TRUST

Member

yes

07/2011

Nov 1, 2016

May 15, 2020

MEDLEY LLC

MANAGING MEMBER

yes

07/2011

Nov 1, 2016

May 15, 2020

MEDLEY MANAGEMENT INC.

MANAGING MEMBER

yes

09/2014

Nov 1, 2016

May 15, 2020

SETH AND ANGIE TAUBE TRUST

Member

yes

07/2011

Nov 1, 2016

May 15, 2020

TAUBE, BROOK, BULGER

Trustee

yes

09/2014

Nov 1, 2016

May 15, 2020

TAUBE, SETH, BULGER

Trustee

yes

09/2014

Nov 1, 2016

May 15, 2020

TAUBE, SETH, BULGER

CHIEF EXECUTIVE OFFICER

yes

07/2011

Nov 1, 2016

May 15, 2020

FREDERICKS, JOHN, DONNAN

GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER

03/2014

Nov 1, 2016

May 15, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MEDLEY CAPITAL LLC

n/a

Former SEC adviser

$1.8B

yes

n/a

MCC ADVISORS LLC

n/a

Former SEC adviser

$432M

yes

n/a

MCOF GP LLC

n/a

yes

n/a

MCOF MANAGEMENT LLC

n/a

yes

n/a

MEDLEY (ASPECT) GP LLC

n/a

yes

n/a

MEDLEY (ASPECT) MANAGEMENT LLC

n/a

yes

n/a

MEDLEY SMA ADVISORS LLC

n/a

yes

n/a

MOF II GP LLC

n/a

yes

n/a

MOF II MANAGEMENT LLC

n/a

yes

n/a

MOF III GP LLC

n/a

yes

n/a

MOF III MANAGEMENT LLC

n/a

yes

n/a

MOF III OFFSHORE GP LLC

n/a

yes

n/a

SIC ADVISORS LLC

n/a

yes

n/a

STRF ADVISORS LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

May 15, 2020

n/a

2018

Mar 31, 2019

n/a

2017

Mar 30, 2018

n/a

2016

Mar 30, 2017

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

n/a