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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

HARRIS & HARRIS GROUP, INC.

CRD 165936

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:6ed01737-bff6-411e-7e49-cc7991720e5e

Data as of Mar 27, 2013 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 1
On other graphs: 0
Observed: Nov 14, 2012 to Mar 27, 2013
2 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 10
Advisory employees: 7
SEC number: 801-77385
CRD: 165936
Filings on the tape: 2
First filed: Nov 14, 2012
Latest filed: Mar 27, 2013
Organised: Corporation, New York

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
ANDREEV, ALEXEI, A	MANAGING DIRECTOR AND EXECUTIVE VICE PRESIDENT	Na	yes	03/2005	Nov 14, 2012	Mar 27, 2013
BURNS, ROBERT, S	SENIOR VICE PRESIDENT	Na	yes	03/2012	Nov 14, 2012	Mar 27, 2013
EGAN, PATRICIA, N	CHIEF FINANCIAL OFFICER AND TREASURER	Na	yes	01/2013	Nov 14, 2012	Mar 27, 2013
FORMAN, SANDRA, MATRICK	GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER AND SECRETARY	Na	yes	08/2004	Nov 14, 2012	Mar 27, 2013
JAMISON, DOUGLAS, W	CHAIRMAN, BOARD OF DIRECTOR, CHIEF EXECUTIVE OFFICER AND MANAGING DIRECTOR	Na	yes	01/2009	Nov 14, 2012	Mar 27, 2013
USHIO, MISTI	MANAGING DIRECTOR AND EXECUTIVE VICE PRESIDENT	Na	yes	05/2011	Nov 14, 2012	Mar 27, 2013
WOLFE, DANIEL, B	PRESIDENT, CHIEF OPERATING OFFICER AND MANAGING DIRECTOR	Na	yes	01/2009	Nov 14, 2012	Mar 27, 2013
AYRES, WARREN, DILLAWAY	Director	Na	no	11/2006	Nov 14, 2012	Mar 27, 2013
BAUMAN, PHILLIP, A	Director	Na	no	02/1998	Nov 14, 2012	Mar 27, 2013
LANZA, LUCIO, L	Director	Na	no	08/2010	Nov 14, 2012	Mar 27, 2013
RAMSEY, CHARLES, E	Director	Na	no	10/2002	Nov 14, 2012	Mar 27, 2013
ROBERTS, JAMES, E	Director	Na	no	06/1995	Nov 14, 2012	Mar 27, 2013
SHANLEY, RICHARD, P	Director	Na	no	03/2007	Nov 14, 2012	Mar 27, 2013
SHEWMAKER, BRUCE, WILLIAM	Director	Na	no	08/2011	Nov 14, 2012	Mar 27, 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
H&H VENTURES MANAGEMENT, INC.	n/a	n/a	n/a	Y	no	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
PALO ALTO	CA	United States	n/a	no
Cary	Nc	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	Mar 27, 2013	n/a	n/a	10	7	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	n/a	n/a	n/a	n/a	n/a	10	n/a	n/a	n/a

Relationships

Owns (7)

← AYRES, WARREN, DILLAWAYOwnerDIRECTOR, ownership code NA, individual
Nov 14, 2012 to presentfactForm ADV
← SHEWMAKER, BRUCE, WILLIAMOwnerDIRECTOR, ownership code NA, individual
Nov 14, 2012 to presentfactForm ADV
← BAUMAN, PHILLIP, AOwnerDIRECTOR, ownership code NA, individual
Nov 14, 2012 to presentfactForm ADV
← LANZA, LUCIO, LOwnerDIRECTOR, ownership code NA, individual
Nov 14, 2012 to presentfactForm ADV
← RAMSEY, CHARLES, EOwnerDIRECTOR, ownership code NA, individual
Nov 14, 2012 to presentfactForm ADV
← ROBERTS, JAMES, EOwnerDIRECTOR, ownership code NA, individual
Nov 14, 2012 to presentfactForm ADV
← SHANLEY, RICHARD, POwnerDIRECTOR, ownership code NA, individual
Nov 14, 2012 to presentfactForm ADV

Controls (7)

← JAMISON, DOUGLAS, WOwnerCHAIRMAN, BOARD OF DIRECTOR, CHIEF EXECUTIVE OFFICER AND MANAGING DIRECTOR, ownership code NA, individual
Nov 14, 2012 to presentfactForm ADV
← WOLFE, DANIEL, BOwnerPRESIDENT, CHIEF OPERATING OFFICER AND MANAGING DIRECTOR, ownership code NA, individual
Nov 14, 2012 to presentfactForm ADV
← EGAN, PATRICIA, NOwnerCHIEF FINANCIAL OFFICER AND TREASURER, ownership code NA, individual
Nov 14, 2012 to presentfactForm ADV
← FORMAN, SANDRA, MATRICKOwnerGENERAL COUNSEL, CHIEF COMPLIANCE OFFICER AND SECRETARY, ownership code NA, individual
Nov 14, 2012 to presentfactForm ADV
← ANDREEV, ALEXEI, AOwnerMANAGING DIRECTOR AND EXECUTIVE VICE PRESIDENT, ownership code NA, individual
Nov 14, 2012 to presentfactForm ADV
← USHIO, MISTIOwnerMANAGING DIRECTOR AND EXECUTIVE VICE PRESIDENT, ownership code NA, individual
Nov 14, 2012 to presentfactForm ADV
← BURNS, ROBERT, SOwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Nov 14, 2012 to presentfactForm ADV

Dated events

Occurred
Nov 14, 2012
First Form ADV filing
Harris & Harris Group, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6ed01737-bff6-411e-7e49-cc7991720e5e
First observed: Nov 14, 2012
Last observed: Mar 27, 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.

HARRIS & HARRIS GROUP, INC.

CRD 165936

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:6ed01737-bff6-411e-7e49-cc7991720e5e

Data as of Mar 27, 2013 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:36 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ANDREEV, ALEXEI, A

MANAGING DIRECTOR AND EXECUTIVE VICE PRESIDENT

yes

03/2005

Nov 14, 2012

Mar 27, 2013

BURNS, ROBERT, S

SENIOR VICE PRESIDENT

yes

03/2012

Nov 14, 2012

Mar 27, 2013

EGAN, PATRICIA, N

CHIEF FINANCIAL OFFICER AND TREASURER

yes

01/2013

Nov 14, 2012

Mar 27, 2013

FORMAN, SANDRA, MATRICK

GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER AND SECRETARY

yes

08/2004

Nov 14, 2012

Mar 27, 2013

JAMISON, DOUGLAS, W

CHAIRMAN, BOARD OF DIRECTOR, CHIEF EXECUTIVE OFFICER AND MANAGING DIRECTOR

yes

01/2009

Nov 14, 2012

Mar 27, 2013

USHIO, MISTI

MANAGING DIRECTOR AND EXECUTIVE VICE PRESIDENT

yes

05/2011

Nov 14, 2012

Mar 27, 2013

WOLFE, DANIEL, B

PRESIDENT, CHIEF OPERATING OFFICER AND MANAGING DIRECTOR

yes

01/2009

Nov 14, 2012

Mar 27, 2013

AYRES, WARREN, DILLAWAY

Director

11/2006

Nov 14, 2012

Mar 27, 2013

BAUMAN, PHILLIP, A

Director

02/1998

Nov 14, 2012

Mar 27, 2013

LANZA, LUCIO, L

Director

08/2010

Nov 14, 2012

Mar 27, 2013

RAMSEY, CHARLES, E

Director

10/2002

Nov 14, 2012

Mar 27, 2013

ROBERTS, JAMES, E

Director

06/1995

Nov 14, 2012

Mar 27, 2013

SHANLEY, RICHARD, P

Director

03/2007

Nov 14, 2012

Mar 27, 2013

SHEWMAKER, BRUCE, WILLIAM

Director

08/2011

Nov 14, 2012

Mar 27, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

H&H VENTURES MANAGEMENT, INC.

n/a

City

State

Country

Employees

Also broker-dealer

PALO ALTO

United States

n/a

Cary

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Mar 27, 2013

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

n/a