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CRD 116357
GARDEN CITY, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| THOMAS BARRY MAHER | n/a | GARDEN CITY, NY | 7 | 23 | 1 | no |
| BARBARA LAUDISI MARTENS | n/a | GARDEN CITY, NY | 7 | 26 | 1 | yes |
| ALEXANDER DAVID OXENHAM | Chartered Financial Analyst | GARDEN CITY, NY | 7 | 15 | 1 | no |
| Timothy Reilly | n/a | GARDEN CITY, NY | 5 | 31 | 1 | yes |
| WILLIAM JAMES GARVEY | n/a | GARDEN CITY, NY | 5 | 33 | n/a | no |
| KEVIN ANTHONY MCCARTHY | n/a | GARDEN CITY, NY | 5 | 28 | n/a | yes |
| CHRISTOPHER CRAIG O'NEILL | n/a | GARDEN CITY, NY | 5 | 21 | n/a | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| TULLAMORE CAPITAL LP | Hedge Fund | $17.0M | Apr 3, 2015 | 10 | Mar 30, 2015 | dropped | n/a |
| HILTON CAPITAL FUND SPC | Hedge Fund | $703,408 | Jul 19, 2016 | 30 | Apr 1, 2013 | dropped | n/a |
| HILTON CAPITAL MASTER FUND, LTD | Hedge Fund | $532,860 | Jun 9, 2017 | 32 | Mar 27, 2012 | dropped | n/a |
| HILTON CAPITAL PARTNERS, LP | Hedge Fund | $276,135 | Jul 19, 2016 | 9 | Apr 1, 2013 | dropped | n/a |
| HILTON CAPITAL MANAGEMENT PRIVATE EQUITY I, LLC | Private Equity Fund | $205,689 | Mar 29, 2017 | 27 | Mar 27, 2012 | dropped | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| MARTENS, BARBARA, LAUDISI | CHIEF OPERATING OFFICER | Na | yes | 09/2022 | Jun 3, 2026 | Jun 3, 2026 |
| O'NEILL, CHRISTOPHER, CRAIG | EXECUTIVE CHAIRMAN | Na | yes | 04/2026 | Jun 3, 2026 | Jun 3, 2026 |
| RAFFERTY HOLDINGS, LLC | Member | E | yes | 12/2001 | Jun 3, 2026 | Jun 3, 2026 |
| Reilly, Timothy, WILLIAM | President | Na | yes | 03/2020 | Jun 3, 2026 | Jun 3, 2026 |
| Seeley, Jeffrey, K | CHIEF EXECUTIVE OFFICER | Na | yes | 04/2026 | Jun 3, 2026 | Jun 3, 2026 |
| CIPOLLA, JOSEPH, PAUL | Officer | F | yes | 01/2019 | Oct 22, 2019 | Dec 2, 2024 |
| GARVEY, WILLIAM, JAMES | CO- CHIEF INVESTMENT OFFICER | Na | yes | 12/2001 | Mar 27, 2012 | Dec 2, 2024 |
| RAFFERTY SERVICING INC | NON-MEMBER MANAGER | F | yes | 01/2019 | Oct 22, 2019 | Dec 2, 2024 |
| KEITNER, ANN, FREEMAN | CHIEF COMPLIANCE OFFICER | Na | no | 12/2024 | Jun 3, 2026 | Jun 3, 2026 |
| OXENHAM, ALEXANDER, DAVID | CHIEF INVESTMENT OFFICER | Na | no | 03/2018 | Jun 3, 2026 | Jun 3, 2026 |
| HAY, KATHLEEN, RAFFERTY | Member | C | no | 12/2001 | Mar 27, 2012 | Dec 2, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| RAFFERTY ASSET MANAGEMENT, LLC | n/a | Asset manager | $55B | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Jupiter | FL | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 23, 2026 | $3.2B | $1.5B | 27 | 6 | 1 | n/a | n/a |
| 2024 | Mar 29, 2025 | $2.9B | $1.3B | 27 | 7 | 1 | n/a | n/a |
| 2023 | Mar 29, 2024 | $2.4B | $1.2B | 24 | 6 | 1 | n/a | n/a |
| 2022 | Mar 30, 2023 | $2.3B | $1.1B | 25 | 6 | 1 | n/a | n/a |
| 2021 | Mar 29, 2022 | $2.4B | $2.2B | 20 | 6 | 1 | n/a | n/a |
| 2020 | Mar 30, 2021 | $1.9B | $1.7B | 17 | 5 | 1 | n/a | n/a |
| 2019 | Mar 30, 2020 | $2.1B | $1.8B | 15 | 5 | 0 | n/a | n/a |
| 2018 | Mar 27, 2019 | $1.6B | $1.6B | 15 | 5 | 0 | n/a | n/a |
| 2017 | Mar 30, 2018 | $1.3B | $1.3B | 15 | 5 | 0 | n/a | n/a |
| 2016 | Mar 29, 2017 | $991M | $991M | 12 | 4 | n/a | 2 | $738,549 |
| 2015 | Mar 30, 2016 | $753M | $753M | 12 | 4 | n/a | 4 | $4.0M |
| 2014 | Mar 30, 2015 | $635M | $635M | 13 | 5 | n/a | 5 | $21.6M |
| 2013 | Mar 3, 2014 | $590M | $590M | 11 | 4 | n/a | 4 | $57.2M |
| 2012 | Apr 1, 2013 | $478M | $478M | 10 | 3 | n/a | 4 | $54.5M |
| 2011 | Mar 27, 2012 | $438M | $438M | n/a | n/a | n/a | 2 | $26.5M |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 1 | -1 | 14.3% | 0 | 0 | 0 | 0 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $3.2B | $2.9B | 7.9% | $2.3B | 11.0% | 27 | 27 | 1 | 1 |