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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

SIMON CAPITAL MANAGEMENT

SIMON FINANCIAL GROUP, INC., CRD 132581

BALA CYNWYD, PA

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:704e2496-d977-06e4-91a8-7e6e91912468

Data as of Feb 18, 2014 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Feb 2, 2012 to Feb 18, 2014
7 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: $36.0MItem 5.F on the latest filing (2014-02-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $33.0M
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: 5
Advisory employees: 2
Accounts: 262
SEC number: 801-71503
CRD: 132581
Filings on the tape: 7
First filed: Feb 2, 2012
Latest filed: Feb 18, 2014
Organised: Corporation, Pennsylvania

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
RACE, SCOTT, JAY	CHIEF FINANCIAL OFFICER	E	yes	05/2001	Feb 2, 2012	Feb 18, 2014

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	Feb 6, 2013	$48.0M	$43.0M	7	5	n/a	n/a	n/a
2011	Feb 2, 2012	$39.0M	$32.0M	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	$36.0M	$39.0M	-7.7%	n/a	n/a	5	n/a	n/a	n/a

Relationships

Controls (1)

← RACE, SCOTT, JAYOwnerCHIEF FINANCIAL OFFICER, ownership code E, individual
Feb 2, 2012 to presentfactForm ADV

Registered with (7)

← SHAYNA LYNNE HARVEYAdvisorregistration: previous registration
Jun 8, 2010 to Dec 10, 2015factForm ADV
← BRIAN JOSEPH WHITEAdvisorregistration: previous registration
Jan 1, 2009 to Sep 10, 2013factForm ADV
← RYAN LEE VERMILLIONAdvisorregistration: previous registration
Jun 8, 2010 to Sep 10, 2013factForm ADV
← MICHAEL ANTHONY PIERSON SCHIMEKAdvisorregistration: previous registration
Jun 30, 2010 to Feb 25, 2011factForm ADV
← THOMAS MARCHOZZIAdvisorregistration: previous registration
Jun 8, 2010 to Feb 25, 2011factForm ADV
← ROSS S RUBINAdvisorregistration: previous registration
Feb 19, 2007 to Dec 8, 2008factForm ADV
← JOSEPH CHARLES BUCARAAdvisorregistration: previous registration
Jan 3, 2005 to May 15, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:704e2496-d977-06e4-91a8-7e6e91912468
First observed: Feb 2, 2012
Last observed: Feb 18, 2014 153 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.

SIMON CAPITAL MANAGEMENT

SIMON FINANCIAL GROUP, INC., CRD 132581

BALA CYNWYD, PA

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:704e2496-d977-06e4-91a8-7e6e91912468

Data as of Feb 18, 2014 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:31 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

RACE, SCOTT, JAY

CHIEF FINANCIAL OFFICER

yes

05/2001

Feb 2, 2012

Feb 18, 2014

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Feb 6, 2013

$48.0M

$43.0M

n/a

2011

Feb 2, 2012

$39.0M

$32.0M

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

$36.0M

$39.0M

-7.7%

n/a