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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 100m 1b

ADVISORY RESEARCH INC

CRD 108254

CHICAGO, IL

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:74452cf2-3f1e-083d-b5c0-75f25e6d0122

Data as of Mar 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 39
Dated events: 18
On other graphs: 0
Observed: Dec 9, 2011 to Mar 20, 2026
34 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: mixed wealth managerderivedprivate_client_share=0.38 fund_share=0.29 institutional_share=0.13 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $991MItem 5.F on the latest filing (2026-03-20); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $989M
Private client RAUM: $373MderivedItem 5.D individuals plus high net worth individuals
Private client share: 38%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor: $142Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 14
Advisory employees: 8
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 444
Individual clients: 275
High net worth clients: 130
Private funds: 2Schedule D 7.B(1)
Custody, client assets: $7,831
SEC number: 801-14172
CIK: 902584
CRD: 108254
Filings on the tape: 34
First filed: Dec 9, 2011
Latest filed: Mar 20, 2026
Organised: Corporation, DE
Website: advisoryresearch.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
MICHAEL JAMES VALENTINAS	n/a	CHICAGO, IL	9	23	1	no
BRUCE MICHAEL ZESSAR	Chartered Financial Analyst	CHICAGO, IL	6	22	1	no
ADAM D STEFFANUS	Chartered Financial Analyst	CHICAGO, IL	5	20	1	no
CHRISTOPHER ROBERT HARVEY	Chartered Financial Analyst	CHICAGO, IL	5	25	n/a	no
MATTHEW KENT SWAIM	Chartered Financial Analyst	CHICAGO, IL	5	21	n/a	no
CHRISTOPHER DYSON CRAWSHAW	Chartered Financial Analyst	CHICAGO, IL	2	28	2	no
William Louis Florida	Chartered Financial Analyst	CHICAGO, IL	1	19	n/a	no

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
ARI 1740 FUND, L.P.	Hedge Fund	$237M	Dec 18, 2023	2	Mar 30, 2016	dropped	021-247547
ADVISORY RESEARCH PARTNERS FUND, L.P.	Hedge Fund	$214M	Mar 20, 2026	64	Mar 29, 2019	reported	021-303737
ADVISORY RESEARCH VALUE INCOME FUND, L.P.	Hedge Fund	$89.1M	Sep 4, 2012	70	Mar 29, 2012	dropped	021-66036
ADVISORY RESEARCH ENERGY FUND, L.P.	Hedge Fund	$61.6M	Dec 18, 2023	9	Mar 29, 2012	dropped	021-75399
ADVISORY OPPORTUNITIES FUND L.P.	Hedge Fund	$14.1M	May 1, 2017	40	Sep 4, 2012	dropped	021-178213
ADVISORY RESEARCH VALUE INCOME FUND II, L.P.	Hedge Fund	$12.6M	Sep 4, 2012	17	Mar 29, 2012	dropped	021-66035
ADVISORY RESEARCH VISION FUND	Hedge Fund	$8.8M	Dec 18, 2023	10	Mar 28, 2012	dropped	021-312424
ENDEAVOR FUND	Hedge Fund	$5.6M	Dec 18, 2023	10	Mar 28, 2012	dropped	021-394875
ADVISORY RESEARCH SMALL CAP GROWTH FUND	Other Private Fund	$4.2M	Dec 18, 2023	15	Mar 28, 2012	dropped	021-173942
ADVISORY RESEARCH SMALL CAP VALUE OPPORTUNITY FUND, L.P.	Hedge Fund	$1.2M	Apr 1, 2013	4	Mar 29, 2012	dropped	021-162792
ARI FOUNDERS FUND, LP	Hedge Fund	$7,831	Mar 20, 2026	16	Mar 31, 2022	reported	021-404790
ADVISORY RESEARCH NON-US SMALLER COMPANIES FUND LP	Hedge Fund	$0	Dec 18, 2018	0	Mar 30, 2017	dropped	n/a
ADVISORY RESEARCH ALL CAP VALUE FUND, L.P.	Hedge Fund	$0	Dec 18, 2018	0	Mar 29, 2012	dropped	021-77200
ADVISORY RESEARCH INTERNATIONAL VALUE FUND, L.P.	Hedge Fund	$0	Mar 31, 2022	0	Mar 29, 2012	dropped	021-126766
THE S&P 500 INDEX EQUALLY WEIGHTED FUND, L.P.	Hedge Fund	$0	Mar 29, 2019	0	Mar 29, 2012	dropped	021-126918
ADVISORY RESEARCH SMALL/MID CAP VALUE EQUITY FUND L.P.	Hedge Fund	$0	May 1, 2017	0	Mar 29, 2012	dropped	021-42940
ADVISORY RESEARCH GLOBAL SMALL CAP FUND, L.P.	Hedge Fund	$0	Dec 18, 2018	0	Mar 29, 2012	dropped	021-144720
ADVISORY RESEARCH MID CAP GROWTH FUND LLC	Other Private Fund	$0	Mar 29, 2019	0	Mar 28, 2012	dropped	n/a
ADVISORY RESEARCH SMALL CAP VALUE FUND, L.P.	Hedge Fund	$0	Dec 18, 2018	0	Mar 29, 2012	dropped	021-39164
ADVISORY RESEARCH MICRO CAP VALUE FUND, L.P.	Hedge Fund	$0	Dec 18, 2018	0	Mar 29, 2012	dropped	021-39162
ADVISORY RESEARCH SMALL/MID CAP VALUE EQUITY FUND II, L.P.	Hedge Fund	$0	Mar 29, 2019	0	Mar 29, 2012	dropped	021-76132
ADVISORY RESEARCH SMALL CAP VALUE FUND II, L.P.	Hedge Fund	$0	Mar 29, 2019	0	Mar 29, 2012	dropped	021-126933

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
OSTARA HOLDCO, INC.	Owner	E	yes	10/2019	Mar 20, 2026	Mar 20, 2026
SWAIM, MATTHEW, KENT	CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND DIRECTOR	Na	yes	09/2019	Mar 20, 2026	Mar 20, 2026
ZESSAR, BRUCE, MICHAEL	CHIEF COMPLIANCE OFFICER, CORPORATE SECRETARY AND MANAGING DIRECTOR	Na	yes	10/2019	Mar 20, 2026	Mar 20, 2026
OSTARA, INC.	Owner	E	yes	10/2019	Oct 23, 2019	Nov 15, 2024
SWAIM, MATTHEW, KENT	Shareholder	C	yes	10/2019	Jan 22, 2018	Nov 15, 2024

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
ARI PARTNERS 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
2025	Mar 20, 2026	$991M	$989M	14	8	0	2	n/a
2024	Mar 18, 2025	$722M	$719M	14	9	0	2	n/a
2023	Mar 26, 2024	$642M	$642M	14	8	0	2	$96.6M
2022	Mar 31, 2023	$1.3B	$1.3B	22	13	0	7	$367M
2021	Mar 31, 2022	$1.5B	$1.5B	29	15	0	8	$356M
2020	Mar 31, 2021	$1.5B	$1.5B	29	15	0	7	$167M
2019	Mar 30, 2020	$2.7B	$2.7B	29	16	0	7	$211M
2018	Mar 29, 2019	$6.1B	$5.8B	59	31	2	11	$197M
2017	Mar 29, 2018	$7.8B	$7.3B	59	39	3	15	$326M
2016	Mar 30, 2017	$8.8B	$8.7B	73	46	n/a	15	$379M
2015	Mar 30, 2016	$9.0B	$8.9B	73	42	n/a	12	$364M
2014	Mar 31, 2015	$12B	$11B	71	38	n/a	11	$395M
2013	Mar 31, 2014	$11B	$11B	66	30	n/a	11	$535M
2012	Apr 1, 2013	$9.2B	$9.0B	64	24	n/a	12	$491M
2011	Mar 29, 2012	$8.6B	$8.5B	n/a	n/a	n/a	13	$664M

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

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
2025	$991M	$722M	37.4%	$1.3B	-9.4%	14	14	0	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CREDIT SUISSE SECURITIES (USA) LLC	2	Nov 15, 2016	Oct 21, 2020	CHICAGO, IL	Team lift out	Other	13.3%

Relationships

Registered with (11)

← William Louis FloridaAdvisorregistration: current employment
Apr 27, 2025 to presentfactForm ADV
← CHRISTOPHER DYSON CRAWSHAWAdvisorregistration: previous registration
Aug 31, 2007 to Mar 6, 2018factForm ADV
← CHRISTOPHER ROBERT HARVEYAdvisorregistration: current employment
Nov 2, 2020 to presentfactForm ADV
← MATTHEW KENT SWAIMAdvisorregistration: current employment
Nov 2, 2020 to presentfactForm ADV
← ADAM D STEFFANUSAdvisorregistration: current employment
Oct 21, 2020 to presentfactForm ADV
← BRUCE MICHAEL ZESSARAdvisorregistration: current employment
Aug 11, 2020 to presentfactForm ADV
← MICHAEL JAMES VALENTINASAdvisorregistration: current employment
Apr 17, 2017 to presentfactForm ADV
← Christopher Alan DavisAdvisorregistration: previous registration
Nov 18, 2020 to Nov 10, 2022factForm ADV
← PAUL DONALD GRAFFYAdvisorregistration: previous registration
May 20, 2016 to Dec 11, 2019factForm ADV
← STEPHEN EDWIN EVANSAdvisorregistration: previous registration
Apr 17, 2017 to Oct 16, 2018factForm ADV
← CATRIONA DUNCANAdvisorregistration: previous registration
Nov 1, 2016 to Mar 8, 2018factForm ADV

Advises (22)

→ ADVISORY RESEARCH PARTNERS FUND, L.P.Private fundHedge Fund, IA
Mar 29, 2019 to presentfactForm ADV
→ ARI FOUNDERS FUND, LPPrivate fundHedge Fund, IA
Mar 31, 2022 to presentfactForm ADV
→ ADVISORY RESEARCH SMALL CAP GROWTH FUNDPrivate fundOther Private Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ ARI 1740 FUND, L.P.Private fundHedge Fund, IA
Mar 30, 2016 to presentfactForm ADV
→ ADVISORY RESEARCH VISION FUNDPrivate fundHedge Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ ADVISORY RESEARCH ENERGY FUND, L.P.Private fundHedge Fund, IA
Mar 29, 2012 to presentfactForm ADV
→ ENDEAVOR FUNDPrivate fundHedge Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ ADVISORY RESEARCH INTERNATIONAL VALUE FUND, L.P.Private fundHedge Fund, IA, no longer reported
Mar 29, 2012 to Mar 31, 2022factForm ADV
→ ADVISORY RESEARCH SMALL CAP VALUE FUND II, L.P.Private fundHedge Fund, IA, no longer reported
Mar 29, 2012 to Mar 29, 2019factForm ADV
→ THE S&P 500 INDEX EQUALLY WEIGHTED FUND, L.P.Private fundHedge Fund, IA, no longer reported
Mar 29, 2012 to Mar 29, 2019factForm ADV
→ ADVISORY RESEARCH MID CAP GROWTH FUND LLCPrivate fundOther Private Fund, IA, no longer reported
Mar 28, 2012 to Mar 29, 2019factForm ADV
→ ADVISORY RESEARCH SMALL/MID CAP VALUE EQUITY FUND II, L.P.Private fundHedge Fund, IA, no longer reported
Mar 29, 2012 to Mar 29, 2019factForm ADV
→ ADVISORY RESEARCH NON-US SMALLER COMPANIES FUND LPPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2017 to Dec 18, 2018factForm ADV
→ ADVISORY RESEARCH ALL CAP VALUE FUND, L.P.Private fundHedge Fund, IA, no longer reported
Mar 29, 2012 to Dec 18, 2018factForm ADV
→ ADVISORY RESEARCH GLOBAL SMALL CAP FUND, L.P.Private fundHedge Fund, IA, no longer reported
Mar 29, 2012 to Dec 18, 2018factForm ADV
→ ADVISORY RESEARCH SMALL CAP VALUE FUND, L.P.Private fundHedge Fund, IA, no longer reported
Mar 29, 2012 to Dec 18, 2018factForm ADV
→ ADVISORY RESEARCH MICRO CAP VALUE FUND, L.P.Private fundHedge Fund, IA, no longer reported
Mar 29, 2012 to Dec 18, 2018factForm ADV
→ ADVISORY RESEARCH SMALL/MID CAP VALUE EQUITY FUND L.P.Private fundHedge Fund, IA, no longer reported
Mar 29, 2012 to May 1, 2017factForm ADV
→ ADVISORY OPPORTUNITIES FUND L.P.Private fundHedge Fund, IA, no longer reported
Sep 4, 2012 to May 1, 2017factForm ADV
→ ADVISORY RESEARCH SMALL CAP VALUE OPPORTUNITY FUND, L.P.Private fundHedge Fund, IA, no longer reported
Mar 29, 2012 to Apr 1, 2013factForm ADV
→ ADVISORY RESEARCH VALUE INCOME FUND II, L.P.Private fundHedge Fund, IA, no longer reported
Mar 29, 2012 to Sep 4, 2012factForm ADV
→ ADVISORY RESEARCH VALUE INCOME FUND, L.P.Private fundHedge Fund, IA, no longer reported
Mar 29, 2012 to Sep 4, 2012factForm ADV

Controls (3)

← ZESSAR, BRUCE, MICHAELOwnerCHIEF COMPLIANCE OFFICER, CORPORATE SECRETARY AND MANAGING DIRECTOR, ownership code NA, individual
Oct 23, 2019 to Nov 15, 2024factForm ADV
← SWAIM, MATTHEW, KENTOwnerSHAREHOLDER, ownership code C, individual
Jan 22, 2018 to Nov 15, 2024factForm ADV
← OSTARA, INC.OwnerOWNER, ownership code E, domestic entity
Oct 23, 2019 to Nov 15, 2024factForm ADV

Moved with (1)

← CREDIT SUISSE SECURITIES (USA) LLCRegistered adviser2 advisors, team lift out, same day
Nov 15, 2016 to Oct 21, 2020factForm ADV

Dated events

Occurred
Mar 20, 2026
Regulatory AUM changed
Advisory Research Inc reported RAUM $991.3M, up 37% from $721.5M (2025-11-18 to 2026-03-20)
Form ADVobserved 5 days ago
$270M
Occurred
Mar 26, 2024
Regulatory AUM changed
Advisory Research Inc reported RAUM $641.6M, down 52% from $1.3B (2023-12-18 to 2024-03-26)
Form ADVobserved 5 days ago
$-691M
Occurred
Mar 26, 2024
Control person left
Margaret Croal Megan Dunn (Chief Compliance Officer) no longer on Schedule A of Advisory Research Inc (listed 2023-12-18, absent 2024-03-26)
Form ADVobserved 5 days ago
Occurred
Dec 18, 2023
Control person left
Gina Baeg (Chief Financial Officer And Director) no longer on Schedule A of Advisory Research Inc (listed 2023-03-31, absent 2023-12-18)
Form ADVobserved 5 days ago
Occurred
Nov 10, 2022
Advisor changed firm
Christopher Alan Davis left Advisory Research Inc for Nuveen Asset Management, Llc (registered 2024-10-16)
Form ADVobserved 5 days ago
Occurred
Mar 31, 2022
Control person joined
Gina Baeg (Chief Financial Officer And Director) appeared on Schedule A of Advisory Research Inc
Form ADVobserved 5 days ago
Occurred
Mar 31, 2021
Regulatory AUM changed
Advisory Research Inc reported RAUM $1.5B, down 44% from $2.7B (2020-11-25 to 2021-03-31)
Form ADVobserved 5 days ago
$-1.2B
Occurred
Mar 31, 2021
Control person left
Drinan Ellen Freeman (Chief Operating Officer, And Director) no longer on Schedule A of Advisory Research Inc (listed 2020-11-25, absent 2021-03-31)
Form ADVobserved 5 days ago
Occurred
Sep 29, 2020
Control person left
Keller Kenton Pettit (Chief Compliance Officer) no longer on Schedule A of Advisory Research Inc (listed 2020-06-29, absent 2020-09-29)
Form ADVobserved 5 days ago
Occurred
Sep 29, 2020
Control person joined
Margaret Megan Croal (Chief Compliance Officer) appeared on Schedule A of Advisory Research Inc
Form ADVobserved 5 days ago
Occurred
Oct 23, 2019
Regulatory AUM changed
Advisory Research Inc reported RAUM $2.5B, down 59% from $6.1B (2019-03-29 to 2019-10-23)
Form ADVobserved 5 days ago
$-3.6B
Occurred
Oct 23, 2019
Control person joined
Drinan Ellen Freeman (Chief Operating Officer And Director) appeared on Schedule A of Advisory Research Inc
Form ADVobserved 5 days ago
Occurred
Oct 23, 2019
Control person joined
Michael Bruce Zessar (Director) appeared on Schedule A of Advisory Research Inc
Form ADVobserved 5 days ago
Occurred
Oct 23, 2019
Control person joined
Keller Kenton Pettit (Chief Compliance Officer) appeared on Schedule A of Advisory Research Inc
Form ADVobserved 5 days ago
Occurred
Oct 23, 2019
Control person left
Marie Laura Moret (Chief Legal Officer) no longer on Schedule A of Advisory Research Inc (listed 2019-03-29, absent 2019-10-23)
Form ADVobserved 5 days ago
Occurred
Oct 23, 2019
Control person left
Joseph James Cunnane (Director And Chief Investment Officer Of Mlp Investment Team) no longer on Schedule A of Advisory Research Inc (listed 2019-03-29, absent 2019-10-23)
Form ADVobserved 5 days ago
Occurred
Oct 23, 2019
Control person left
Lynn Debbra Schoneman (Director) no longer on Schedule A of Advisory Research Inc (listed 2019-03-29, absent 2019-10-23)
Form ADVobserved 5 days ago
Occurred
Oct 23, 2019
Control person left
Lynn Susan Steiner (Chief Compliance Officer) no longer on Schedule A of Advisory Research Inc (listed 2019-10-23, absent 2019-10-23)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:74452cf2-3f1e-083d-b5c0-75f25e6d0122
First observed: Dec 9, 2011
Last observed: Mar 20, 2026 6 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.

ADVISORY RESEARCH INC

CRD 108254

CHICAGO, IL

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:74452cf2-3f1e-083d-b5c0-75f25e6d0122

Data as of Mar 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:37 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

MICHAEL JAMES VALENTINAS

n/a

CHICAGO, IL

BRUCE MICHAEL ZESSAR

Chartered Financial Analyst

CHICAGO, IL

ADAM D STEFFANUS

Chartered Financial Analyst

CHICAGO, IL

CHRISTOPHER ROBERT HARVEY

Chartered Financial Analyst

CHICAGO, IL

n/a

MATTHEW KENT SWAIM

Chartered Financial Analyst

CHICAGO, IL

n/a

CHRISTOPHER DYSON CRAWSHAW

Chartered Financial Analyst

CHICAGO, IL

William Louis Florida

Chartered Financial Analyst

CHICAGO, IL

n/a

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

ARI 1740 FUND, L.P.

Hedge Fund

$237M

Dec 18, 2023

Mar 30, 2016

dropped

021-247547

ADVISORY RESEARCH PARTNERS FUND, L.P.

Hedge Fund

$214M

Mar 20, 2026

Mar 29, 2019

reported

021-303737

ADVISORY RESEARCH VALUE INCOME FUND, L.P.

Hedge Fund

$89.1M

Sep 4, 2012

Mar 29, 2012

dropped

021-66036

ADVISORY RESEARCH ENERGY FUND, L.P.

Hedge Fund

$61.6M

Dec 18, 2023

Mar 29, 2012

dropped

021-75399

ADVISORY OPPORTUNITIES FUND L.P.

Hedge Fund

$14.1M

May 1, 2017

Sep 4, 2012

dropped

021-178213

ADVISORY RESEARCH VALUE INCOME FUND II, L.P.

Hedge Fund

$12.6M

Sep 4, 2012

Mar 29, 2012

dropped

021-66035

ADVISORY RESEARCH VISION FUND

Hedge Fund

$8.8M

Dec 18, 2023

Mar 28, 2012

dropped

021-312424

ENDEAVOR FUND

Hedge Fund

$5.6M

Dec 18, 2023

Mar 28, 2012

dropped

021-394875

ADVISORY RESEARCH SMALL CAP GROWTH FUND

Other Private Fund

$4.2M

Dec 18, 2023

Mar 28, 2012

dropped

021-173942

ADVISORY RESEARCH SMALL CAP VALUE OPPORTUNITY FUND, L.P.

Hedge Fund

$1.2M

Apr 1, 2013

Mar 29, 2012

dropped

021-162792

ARI FOUNDERS FUND, LP

Hedge Fund

$7,831

Mar 20, 2026

Mar 31, 2022

reported

021-404790

ADVISORY RESEARCH NON-US SMALLER COMPANIES FUND LP

Hedge Fund

Dec 18, 2018

Mar 30, 2017

dropped

n/a

ADVISORY RESEARCH ALL CAP VALUE FUND, L.P.

Hedge Fund

Dec 18, 2018

Mar 29, 2012

dropped

021-77200

ADVISORY RESEARCH INTERNATIONAL VALUE FUND, L.P.

Hedge Fund

Mar 31, 2022

Mar 29, 2012

dropped

021-126766

THE S&P 500 INDEX EQUALLY WEIGHTED FUND, L.P.

Hedge Fund

Mar 29, 2019

Mar 29, 2012

dropped

021-126918

ADVISORY RESEARCH SMALL/MID CAP VALUE EQUITY FUND L.P.

Hedge Fund

May 1, 2017

Mar 29, 2012

dropped

021-42940

ADVISORY RESEARCH GLOBAL SMALL CAP FUND, L.P.

Hedge Fund

Dec 18, 2018

Mar 29, 2012

dropped

021-144720

ADVISORY RESEARCH MID CAP GROWTH FUND LLC

Other Private Fund

Mar 29, 2019

Mar 28, 2012

dropped

n/a

ADVISORY RESEARCH SMALL CAP VALUE FUND, L.P.

Hedge Fund

Dec 18, 2018

Mar 29, 2012

dropped

021-39164

ADVISORY RESEARCH MICRO CAP VALUE FUND, L.P.

Hedge Fund

Dec 18, 2018

Mar 29, 2012

dropped

021-39162

ADVISORY RESEARCH SMALL/MID CAP VALUE EQUITY FUND II, L.P.

Hedge Fund

Mar 29, 2019

Mar 29, 2012

dropped

021-76132

ADVISORY RESEARCH SMALL CAP VALUE FUND II, L.P.

Hedge Fund

Mar 29, 2019

Mar 29, 2012

dropped

021-126933

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

OSTARA HOLDCO, INC.

Owner

yes

10/2019

Mar 20, 2026

SWAIM, MATTHEW, KENT

CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND DIRECTOR

yes

09/2019

Mar 20, 2026

ZESSAR, BRUCE, MICHAEL

CHIEF COMPLIANCE OFFICER, CORPORATE SECRETARY AND MANAGING DIRECTOR

yes

10/2019

Mar 20, 2026

OSTARA, INC.

Owner

yes

10/2019

Oct 23, 2019

Nov 15, 2024

SWAIM, MATTHEW, KENT

Shareholder

yes

10/2019

Jan 22, 2018

Nov 15, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ARI PARTNERS GP LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 20, 2026

$991M

$989M

n/a

2024

Mar 18, 2025

$722M

$719M

n/a

2023

Mar 26, 2024

$642M

$96.6M

2022

Mar 31, 2023

$1.3B

$367M

2021

Mar 31, 2022

$1.5B

$356M

2020

Mar 31, 2021

$1.5B

$167M

2019

Mar 30, 2020

$2.7B

$211M

2018

Mar 29, 2019

$6.1B

$5.8B

$197M

2017

Mar 29, 2018

$7.8B

$7.3B

$326M

2016

Mar 30, 2017

$8.8B

$8.7B

n/a

$379M

2015

Mar 30, 2016

$9.0B

$8.9B

n/a

$364M

2014

Mar 31, 2015

$12B

$11B

n/a

$395M

2013

Mar 31, 2014

$11B

n/a

$535M

2012

Apr 1, 2013

$9.2B

$9.0B

n/a

$491M

2011

Mar 29, 2012

$8.6B

$8.5B

n/a

$664M

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$991M

$722M

37.4%

$1.3B

-9.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CREDIT SUISSE SECURITIES (USA) LLC

Nov 15, 2016

Oct 21, 2020

CHICAGO, IL

Team lift out

Other

13.3%