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CRD 615
NEW YORK, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C•••• M••• A•••• | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | Na | yes | 09/2006 | Mar 26, 2012 | Dec 23, 2014 |
| C•••• O•••••• R••••• J• | PRESIDENT AND CHAIRMAN | Na | yes | 12/2014 | Dec 22, 2014 | Dec 23, 2014 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| M•••••• A•••••••• L•• | n/a | Asset manager | $133B | N | yes | n/a |
| M•••••• S••••••••• I••• | n/a | Former SEC adviser | $14B | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Boston | Ma | United States | n/a | no |
| WALL TOWNSHIP | Nj | United States | n/a | no |
| W••••••SVILLE | NY | United States | n/a | no |
| NEWTOWN S••••• | Pa | United States | n/a | no |
| Memphis | Tn | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2014 | Dec 23, 2014 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2014 | $5.3B | $5.0B | 6.0% | $2.6B | 27.0% | 2,514 | 2,993 | n/a | n/a |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| M•• I•••••••• S•••••••• L•• | 2 | Jan 2, 2015 | Mar 25, 2017 | AURORA, IL | Team lift out | Other | 0.4% |
| M•• I•••••••• S•••••••• L•• | 2 | Jan 2, 2015 | Mar 25, 2017 |
| DIRECTOR AND CHAIRMAN |
| Na |
| yes |
| 06/2013 |
| Nov 20, 2012 |
| Dec 23, 2014 |
| H•••••••• J•••••• P••• | ANTI-MONEY LAUNDERING OFFICER | Na | yes | 08/2006 | Mar 26, 2012 | Dec 23, 2014 |
| H•••••• T••• M•••• | VICE-PRESIDENT, LICENSING AND REGISTRATION | Na | yes | 12/2014 | Dec 19, 2014 | Dec 23, 2014 |
| L••••• M•••••• J• | CHIEF LEGAL OFFICER | Na | yes | 03/2008 | Mar 26, 2012 | Dec 23, 2014 |
| L••••••• P••• A•••••• | Director | Na | yes | 06/2012 | Mar 26, 2012 | Dec 23, 2014 |
| M•••••••• J••• G•••••• | VICE PRESIDENT AND FINANCIAL OPERATIONS PRINCIPAL | Na | yes | 01/2007 | Mar 26, 2012 | Dec 23, 2014 |
| M••••••• I••• | 100% SHAREHOLDER | E | yes | 04/2000 | Mar 26, 2012 | Dec 23, 2014 |
| M••••••••• L••• I•••••••• C•••••• ••••••••• | SOLE STOCK HOLDER | E | yes | 04/2003 | Mar 26, 2012 | Dec 23, 2014 |
| M•••• D•••• M•••• | CHIEF OPERATIONS OFFICER | Na | yes | 09/2014 | Sep 17, 2014 | Dec 23, 2014 |
| M•••••• S••• A••••• | VICE-PRESIDENT | Na | yes | 07/2014 | Jul 29, 2014 | Dec 23, 2014 |
| N•• E•••••• L••• I•••••••• C•••••• •••••••• O• ••• E•••••• F••••••••• | 100% SHAREHOLDER | E | yes | 01/2004 | Mar 26, 2012 | Dec 23, 2014 |
| R•••••••• T••• L••• | Secretary | Na | yes | 03/2014 | Apr 2, 2014 | Dec 23, 2014 |
| F•••• M•••••• I•••••••• I•••••••• C•••••• | n/a | n/a | n/a | N | yes | n/a |
| G•••••• A••••••• L••• I•••••••• C•••••• | n/a | n/a | n/a | N | yes | n/a |
| M•••••• I•••••••• C•••••• O• C••••••••• | n/a | n/a | n/a | N | yes | n/a |
| M•••••• I•••••••• D••••••••• C•••••• | n/a | n/a | n/a | N | yes | n/a |
| M•••••• I•••••••• I•••••••• C•••••• | n/a | n/a | n/a | N | yes | n/a |
| M•••••• I•••••••• U•• I•••••••• C•••••• | n/a | n/a | n/a | N | yes | n/a |
| M••••••••• L••• I•••••••• C•••••• | n/a | n/a | n/a | N | yes | n/a |
| M••••••••• T•••• L••• I•••••••• C•••••• | n/a | n/a | n/a | N | yes | n/a |
| N•• E•••••• L••• I•••••••• C•••••• | n/a | n/a | n/a | Y | yes | n/a |
| no |
| $5.3B |
| $847M |
| 2,514 |
| 1,396 |
| n/a |
| n/a |
| n/a |
| 2013 | Mar 31, 2014 | $5.0B | $781M | 2,993 | 1,951 | n/a | n/a | n/a |
| 2012 | Mar 22, 2013 | $3.3B | $469M | 3,802 | 1,565 | n/a | n/a | n/a |
| 2011 | Mar 26, 2012 | $2.6B | $354M | n/a | n/a | n/a | n/a | n/a |
| CHARLOTTE, NC |
| Team lift out |
| Other |
| 0.4% |
| M•• I•••••••• S•••••••• L•• | 3 | Jan 2, 2015 | Mar 25, 2017 | ISELIN, NJ | Team lift out | Other | 0.5% |
| I•• P••••••• S••••••••• L•• | 3 | Jan 2, 2015 | Apr 18, 2012 | BLOOMINGTON, IN | Team lift out | Other | 0.5% |
| M•••••• | 30 | Jan 2, 2015 | Sep 9, 2014 | BOSTON, MA | Team lift out | Other | 5.3% |
| M•••••• | 5 | Jan 2, 2015 | Jan 2, 2014 | FALMOUTH, ME | Team lift out | Other | 0.9% |
| M•••••• | 7 | Jan 2, 2015 | Jul 9, 2013 | MANCHESTER, NH | Team lift out | Other | 1.2% |
| M•••••• | 13 | Jan 2, 2015 | Sep 25, 2014 | EAST PROVIDENCE, RI | Team lift out | Other | 2.3% |
| M•••••• | 5 | Jan 2, 2015 | Dec 20, 2012 | COLCHESTER, VT | Team lift out | Other | 0.9% |
| N•••••••• C••••••• L•• | 30 | Jan 2, 2015 | Sep 17, 2013 | NEWTOWN S•••••, PA | Team lift out | Other | 5.3% |
| W••••• S••••• S••••••••• I••• | 2 | Jan 2, 2015 | Oct 6, 2008 | BOSTON, MA | Team lift out | Other | 0.4% |