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CRD 145837
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 |
|---|---|---|---|---|---|---|
| ABBOTT-KAFFEN FAMILY TRUST | Member | C | yes | 07/2012 | Mar 28, 2013 | Mar 30, 2015 |
| ABBOTT-KAFFEN, MELISSA | Trustee | F | yes | 07/2012 | Mar 28, 2013 | Mar 30, 2015 |
| KAFFEN, JAMES, PETER | ELECTED MANAGER, PRESIDENT, CEO, CHIEF COMPLIANCE OFFICER | C | yes | 08/2006 | Jan 24, 2012 | Mar 30, 2015 |
| KAFFEN, JAMES, PETER | Trustee | F | yes | 07/2012 | Jan 24, 2012 | Mar 30, 2015 |
| LEONARD, LISA, L. | MEMBER & COO | B | yes | 07/2012 | Mar 28, 2013 | Mar 30, 2015 |
| ROSASCO, VICTOR, PETER | Trustee | F | yes | 07/2012 | Jan 24, 2012 | Mar 30, 2015 |
| ROSASCO, VICTOR, PETER | SECRETARY, TREASURER | B | yes | 08/2006 | Jan 24, 2012 | Mar 30, 2015 |
| SORTINO, FRANK, ALPHONSE | ELECTED MANAGER, CHAIRMAN & CHIEF INVESTMENT OFFICER | C | yes | 08/2006 | Jan 24, 2012 | Mar 30, 2015 |
| SORTINO, FRANK, ALPHONSE | Trustee | F | yes | 07/2012 | Jan 24, 2012 | Mar 30, 2015 |
| THE FRANK A. SORTINO 1990 TRUST AS AMENDED AND RESTATED JANUARY 13, 2011 | Member | E | yes | 07/2012 | Mar 28, 2013 | Mar 30, 2015 |
| THE PENSION RESEARCH INSTITUTE, LLC | Member | C | yes | 07/2012 | Mar 28, 2013 | Mar 30, 2015 |
| FORSEY, HAL, JOSEPH | Member | B | no | 08/2006 | Jan 24, 2012 | Mar 30, 2015 |
| THE ROSASCO MARITAL TRUST U/T/A DTD 11/17/1988, AS AMENDED | Member | B | no | 07/2012 | Mar 30, 2015 | Mar 30, 2015 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | n/a | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2014 | Mar 30, 2015 | $299M | $0 | 6 | 5 | n/a | n/a | n/a |
| 2013 | Apr 1, 2014 | $284M | $1.0M | 5 | 3 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $801,943 | $0 | 5 | 1 | n/a | n/a | n/a |
| 2011 | Jan 24, 2012 | $178M | $0 | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2014 | $299M | $284M | 5.4% | $178M | 18.8% | 6 | 5 | n/a | n/a |