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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

SPRING ASSET MANAGEMENT LLC

CRD 167528

MIAMI BEACH, FL

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:9b7ba789-8f4e-0026-9aba-b6731e0302ae

Data as of Apr 9, 2013 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Apr 9, 2013 to Apr 9, 2013
1 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 7
Advisory employees: 3
SEC number: 801-77959
CRD: 167528
Filings on the tape: 1
First filed: Apr 9, 2013
Latest filed: Apr 9, 2013
Organised: Limited Liability Company, Delaware

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
BARUDIN, GUY, MICHAEL	MANAGING DIRECTOR	Na	yes	10/2012	Apr 9, 2013	Apr 9, 2013
LEIGHT FAMILY 1998 IRREVOCABLE TRUST	Shareholder	D	yes	10/2012	Apr 9, 2013	Apr 9, 2013
LEIGHT, ELIZABETH, BARKIN	Trustee	F	yes	04/1998	Apr 9, 2013	Apr 9, 2013
LEIGHT, NATHAN, DAVID	MANAGING MEMBER/CHIEF INVESTMENT OFFICER	D	yes	10/2012	Apr 9, 2013	Apr 9, 2013
LEIGHT, PAUL, JOSHUA	Trustee	F	yes	09/2003	Apr 9, 2013	Apr 9, 2013
SCHIFRIN, STEPHEN, SIMON	CHIEF COMPLIANCE OFFICER	Na	yes	10/2012	Apr 9, 2013	Apr 9, 2013

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
TERRAPIN ASSET MANAGEMENT, LLC	n/a	Former SEC adviser	$73.5M	N	yes	n/a
TERRAPIN SELECT GP LLC	n/a	n/a	n/a	N	yes	n/a
TERRAPIN TALF MANAGEMENT COMPANY LLC	n/a	n/a	n/a	N	yes	n/a
TICO GP LLC	n/a	n/a	n/a	N	yes	n/a
TICO MANAGEMENT COMPANY LP	n/a	n/a	n/a	N	yes	n/a
TTALF GP LLC	n/a	n/a	n/a	N	yes	n/a

Relationships

Affiliated with (1)

→ TERRAPIN ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Controls (6)

← LEIGHT, NATHAN, DAVIDOwnerMANAGING MEMBER/CHIEF INVESTMENT OFFICER, ownership code D, individual
Apr 9, 2013 to presentfactForm ADV
← BARUDIN, GUY, MICHAELOwnerMANAGING DIRECTOR, ownership code NA, individual
Apr 9, 2013 to presentfactForm ADV
← LEIGHT, ELIZABETH, BARKINOwnerTRUSTEE, ownership code F, individual
Apr 9, 2013 to presentfactForm ADV
← LEIGHT, PAUL, JOSHUAOwnerTRUSTEE, ownership code F, individual
Apr 9, 2013 to presentfactForm ADV
← SCHIFRIN, STEPHEN, SIMONOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 9, 2013 to presentfactForm ADV
← LEIGHT FAMILY 1998 IRREVOCABLE TRUSTOwnerSHAREHOLDER, ownership code D, domestic entity
Apr 9, 2013 to presentfactForm ADV

Dated events

Occurred
Apr 9, 2013
First Form ADV filing
Spring Asset Management Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9b7ba789-8f4e-0026-9aba-b6731e0302ae
First observed: Apr 9, 2013
Last observed: Apr 9, 2013 163 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.

SPRING ASSET MANAGEMENT LLC

CRD 167528

MIAMI BEACH, FL

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:9b7ba789-8f4e-0026-9aba-b6731e0302ae

Data as of Apr 9, 2013 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:52 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BARUDIN, GUY, MICHAEL

MANAGING DIRECTOR

yes

10/2012

Apr 9, 2013

LEIGHT FAMILY 1998 IRREVOCABLE TRUST

Shareholder

yes

10/2012

Apr 9, 2013

LEIGHT, ELIZABETH, BARKIN

Trustee

yes

04/1998

Apr 9, 2013

LEIGHT, NATHAN, DAVID

MANAGING MEMBER/CHIEF INVESTMENT OFFICER

yes

10/2012

Apr 9, 2013

LEIGHT, PAUL, JOSHUA

Trustee

yes

09/2003

Apr 9, 2013

SCHIFRIN, STEPHEN, SIMON

CHIEF COMPLIANCE OFFICER

yes

10/2012

Apr 9, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

TERRAPIN ASSET MANAGEMENT, LLC

n/a

Former SEC adviser

$73.5M

yes

n/a

TERRAPIN SELECT GP LLC

n/a

yes

n/a

TERRAPIN TALF MANAGEMENT COMPANY LLC

n/a

yes

n/a

TICO GP LLC

n/a

yes

n/a

TICO MANAGEMENT COMPANY LP

n/a

yes

n/a

TTALF GP LLC

n/a

yes

n/a