DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
CRD 104882
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 |
|---|---|---|---|---|---|---|
| D•••••• E•••••• D•••• | PRINCIPAL, MANAGING DIRECTOR | A | yes | 01/2000 | Mar 30, 2012 | Mar 31, 2015 |
| L•••• D••••••• C••••• | PRESIDENT, CEO | C | yes | 07/1994 | Mar 30, 2012 | Mar 31, 2015 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2014 | Mar 31, 2015 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2014 | $4.4B | $3.6B | 21.7% | $2.3B | 24.7% | 32 | 33 | n/a | n/a |
| PRINCIPAL, CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER AND CHIEF LEGAL OFFICER |
| A |
| yes |
| 07/1994 |
| Mar 30, 2012 |
| Mar 31, 2015 |
| L•••• S•••••• G•• | Trustee | F | yes | 09/2012 | Mar 30, 2012 | Mar 31, 2015 |
| S••••• S•••• | PRINCIPAL, MANAGING DIRECTOR | A | yes | 01/2001 | Mar 30, 2012 | Mar 31, 2015 |
| C••••••• B••••••• A• | PRINCIPAL, CHIEF OPERATIONS OFFICER | Na | no | 01/2008 | Mar 30, 2012 | Mar 31, 2015 |
| D•••••• C• L••• 2••• I••••••••• T•••• | Trust | F | no | 09/2012 | Mar 28, 2013 | Mar 31, 2015 |
| D•••••• C• L••• 2••• I••••••••• T•••• | EQUITY OWNER | A | no | 09/2012 | Mar 28, 2013 | Mar 31, 2015 |
| G•• L••• 2••• I••••••••• T•••• | EQUITY OWNER | B | no | 12/2012 | Mar 28, 2013 | Mar 31, 2015 |
| G•• L••• 2••• I••••••••• T•••• | Trust | F | no | 12/2012 | Mar 28, 2013 | Mar 31, 2015 |
| H•••••• T••• | Trustee | F | no | 09/2012 | Mar 28, 2013 | Mar 31, 2015 |
| L•••• J••• | Trustee | F | no | 12/2012 | Mar 28, 2013 | Mar 31, 2015 |
| L•••• R•••••• D•••• | Trustee | F | no | 12/2012 | Mar 28, 2013 | Mar 31, 2015 |
| M••••• M•••• V•••• | Principal | Na | no | 01/2008 | Mar 30, 2012 | Mar 31, 2015 |
| R•••••••• M••••••• S• | Principal | Na | no | 01/2013 | Mar 28, 2013 | Mar 31, 2015 |
| S••••• A•••••• P• | Trustee | F | no | 12/2012 | Mar 30, 2012 | Mar 31, 2015 |
| S••••• A•••••• P• | Principal | Na | no | 01/2008 | Mar 30, 2012 | Mar 31, 2015 |
| S•••• J•••• R•••• | Principal | A | no | 01/2006 | Mar 30, 2012 | Mar 31, 2015 |
| V••••• M••••••• L•• | Principal | A | no | 01/2007 | Mar 30, 2012 | Mar 31, 2015 |
| W••••••• W••••• | Trustee | F | no | 09/2012 | Mar 28, 2013 | Mar 31, 2015 |
| $4.4B |
| $4.4B |
| 32 |
| 8 |
| n/a |
| n/a |
| n/a |
| 2013 | Mar 31, 2014 | $3.6B | $3.6B | 33 | 8 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $2.5B | $2.5B | 31 | 8 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $2.3B | $2.2B | n/a | n/a | n/a | n/a | n/a |