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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

ASTOR INVESTMENT MANAGEMENT LLC

CRD 169679

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:a1aa4fec-3760-6b33-a32d-71f28d031440

Data as of Feb 10, 2025 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 29
Dated events: 14
On other graphs: 0
Observed: Nov 5, 2013 to Feb 10, 2025
54 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
Regulatory AUM: $198MItem 5.F on the latest filing (2025-02-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $198M
Private client RAUM: $103MderivedItem 5.D individuals plus high net worth individuals
Private client share: 52%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees: 3
Offices: 5Schedule D 1.F, beyond the principal office
Accounts: 447
Individual clients: 426
High net worth clients: 9
SEC number: 801-78794
CIK: 1598416
CRD: 169679
Filings on the tape: 54
First filed: Nov 5, 2013
Latest filed: Feb 10, 2025
Organised: Limited Liability Company, DE

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
ASTOR FINANCIAL LLC	Member	E	yes	10/2019	Mar 29, 2024	Dec 17, 2024
DURBIN, BRIAN, THOMAS	CHIEF COMPLIANCE OFFICER	Na	yes	05/2024	Dec 18, 2014	Dec 17, 2024
ECKSTEIN, JOHN, FRANCIS	CHIEF INVESTMENT OFFICER	Na	yes	10/2013	Aug 3, 2015	Dec 17, 2024
LAKEWOOD INVESTMENT MANAGEMENT LLC	OWNER / MANAGING MEMBER	E	yes	10/2013	Nov 5, 2013	Dec 17, 2024
NOVAK, BRYAN, MICHAEL	CHIEF EXECUTIVE OFFICER	Na	yes	10/2013	Aug 3, 2015	Dec 17, 2024
STEIN, ROBERT, NEIL	OWNER / MANAGING MEMBER	E	yes	10/2019	Nov 5, 2013	Dec 17, 2024
THOMAS, SCOTT, ANTHONY	DIRECTOR, CHIEF FINANCIAL OFFICER, CHIEF OPERATIONS OFFICER	Na	yes	11/2014	Mar 23, 2016	Dec 17, 2024
HARVEST CAPITAL STRATEGIES LLC	Owner	B	no	11/2017	Feb 27, 2019	Dec 17, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
GROSSE POINTE WOODS	Mi	United States	1	no
n/a	n/a	n/a	1	no

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
2024	Feb 10, 2025	$198M	$198M	6	3	5	n/a	n/a
2023	Mar 29, 2024	$261M	$261M	8	3	4	n/a	n/a
2022	Mar 30, 2023	$325M	$325M	9	4	0	n/a	n/a
2021	Mar 30, 2022	$429M	$429M	15	9	0	n/a	n/a
2020	Mar 24, 2021	$444M	$444M	16	9	0	n/a	n/a
2019	Mar 2, 2020	$626M	$626M	21	21	1	n/a	n/a
2018	Feb 27, 2019	$588M	$588M	17	17	1	n/a	n/a
2017	Feb 28, 2018	$576M	$576M	14	14	1	n/a	n/a
2016	Mar 21, 2017	$540M	$540M	17	15	n/a	n/a	n/a
2015	Mar 23, 2016	$622M	$622M	23	15	n/a	n/a	n/a
2014	Jan 27, 2015	$629M	$629M	10	9	n/a	n/a	n/a
2013	Feb 4, 2014	$339M	$339M	19	17	n/a	n/a	n/a

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
2024	$198M	$261M	-24.1%	$429M	-22.7%	6	8	5	4

Relationships

Affiliated with (1)

← LAKEWOOD INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (7)

← STEIN, ROBERT, NEILOwnerOWNER / MANAGING MEMBER, ownership code E, individual
Nov 5, 2013 to Dec 17, 2024factForm ADV
← ECKSTEIN, JOHN, FRANCISOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Aug 3, 2015 to Dec 17, 2024factForm ADV
← NOVAK, BRYAN, MICHAELOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Aug 3, 2015 to Dec 17, 2024factForm ADV
← DURBIN, BRIAN, THOMASOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 18, 2014 to Dec 17, 2024factForm ADV
← THOMAS, SCOTT, ANTHONYOwnerDIRECTOR, CHIEF FINANCIAL OFFICER, CHIEF OPERATIONS OFFICER, ownership code NA, individual
Mar 23, 2016 to Dec 17, 2024factForm ADV
← ASTOR FINANCIAL LLCOwnerMEMBER, ownership code E, domestic entity
Mar 29, 2024 to Dec 17, 2024factForm ADV
← LAKEWOOD INVESTMENT MANAGEMENT LLCOwnerOWNER / MANAGING MEMBER, ownership code E, domestic entity
Nov 5, 2013 to Dec 17, 2024factForm ADV

Owns (1)

← HARVEST CAPITAL STRATEGIES LLCOwnerOWNER, ownership code B, domestic entity
Feb 27, 2019 to Dec 17, 2024factForm ADV

Registered with (17)

← BRYAN CHARLES TENNANTAdvisorregistration: previous registration
Aug 5, 2022 to Jun 5, 2024factForm ADV
← Brandon BalaziAdvisorregistration: previous registration
May 19, 2015 to Feb 15, 2023factForm ADV
← THOMAS MCCARTHY OBRIENAdvisorregistration: previous registration
Jan 2, 2018 to Jun 13, 2022factForm ADV
← THOMAS VINCENT REIDAdvisorregistration: previous registration
Jul 13, 2015 to Mar 29, 2021factForm ADV
← KEITH ARNOLD SCHLINGHEYDEAdvisorregistration: previous registration
Aug 10, 2015 to Feb 17, 2021factForm ADV
← Trenton James GrensAdvisorregistration: previous registration
Oct 13, 2015 to Feb 16, 2021factForm ADV
← ETHAN NGUYEN OGDENAdvisorregistration: previous registration
Aug 1, 2019 to May 15, 2020factForm ADV
← Matthew H. JohnsonAdvisorregistration: previous registration
Nov 3, 2015 to May 7, 2019factForm ADV
← NICOLE ANN ENGELAdvisorregistration: previous registration
Nov 26, 2018 to May 2, 2019factForm ADV
← Jace Rock JamesAdvisorregistration: previous registration
Nov 14, 2016 to May 3, 2017factForm ADV
← JASON SCOTT SWEDOAdvisorregistration: previous registration
Aug 10, 2015 to Mar 6, 2017factForm ADV
← MATTHEW FRANK MOHLMANAdvisorregistration: previous registration
Apr 14, 2014 to Jun 30, 2015factForm ADV
← DENNIS LOYD ENGELAdvisorregistration: previous registration
Nov 6, 2014 to Nov 25, 2014factForm ADV
← Timothy James McLaughlinAdvisorregistration: previous registration
Jan 2, 2014 to Nov 11, 2014factForm ADV
← JONATHON THOMAS DIGIOVANNIAdvisorregistration: previous registration
Jan 2, 2014 to Nov 5, 2014factForm ADV
← GARRETT WILLIAM KELLEYAdvisorregistration: previous registration
Jan 6, 2014 to Aug 27, 2014factForm ADV
← TERRENCE PATRICK GEARYAdvisorregistration: previous registration
Dec 10, 2013 to Aug 27, 2014factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Aug 30, 2025
Succession filed (Item 4)
Beacon Capital Management, Inc. reported succeeding to the business of Astor Investment Management Llc (Form ADV Item 4)
Form ADVobserved 6 days ago
Occurred
Jun 5, 2024
Advisor changed firm
Bryan Charles Tennant left Astor Investment Management Llc for Harris | Oakmark (registered 2025-10-14)
Form ADVobserved 6 days ago
Occurred
Jun 4, 2024
Control person left
Charles Bryan Tennant (Chief Compliance Officer) no longer on Schedule A of Astor Investment Management Llc (listed 2024-03-29, absent 2024-06-04)
Form ADVobserved 6 days ago
Occurred
Jun 4, 2024
Control person joined
Thomas Brian Durbin (Chief Compliance Officer) appeared on Schedule A of Astor Investment Management Llc
Form ADVobserved 6 days ago
Occurred
Feb 15, 2023
Advisor changed firm
Brandon Balazi left Astor Investment Management Llc for Saturna Capital Corporation (registered 2026-04-10)
Form ADVobserved 6 days ago
Occurred
Jul 27, 2022
Control person joined
Charles Bryan Tennant (Chief Compliance Officer) appeared on Schedule A of Astor Investment Management Llc
Form ADVobserved 6 days ago
Occurred
Jun 13, 2022
Control person left
Mccarthy Thomas Obrien (Director) no longer on Schedule A of Astor Investment Management Llc (listed 2022-05-31, absent 2022-06-13)
Form ADVobserved 6 days ago
Occurred
Jun 13, 2022
Advisor changed firm
Thomas Mccarthy Obrien left Astor Investment Management Llc for Morningstar Investment Services Llc (registered 2024-01-09)
Form ADVobserved 6 days ago
Occurred
May 31, 2022
Control person left
Charles Lee Oliff (Chief Legal Officer) no longer on Schedule A of Astor Investment Management Llc (listed 2022-03-30, absent 2022-05-31)
Form ADVobserved 6 days ago
Occurred
May 31, 2022
Control person left
Thomas Brian Durbin (Chief Compliance Officer) no longer on Schedule A of Astor Investment Management Llc (listed 2022-03-30, absent 2022-05-31)
Form ADVobserved 6 days ago
Occurred
Jun 30, 2020
Control person left
Jean Susan Hill (Chief Compliance Officer) no longer on Schedule A of Astor Investment Management Llc (listed 2020-03-02, absent 2020-06-30)
Form ADVobserved 6 days ago
Occurred
Jun 30, 2020
Control person joined
Thomas Brian Durbin (Chief Compliance Officer) appeared on Schedule A of Astor Investment Management Llc
Form ADVobserved 6 days ago
Occurred
Nov 5, 2013
First Form ADV filing
Astor Investment Management Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Show 1 bookkeeping events

Occurred
Dec 20, 2025
Astor Investment Management Llc no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $198.4M)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a1aa4fec-3760-6b33-a32d-71f28d031440
First observed: Nov 5, 2013
Last observed: Feb 10, 2025 19 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.

ASTOR INVESTMENT MANAGEMENT LLC

CRD 169679

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:a1aa4fec-3760-6b33-a32d-71f28d031440

Data as of Feb 10, 2025 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:55 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ASTOR FINANCIAL LLC

Member

yes

10/2019

Mar 29, 2024

Dec 17, 2024

DURBIN, BRIAN, THOMAS

CHIEF COMPLIANCE OFFICER

yes

05/2024

Dec 18, 2014

Dec 17, 2024

ECKSTEIN, JOHN, FRANCIS

CHIEF INVESTMENT OFFICER

yes

10/2013

Aug 3, 2015

Dec 17, 2024

LAKEWOOD INVESTMENT MANAGEMENT LLC

OWNER / MANAGING MEMBER

yes

10/2013

Nov 5, 2013

Dec 17, 2024

NOVAK, BRYAN, MICHAEL

CHIEF EXECUTIVE OFFICER

yes

10/2013

Aug 3, 2015

Dec 17, 2024

STEIN, ROBERT, NEIL

OWNER / MANAGING MEMBER

yes

10/2019

Nov 5, 2013

Dec 17, 2024

THOMAS, SCOTT, ANTHONY

DIRECTOR, CHIEF FINANCIAL OFFICER, CHIEF OPERATIONS OFFICER

yes

11/2014

Mar 23, 2016

Dec 17, 2024

HARVEST CAPITAL STRATEGIES LLC

Owner

11/2017

Feb 27, 2019

Dec 17, 2024

City

State

Country

Employees

Also broker-dealer

GROSSE POINTE WOODS

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Feb 10, 2025

$198M

n/a

2023

Mar 29, 2024

$261M

n/a

2022

Mar 30, 2023

$325M

n/a

2021

Mar 30, 2022

$429M

n/a

2020

Mar 24, 2021

$444M

n/a

2019

Mar 2, 2020

$626M

n/a

2018

Feb 27, 2019

$588M

n/a

2017

Feb 28, 2018

$576M

n/a

2016

Mar 21, 2017

$540M

n/a

2015

Mar 23, 2016

$622M

n/a

2014

Jan 27, 2015

$629M

n/a

2013

Feb 4, 2014

$339M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$198M

$261M

-24.1%

$429M

-22.7%