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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

PERSONAL BUSINESS MANAGEMENT GROUP LTD

CRD 107838

STAMFORD, CT

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:a22987d5-e146-9770-871f-422e0eaab744

Data as of Mar 12, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jan 26, 2012 to Mar 12, 2020
9 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: $108MItem 5.F on the latest filing (2020-03-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $108M
Private client RAUM: $108MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 95
Individual clients: 51
High net worth clients: 44
SEC number: 801-16384
CRD: 107838
Filings on the tape: 9
First filed: Jan 26, 2012
Latest filed: Mar 12, 2020
Organised: Corporation, Connecticut

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
FRIEDMAN, CARL	CHAIRMAN/CHIEF COMPLIANCE OFFICER	D	yes	04/1981	Jan 26, 2012	Mar 12, 2020
FRIEDMAN, JAMES, ANDREW	President	D	yes	03/2005	Jan 26, 2012	Mar 12, 2020

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
2019	Mar 12, 2020	$108M	$108M	3	3	0	n/a	n/a
2018	Feb 27, 2019	$108M	$108M	4	3	3	n/a	n/a
2017	Feb 5, 2018	$120M	$120M	3	3	2	n/a	n/a
2016	Feb 24, 2017	$114M	$114M	2	2	n/a	n/a	n/a
2015	Feb 8, 2016	$133M	$133M	2	2	n/a	n/a	n/a
2014	Feb 23, 2015	$154M	$154M	2	2	n/a	n/a	n/a
2013	Jan 30, 2014	$154M	$154M	2	2	n/a	n/a	n/a
2012	Feb 4, 2013	$134M	$134M	2	2	n/a	n/a	n/a
2011	Jan 26, 2012	$128M	$128M	n/a	n/a	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
2019	$108M	$108M	0.0%	$114M	-1.8%	3	4	0	3

Relationships

Controls (2)

← FRIEDMAN, JAMES, ANDREWOwnerPRESIDENT, ownership code D, individual
Jan 26, 2012 to presentfactForm ADV
← FRIEDMAN, CARLOwnerCHAIRMAN/CHIEF COMPLIANCE OFFICER, ownership code D, individual
Jan 26, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a22987d5-e146-9770-871f-422e0eaab744
First observed: Jan 26, 2012
Last observed: Mar 12, 2020 79 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.

PERSONAL BUSINESS MANAGEMENT GROUP LTD

CRD 107838

STAMFORD, CT

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:a22987d5-e146-9770-871f-422e0eaab744

Data as of Mar 12, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:33 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FRIEDMAN, CARL

CHAIRMAN/CHIEF COMPLIANCE OFFICER

yes

04/1981

Jan 26, 2012

Mar 12, 2020

FRIEDMAN, JAMES, ANDREW

President

yes

03/2005

Jan 26, 2012

Mar 12, 2020

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 12, 2020

$108M

n/a

2018

Feb 27, 2019

$108M

n/a

2017

Feb 5, 2018

$120M

n/a

2016

Feb 24, 2017

$114M

n/a

2015

Feb 8, 2016

$133M

n/a

2014

Feb 23, 2015

$154M

n/a

2013

Jan 30, 2014

$154M

n/a

2012

Feb 4, 2013

$134M

n/a

2011

Jan 26, 2012

$128M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$108M

0.0%

$114M

-1.8%