DFX Intelligence
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Reading the graph
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S••••••••• • M••••• C•••••• M••••••••• C••••, CRD 7727
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 |
|---|---|---|---|---|---|---|
| M••••••••• T••••• M•••••• | VICE CHAIRMAN, DIRECTOR | Na | yes | 11/1978 | Dec 14, 2011 | Dec 23, 2013 |
| S•••••••• J••• F• | CHAIRMAN, DIRECTOR, CHIEF COMPLIANCE OFFICER | Na | yes | 08/1978 | Dec 14, 2011 | Dec 23, 2013 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| S••••••••• • M••••• C•••••• M••••••••• C•••• | n/a | Former SEC adviser | $38.2M | Y | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2013 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2013 | $38.2M | $34.9M | 9.5% | n/a | n/a | 3 | 3 | n/a | n/a |
| TREASURER, FINOP |
| Na |
| no |
| 08/1978 |
| Dec 14, 2011 |
| Dec 23, 2013 |
| S••••••• M•••••••• • M••••• C•••••• M••••••••• C• | PARENT CO | E | no | 09/1978 | Dec 14, 2011 | Dec 23, 2013 |
| $38.2M |
| $38.2M |
| 3 |
| 2 |
| n/a |
| n/a |
| n/a |
| 2012 | Jan 10, 2013 | $34.9M | $34.9M | 3 | 2 | n/a | n/a | n/a |
| 2011 | Dec 14, 2011 | $39.5M | $39.5M | n/a | n/a | n/a | n/a | n/a |