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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

LEERINK SWANN LLC

CRD 39011

BOSTON, MA

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:adcf0135-6882-6848-0f4b-75170fc62aeb

Data as of Mar 24, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 0
On other graphs: 2
Observed: Nov 29, 2011 to Mar 24, 2012
2 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

Leerink Partners LLC

Venture manager · shared crd

Independent Sponsorsidentity

SVB Securities LLC

Intermediary · shared crd

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: $50.5MItem 5.F on the latest filing (2012-03-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $30.8M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 90
SEC number: 801-68264
CRD: 39011
Filings on the tape: 2
First filed: Nov 29, 2011
Latest filed: Mar 24, 2012
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
DUBIN, DANIEL BARRY	DIRECTOR/TRUSTEE	Na	yes	12/2001	Nov 29, 2011	Mar 24, 2012
LEERINK SWANN HOLDINGS, LLC	Owner	E	yes	08/2007	Nov 29, 2011	Mar 24, 2012
LEERINK SWANN MASSACHUSETTS BUSINESS TRUST	MEMBER AND HOLDER OF ALL CLASS B UNITS	D	yes	08/2007	Nov 29, 2011	Mar 24, 2012
LEERINK, JEFFREY ALAN	UNIT HOLDER	C	yes	05/1995	Nov 29, 2011	Mar 24, 2012
LEERINK, JEFFREY ALAN	CEO/DIRECTOR/TRUSTEE	Na	yes	05/1995	Nov 29, 2011	Mar 24, 2012
NEWMAN, ANDREW RYAN	Treasurer	Na	yes	08/1996	Nov 29, 2011	Mar 24, 2012
PELLEGRINO, JOHN RICHTER	CHIEF COMPLIANCE OFFICER (CCO), MANAGING DIRECTOR	Na	yes	06/2008	Nov 29, 2011	Mar 24, 2012
GERHOLD, TIMOTHY ALBERT GEORGE	CHIEF LEGAL OFFICER	Na	no	05/2006	Nov 29, 2011	Mar 24, 2012
ZHONG, QI YU	Finop	Na	no	11/2008	Nov 29, 2011	Mar 24, 2012

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
2011	Mar 24, 2012	$50.5M	$30.8M	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
2011	$50.5M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (4)

← THE BAUPOST GROUP, L.L.C.Registered adviserbroker-dealer, control, common control
factForm ADV
← SVB INVESTMENT SERVICES INC.Registered adviserbroker-dealer, common control
factForm ADV
← LEERINK TRANSFORMATION PARTNERSRegistered adviserbroker-dealer, common control
factForm ADV
← LEERINK PHARMACEUTICAL INVESTMENTS LLCRegistered adviserbroker-dealer, common control
factForm ADV

Controls (6)

← LEERINK, JEFFREY ALANOwnerUNIT HOLDER, ownership code C, individual
Nov 29, 2011 to presentfactForm ADV
← NEWMAN, ANDREW RYANOwnerTREASURER, ownership code NA, individual
Nov 29, 2011 to presentfactForm ADV
← PELLEGRINO, JOHN RICHTEROwnerCHIEF COMPLIANCE OFFICER (CCO), MANAGING DIRECTOR, ownership code NA, individual
Nov 29, 2011 to presentfactForm ADV
← DUBIN, DANIEL BARRYOwnerDIRECTOR/TRUSTEE, ownership code NA, individual
Nov 29, 2011 to presentfactForm ADV
← LEERINK SWANN HOLDINGS, LLCOwnerOWNER, ownership code E, domestic entity
Nov 29, 2011 to presentfactForm ADV
← LEERINK SWANN MASSACHUSETTS BUSINESS TRUSTOwnerMEMBER AND HOLDER OF ALL CLASS B UNITS, ownership code D, domestic entity
Nov 29, 2011 to presentfactForm ADV

Owns (2)

← ZHONG, QI YUOwnerFINOP, ownership code NA, individual
Nov 29, 2011 to presentfactForm ADV
← GERHOLD, TIMOTHY ALBERT GEORGEOwnerCHIEF LEGAL OFFICER, ownership code NA, individual
Nov 29, 2011 to presentfactForm ADV

Registered with (8)

← Scott E PriceAdvisorregistration: previous registration
Jan 26, 2010 to Apr 16, 2012factForm ADV
← John McPheeAdvisorregistration: previous registration
Sep 26, 2007 to Apr 13, 2012factForm ADV
← DOMINICK JOSEPH TRIMARCHIAdvisorregistration: previous registration
Dec 9, 2010 to Mar 30, 2012factForm ADV
← SEAN MICHAEL DEANAdvisorregistration: previous registration
Sep 18, 2009 to Mar 9, 2012factForm ADV
← DEVON JEROME BARANSKIAdvisorregistration: previous registration
Jul 26, 2010 to Aug 1, 2011factForm ADV
← ROBERT MALACHY CULLYAdvisorregistration: previous registration
Mar 16, 2009 to Jan 20, 2011factForm ADV
← MICHAEL LEWIS KANTROWITZAdvisorregistration: previous registration
Oct 1, 2007 to Jun 15, 2010factForm ADV
← JAMES CAMERON MORRISAdvisorregistration: previous registration
Jan 17, 2008 to Sep 5, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:adcf0135-6882-6848-0f4b-75170fc62aeb
First observed: Nov 29, 2011
Last observed: Mar 24, 2012 176 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.

LEERINK SWANN LLC

CRD 39011

BOSTON, MA

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:adcf0135-6882-6848-0f4b-75170fc62aeb

Data as of Mar 24, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:37 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DUBIN, DANIEL BARRY

DIRECTOR/TRUSTEE

yes

12/2001

Nov 29, 2011

Mar 24, 2012

LEERINK SWANN HOLDINGS, LLC

Owner

yes

08/2007

Nov 29, 2011

Mar 24, 2012

LEERINK SWANN MASSACHUSETTS BUSINESS TRUST

MEMBER AND HOLDER OF ALL CLASS B UNITS

yes

08/2007

Nov 29, 2011

Mar 24, 2012

LEERINK, JEFFREY ALAN

UNIT HOLDER

yes

05/1995

Nov 29, 2011

Mar 24, 2012

LEERINK, JEFFREY ALAN

CEO/DIRECTOR/TRUSTEE

yes

05/1995

Nov 29, 2011

Mar 24, 2012

NEWMAN, ANDREW RYAN

Treasurer

yes

08/1996

Nov 29, 2011

Mar 24, 2012

PELLEGRINO, JOHN RICHTER

CHIEF COMPLIANCE OFFICER (CCO), MANAGING DIRECTOR

yes

06/2008

Nov 29, 2011

Mar 24, 2012

GERHOLD, TIMOTHY ALBERT GEORGE

CHIEF LEGAL OFFICER

05/2006

Nov 29, 2011

Mar 24, 2012

ZHONG, QI YU

Finop

11/2008

Nov 29, 2011

Mar 24, 2012

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 24, 2012

$50.5M

$30.8M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$50.5M

n/a