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CRD 109826
NEW YORK, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| LEO VINCENT MARZEN | Certified Financial Planner|Chartered Financial Analyst | NEW YORK, NY | 20 | 36 | n/a | no |
| MATTHEW D PELZ | Certified Financial Planner | NEW YORK, NY | 11 | 16 | n/a | no |
| JOSEFINE TENEBACK CAYS | Certified Financial Planner | NEW YORK, NY | 6 | 24 | n/a | no |
| BARBARA JEAN LECLERC | Certified Financial Planner|Chartered Financial Analyst | NEW YORK, NY | 5 | 23 | n/a | no |
| Sara Jean Stollberger | Certified Financial Planner | NEW YORK, NY | 5 | 13 | n/a | no |
| Benjamin Wesley Bernard | Certified Financial Planner | NEW YORK, NY | 5 | 21 | n/a | no |
| GABE DEREK BRYAN | Certified Financial Planner | NEW YORK, NY | 5 | 19 | 1 | no |
| JACQUES AVERY FREEMAN | Certified Financial Planner | NEW YORK, NY | 5 | 11 | n/a | no |
| ANN MARIE THIBODEAU | n/a | NEW YORK, NY | 5 | 27 | n/a | no |
| YANYING LIN | n/a | NEW YORK, NY | 5 | 10 | n/a | no |
| Olabode Adeleke Aladenika | n/a | NEW YORK, NY | 3 | 11 | n/a | no |
| RYAN JOHN WILKENS | Certified Financial Planner | NEW YORK, NY | 2 | 12 | n/a | no |
| DAVID GEORGE SHAW | Certified Financial Planner | NEW YORK, NY | 1 | 11 | 1 | no |
| Timothy P Feeney | n/a | NEW YORK, NY | 1 | 21 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| THIBODEAU, ANN, MARIE | Partner | A | yes | 01/2011 | Mar 12, 2026 | Mar 12, 2026 |
| MARZEN, LEO, VINCENT | MANAGING PARTNER | D | yes | 01/2010 | Mar 30, 2012 | Jul 8, 2024 |
| BRYAN, GABE, DEREK | Partner | A | no | 01/2015 | Mar 12, 2026 | Mar 12, 2026 |
| CAYS, JOSEFINE, TENEBACK | Partner | A | no | 01/2011 | Mar 12, 2026 | Mar 12, 2026 |
| LECLERC, BARBARA, JEAN | CHIEF INVESTMENT OFFICER | Na | no | 01/2011 | Mar 12, 2026 | Mar 12, 2026 |
| PELZ, MATTHEW, D | Partner | Na | no | 01/2020 | Mar 27, 2020 | Jul 8, 2024 |
| SMYTH, THOMAS, FRANCIS | CHIEF COMPLIANCE OFFICER/PARTNER | Na | no | 02/2011 | Mar 30, 2012 | Jul 8, 2024 |
| WEBER, JANE, HOLT | Partner | Na | no | 01/2011 | Mar 30, 2012 | Jul 8, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 12, 2026 | $2.6B | $2.6B | 24 | 17 | 0 | n/a | n/a |
| 2024 | Mar 15, 2025 | $2.1B | $2.1B | 21 | 16 | 0 | n/a | n/a |
| 2023 | Mar 26, 2024 | $1.9B | $1.9B | 21 | 16 | 0 | n/a | n/a |
| 2022 | Mar 8, 2023 | $1.9B | $1.9B | 20 | 15 | 0 | n/a | n/a |
| 2021 | Mar 21, 2022 | $2.0B | $2.0B | 19 | 14 | 0 | n/a | n/a |
| 2020 | Apr 5, 2021 | $1.7B | $1.7B | 19 | 14 | 0 | n/a | n/a |
| 2019 | Mar 27, 2020 | $1.7B | $1.7B | 19 | 14 | 0 | n/a | n/a |
| 2018 | Mar 4, 2019 | $1.3B | $1.3B | 16 | 12 | 0 | n/a | n/a |
| 2017 | Mar 31, 2018 | $1.4B | $1.4B | 16 | 12 | 0 | n/a | n/a |
| 2016 | Mar 31, 2017 | $1.3B | $1.3B | 16 | 12 | n/a | n/a | n/a |
| 2015 | Mar 29, 2016 | $1.1B | $1.1B | 16 | 12 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $1.3B | $1.3B | 17 | 13 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $1.2B | $1.2B | 16 | 12 | n/a | n/a | n/a |
| 2012 | Apr 1, 2013 | $1.1B | $1.1B | 16 | 12 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $944M | $944M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 1 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $2.6B | $2.1B | 20.1% | $1.9B | 10.0% | 24 | 21 | 0 | 0 |