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CRD 170849
FAIRFIELD, CT
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 |
|---|---|---|---|---|---|---|
| KENNEDY, WILLIAM, JOSEPH | INVESTMENT ADVISER REPRESENTATIVE/CHIEF COMPLIANCE OFFICER | Na | yes | 06/2015 | Nov 19, 2015 | Sep 6, 2016 |
| BLAU, SHAWN, FREDERICK | MANAGING MEMBER | E | no | 02/2014 | Apr 25, 2014 | Sep 6, 2016 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2015 | Mar 24, 2016 | $0 | $0 | 1 | 1 | n/a | n/a | n/a |
| 2014 | Mar 12, 2015 | $2.3M | $2.3M | 3 | 2 | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2015 | $0 | $2.3M | -100.0% | n/a | n/a | 1 | 3 | n/a | n/a |