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

SAM ADVISORS, LLC

CRD 133251

NEW YORK, NY

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:bf57f5ed-a727-222c-1c9c-ca03491ab56c

Data as of Mar 30, 2015 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Mar 27, 2012 to Mar 30, 2015
10 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: $50.3MItem 5.F on the latest filing (2015-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $47.9M
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
Employees: 4
Advisory employees: 3
Accounts: 232
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $637,572gross asset value as reported per fund; never fund size
SEC number: 801-64778
CRD: 133251
Filings on the tape: 10
First filed: Mar 27, 2012
Latest filed: Mar 30, 2015
Organised: Limited Liability Company, New York

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
SAM SPECIAL OPPORTUNITIES FUND, LP	Hedge Fund	$637,572	Mar 30, 2015	29	Mar 27, 2012	reported	021-147056

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
RAUCH, DAVID, GORDON	SENIOR PORTFOLIO MANAGER	B	yes	04/2014	Mar 30, 2015	Mar 30, 2015
SMITH, WILLIAM, BLAINE	PRESIDENT/CEO/SENIOR PORTFOLIO MANAGER/CHIEF COMPLIANCE OFFICER	E	yes	09/2004	Mar 27, 2012	Mar 30, 2015

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
SAM CAPITAL PARTNERS LLC	n/a	n/a	n/a	N	yes	n/a

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
2014	Mar 30, 2015	$50.3M	$47.9M	4	3	n/a	1	$637,572
2013	Mar 28, 2014	$46.7M	$43.3M	4	3	n/a	1	$637,572
2012	Mar 18, 2013	$39.0M	$38.0M	4	3	n/a	1	$637,572
2011	Mar 27, 2012	$31.9M	$30.6M	n/a	n/a	n/a	1	$1.7M

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
2014	$50.3M	$46.7M	7.8%	$31.9M	16.4%	4	4	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
KELLEHER FINANCIAL ADVISORS, LLC	2	Dec 31, 2015	Dec 17, 2015	NEW YORK, NY	Team lift out	Other	100.0%

Relationships

Advises (1)

→ SAM SPECIAL OPPORTUNITIES FUND, LPPrivate fundHedge Fund, IA
Mar 27, 2012 to presentfactForm ADV

Controls (2)

← SMITH, WILLIAM, BLAINEOwnerPRESIDENT/CEO/SENIOR PORTFOLIO MANAGER/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 27, 2012 to presentfactForm ADV
← RAUCH, DAVID, GORDONOwnerSENIOR PORTFOLIO MANAGER, ownership code B, individual
Mar 30, 2015 to presentfactForm ADV

Registered with (2)

← WILLIAM BLAINE SMITHAdvisorregistration: previous registration
Jan 9, 2015 to Dec 31, 2015factForm ADV
← DAVID GORDON RAUCHAdvisorregistration: previous registration
Jan 10, 2015 to Dec 31, 2015factForm ADV

Moved with (1)

→ KELLEHER FINANCIAL ADVISORS, LLCRegistered adviser2 advisors, team lift out, same day
Dec 31, 2015 to Dec 17, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bf57f5ed-a727-222c-1c9c-ca03491ab56c
First observed: Mar 27, 2012
Last observed: Mar 30, 2015 139 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.

SAM ADVISORS, LLC

CRD 133251

NEW YORK, NY

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:bf57f5ed-a727-222c-1c9c-ca03491ab56c

Data as of Mar 30, 2015 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:59 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

SAM SPECIAL OPPORTUNITIES FUND, LP

Hedge Fund

$637,572

Mar 30, 2015

Mar 27, 2012

reported

021-147056

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

RAUCH, DAVID, GORDON

SENIOR PORTFOLIO MANAGER

yes

04/2014

Mar 30, 2015

SMITH, WILLIAM, BLAINE

PRESIDENT/CEO/SENIOR PORTFOLIO MANAGER/CHIEF COMPLIANCE OFFICER

yes

09/2004

Mar 27, 2012

Mar 30, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SAM CAPITAL PARTNERS LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 30, 2015

$50.3M

$47.9M

n/a

$637,572

2013

Mar 28, 2014

$46.7M

$43.3M

n/a

$637,572

2012

Mar 18, 2013

$39.0M

$38.0M

n/a

$637,572

2011

Mar 27, 2012

$31.9M

$30.6M

n/a

$1.7M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$50.3M

$46.7M

7.8%

$31.9M

16.4%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

KELLEHER FINANCIAL ADVISORS, LLC

Dec 31, 2015

Dec 17, 2015

NEW YORK, NY

Team lift out

Other

100.0%