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

ASSET ALLIANCE ADVISORS INC.

CRD 113598

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:cd2c2f7e-7250-4377-cd00-0195ff0defc3

Data as of Dec 4, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Nov 17, 2011 to Dec 4, 2015
15 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: $26.8MItem 5.F on the latest filing (2015-12-04); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $26.8M
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
Employees: 10
Advisory employees: 4
Accounts: 25
Custody, client assets: $26.8M
SEC number: 801-60349
CRD: 113598
Filings on the tape: 15
First filed: Nov 17, 2011
Latest filed: Dec 4, 2015
Organised: Corporation, 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
ASSET ALLIANCE CORPORATION	SHAREHOLDER IN AAHC	E	yes	06/1996	Nov 17, 2011	Dec 4, 2015
ASSET ALLIANCE HOLDING CORP.	SHAREHOLDER IN AAA INC.	E	yes	09/1997	Nov 17, 2011	Dec 4, 2015
GORIN, NATHAN, CHARLES	Cfo	Na	yes	03/2015	Mar 31, 2015	Dec 4, 2015
LIPNICK, BRUCE, HOWARD	CHIEF EXECUTIVE OFFICER & CCO	Na	yes	09/1997	Nov 17, 2011	Dec 4, 2015
WU, XIN	EXECUTIVE VICE PRESIDENT	Na	yes	06/2002	Mar 27, 2014	Dec 4, 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
HEDGE HARBOR INC.	n/a	n/a	n/a	N	yes	n/a
LINDI GUI	n/a	n/a	n/a	Y	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 31, 2015	$26.8M	$26.8M	10	4	n/a	n/a	n/a
2013	Mar 27, 2014	$31.4M	$31.4M	10	6	n/a	n/a	n/a
2012	Mar 25, 2013	$39.7M	$39.7M	8	6	n/a	n/a	n/a
2011	Mar 29, 2012	$43.4M	$43.4M	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
2014	$26.8M	$31.4M	-14.7%	$43.4M	-14.8%	10	10	n/a	n/a

Relationships

Controls (5)

← LIPNICK, BRUCE, HOWARDOwnerCHIEF EXECUTIVE OFFICER & CCO, ownership code NA, individual
Nov 17, 2011 to presentfactForm ADV
← GORIN, NATHAN, CHARLESOwnerCFO, ownership code NA, individual
Mar 31, 2015 to presentfactForm ADV
← WU, XINOwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual
Mar 27, 2014 to presentfactForm ADV
← ASSET ALLIANCE CORPORATIONOwnerSHAREHOLDER IN AAHC, ownership code E, domestic entity
Nov 17, 2011 to presentfactForm ADV
← ASSET ALLIANCE HOLDING CORP.OwnerSHAREHOLDER IN AAA INC., ownership code E, domestic entity
Nov 17, 2011 to presentfactForm ADV

Registered with (1)

← BARRY JOSEPH KLARBERGAdvisorregistration: previous registration
Jan 27, 2011 to Dec 4, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cd2c2f7e-7250-4377-cd00-0195ff0defc3
First observed: Nov 17, 2011
Last observed: Dec 4, 2015 131 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.

ASSET ALLIANCE ADVISORS INC.

CRD 113598

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:cd2c2f7e-7250-4377-cd00-0195ff0defc3

Data as of Dec 4, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:15 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ASSET ALLIANCE CORPORATION

SHAREHOLDER IN AAHC

yes

06/1996

Nov 17, 2011

Dec 4, 2015

ASSET ALLIANCE HOLDING CORP.

SHAREHOLDER IN AAA INC.

yes

09/1997

Nov 17, 2011

Dec 4, 2015

GORIN, NATHAN, CHARLES

Cfo

yes

03/2015

Mar 31, 2015

Dec 4, 2015

LIPNICK, BRUCE, HOWARD

CHIEF EXECUTIVE OFFICER & CCO

yes

09/1997

Nov 17, 2011

Dec 4, 2015

WU, XIN

EXECUTIVE VICE PRESIDENT

yes

06/2002

Mar 27, 2014

Dec 4, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

HEDGE HARBOR INC.

n/a

yes

n/a

LINDI GUI

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 31, 2015

$26.8M

n/a

2013

Mar 27, 2014

$31.4M

n/a

2012

Mar 25, 2013

$39.7M

n/a

2011

Mar 29, 2012

$43.4M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$26.8M

$31.4M

-14.7%

$43.4M

-14.8%

n/a