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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

NEEDHAM & COMPANY, LLC

CRD 16360

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:d08d52cd-800f-ee24-0956-32ba2d373454

Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 5
On other graphs: 1
Observed: Mar 21, 2012 to Mar 19, 2026
26 observations

Across DFX

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

Venture Capitalidentity

Needham & Company, LLC

Venture manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=172.0
Regulatory AUM: $0Item 5.F on the latest filing (2026-03-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 4
Employees: 195
Advisory employees: 57
Offices: 4Schedule D 1.F, beyond the principal office
Accounts: 0
Individual clients: 0
High net worth clients: 0
SEC number: 801-62735
CRD: 16360
Filings on the tape: 26
First filed: Mar 21, 2012
Latest filed: Mar 19, 2026
Organised: Limited Liability Company, DE
Website: needhamco.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
William Joseph DeJianne	n/a	Long Beach Township, NJ \| NEW YORK, NY	5	32	1	yes
John Morato Juco	n/a	NEW YORK, NY \| Little Silver, NJ	3	32	3	yes
David Michael Laufer	n/a	Garden City, NY \| NEW YORK, NY	3	24	2	yes
Jonathan R Wilsusen	n/a	NEW YORK, NY \| Rockville Centre, NY	3	14	2	yes

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
ABBRUZZESE, JAMES MICHAEL	MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER & ACTING HEAD OF SALES	Na	yes	03/2012	Mar 21, 2012	Jun 24, 2024
FIORDALISO, ROBERT JOSEPH	MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER	Na	yes	02/2011	Mar 21, 2012	Jun 24, 2024
IACOVONE, JACK JAMES	MANAGING DIRECTOR, CEO & HEAD OF INVESTMENT BANKING	B	yes	01/2022	Mar 21, 2012	Jun 24, 2024
LAUFER, DAVID MICHAEL	MANAGING DIRECTOR, HEAD OF TRADING & SALES TRADING	Na	yes	12/2020	Mar 29, 2021	Jun 24, 2024
MALIK, ANDREW JOSEPH	MANAGING DIRECTOR, CHAIRMAN	Na	yes	04/2008	Mar 21, 2012	Jun 24, 2024
MALLOY, JOHN PATRICK	MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH	Na	yes	11/2018	Mar 13, 2020	Jun 24, 2024
MALONEY, THOMAS ANTHONY	MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH	Na	yes	02/2007	Mar 29, 2018	Jun 24, 2024
MERLINO, SALVATORE ANTHONY	MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER	Na	yes	03/2012	Mar 21, 2012	Jun 24, 2024
NEEDHAM HOLDINGS, LLC	Member	E	yes	04/2005	Mar 21, 2012	Jun 24, 2024
NEEDHAM, GEORGE AUSTIN	Shareholder	F	yes	12/2004	Mar 21, 2012	Jun 24, 2024
PRIOR, JOHN JOSEPH JR	MANAGING DIRECTOR, CEO OF THE NEEDHAM GROUP, INC.	B	yes	01/2022	Mar 21, 2012	Jun 24, 2024
THE NEEDHAM GROUP, INC.	Member	E	yes	12/2004	Mar 21, 2012	Jun 24, 2024

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
NEEDHAM INVESTMENT MANAGEMENT, LLC	n/a	Asset manager	$1.8B	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Boston	Ma	United States	8	yes
Minnetonka	Mn	United States	7	yes
SAN FRANCISCO	CA	United States	5	yes
Miami	FL	United States	0	yes
Chicago	IL	United States	0	yes

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
2025	Mar 19, 2026	$0	$0	195	57	4	n/a	n/a
2024	Mar 27, 2025	$0	$0	185	51	4	n/a	n/a
2023	Mar 28, 2024	n/a	n/a	170	45	5	n/a	n/a
2022	Mar 30, 2023	n/a	n/a	170	45	5	n/a	n/a
2021	Mar 24, 2022	n/a	n/a	170	45	3	n/a	n/a
2020	Mar 29, 2021	n/a	n/a	154	35	3	n/a	n/a
2019	Mar 13, 2020	n/a	n/a	145	35	3	n/a	n/a
2018	Mar 27, 2019	n/a	n/a	140	35	3	n/a	n/a
2017	Mar 29, 2018	n/a	n/a	137	33	3	n/a	n/a
2016	Mar 30, 2017	n/a	n/a	139	32	n/a	n/a	n/a
2015	Mar 28, 2016	n/a	n/a	144	30	n/a	n/a	n/a
2014	Mar 26, 2015	n/a	n/a	135	33	n/a	n/a	n/a
2013	Mar 26, 2014	n/a	n/a	135	34	n/a	n/a	n/a
2012	Mar 28, 2013	n/a	n/a	140	30	n/a	n/a	n/a
2011	Mar 21, 2012	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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	0	1

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
2025	$0	$0	n/a	n/a	n/a	195	185	4	4

Relationships

Affiliated with (3)

← NEEDHAM INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, broker-dealer, pooled vehicle sponsor, common control
factForm ADV
→ NEEDHAM INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← NEEDHAM CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser, broker-dealer, pooled vehicle sponsor, common control
factForm ADV

Registered with (5)

← Jonathan R WilsusenAdvisorregistration: current employment
Feb 23, 2023 to presentfactForm ADV
← David Michael LauferAdvisorregistration: current employment
Feb 15, 2023 to presentfactForm ADV
← John Morato JucoAdvisorregistration: current employment
Oct 13, 2022 to presentfactForm ADV
← William Joseph DeJianneAdvisorregistration: current employment
Mar 20, 2021 to presentfactForm ADV
← MAXIMILIAN CAVALLOAdvisorregistration: previous registration
Sep 15, 2022 to Apr 2, 2025factForm ADV

Controls (12)

← PRIOR, JOHN JOSEPH JROwnerMANAGING DIRECTOR, CEO OF THE NEEDHAM GROUP, INC., ownership code B, individual
Mar 21, 2012 to Jun 24, 2024factForm ADV
← MALONEY, THOMAS ANTHONYOwnerMANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH, ownership code NA, individual
Mar 29, 2018 to Jun 24, 2024factForm ADV
← FIORDALISO, ROBERT JOSEPHOwnerMANAGING DIRECTOR, CHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 21, 2012 to Jun 24, 2024factForm ADV
← IACOVONE, JACK JAMESOwnerMANAGING DIRECTOR, CEO & HEAD OF INVESTMENT BANKING, ownership code B, individual
Mar 21, 2012 to Jun 24, 2024factForm ADV
← ABBRUZZESE, JAMES MICHAELOwnerMANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER & ACTING HEAD OF SALES, ownership code NA, individual
Mar 21, 2012 to Jun 24, 2024factForm ADV
← MALIK, ANDREW JOSEPHOwnerMANAGING DIRECTOR, CHAIRMAN, ownership code NA, individual
Mar 21, 2012 to Jun 24, 2024factForm ADV
← NEEDHAM, GEORGE AUSTINOwnerSHAREHOLDER, ownership code F, individual
Mar 21, 2012 to Jun 24, 2024factForm ADV
← LAUFER, DAVID MICHAELOwnerMANAGING DIRECTOR, HEAD OF TRADING & SALES TRADING, ownership code NA, individual
Mar 29, 2021 to Jun 24, 2024factForm ADV
← MERLINO, SALVATORE ANTHONYOwnerMANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 21, 2012 to Jun 24, 2024factForm ADV
← MALLOY, JOHN PATRICKOwnerMANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH, ownership code NA, individual
Mar 13, 2020 to Jun 24, 2024factForm ADV
← NEEDHAM HOLDINGS, LLCOwnerMEMBER, ownership code E, domestic entity
Mar 21, 2012 to Jun 24, 2024factForm ADV
← THE NEEDHAM GROUP, INC.OwnerMEMBER, ownership code E, domestic entity
Mar 21, 2012 to Jun 24, 2024factForm ADV

Dated events

Occurred
Apr 2, 2025
Advisor changed firm
Maximilian Cavallo left Needham & Company, Llc for Northbridge Wealth Management Llc (registered 2026-05-13)
Form ADVobserved 4 days ago
Occurred
Mar 24, 2022
Control person left
Grigorios Giannakopoulos (Managing Director, Head Of Sales & Sales Trading) no longer on Schedule A of Needham & Company, Llc (listed 2021-04-26, absent 2022-03-24)
Form ADVobserved 4 days ago
Occurred
Mar 29, 2021
Control person joined
David Michael Laufer (Managing Director, Head Of Trading) appeared on Schedule A of Needham & Company, Llc
Form ADVobserved 4 days ago
Occurred
Mar 13, 2020
Control person left
John Jr Lazo (Managing Director, Head Of Trading) no longer on Schedule A of Needham & Company, Llc (listed 2019-03-27, absent 2020-03-13)
Form ADVobserved 4 days ago
Occurred
Mar 13, 2020
Control person joined
John Patrick Malloy (Managing Director, Co-Director Of Research) appeared on Schedule A of Needham & Company, Llc
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d08d52cd-800f-ee24-0956-32ba2d373454
First observed: Mar 21, 2012
Last observed: Mar 19, 2026 6 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.

NEEDHAM & COMPANY, LLC

CRD 16360

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:d08d52cd-800f-ee24-0956-32ba2d373454

Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:25 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

William Joseph DeJianne

n/a

Long Beach Township, NJ | NEW YORK, NY

yes

John Morato Juco

n/a

NEW YORK, NY | Little Silver, NJ

yes

David Michael Laufer

n/a

Garden City, NY | NEW YORK, NY

yes

Jonathan R Wilsusen

n/a

NEW YORK, NY | Rockville Centre, NY

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ABBRUZZESE, JAMES MICHAEL

MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER & ACTING HEAD OF SALES

yes

03/2012

Mar 21, 2012

Jun 24, 2024

FIORDALISO, ROBERT JOSEPH

MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER

yes

02/2011

Mar 21, 2012

Jun 24, 2024

IACOVONE, JACK JAMES

MANAGING DIRECTOR, CEO & HEAD OF INVESTMENT BANKING

yes

01/2022

Mar 21, 2012

Jun 24, 2024

LAUFER, DAVID MICHAEL

MANAGING DIRECTOR, HEAD OF TRADING & SALES TRADING

yes

12/2020

Mar 29, 2021

Jun 24, 2024

MALIK, ANDREW JOSEPH

MANAGING DIRECTOR, CHAIRMAN

yes

04/2008

Mar 21, 2012

Jun 24, 2024

MALLOY, JOHN PATRICK

MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH

yes

11/2018

Mar 13, 2020

Jun 24, 2024

MALONEY, THOMAS ANTHONY

MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH

yes

02/2007

Mar 29, 2018

Jun 24, 2024

MERLINO, SALVATORE ANTHONY

MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER

yes

03/2012

Mar 21, 2012

Jun 24, 2024

NEEDHAM HOLDINGS, LLC

Member

yes

04/2005

Mar 21, 2012

Jun 24, 2024

NEEDHAM, GEORGE AUSTIN

Shareholder

yes

12/2004

Mar 21, 2012

Jun 24, 2024

PRIOR, JOHN JOSEPH JR

MANAGING DIRECTOR, CEO OF THE NEEDHAM GROUP, INC.

yes

01/2022

Mar 21, 2012

Jun 24, 2024

THE NEEDHAM GROUP, INC.

Member

yes

12/2004

Mar 21, 2012

Jun 24, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

NEEDHAM INVESTMENT MANAGEMENT, LLC

n/a

Asset manager

$1.8B

yes

n/a

City

State

Country

Employees

Also broker-dealer

Boston

United States

yes

Minnetonka

United States

yes

SAN FRANCISCO

United States

yes

Miami

United States

yes

Chicago

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 19, 2026

195

n/a

2024

Mar 27, 2025

185

n/a

2023

Mar 28, 2024

n/a

170

n/a

2022

Mar 30, 2023

n/a

170

n/a

2021

Mar 24, 2022

n/a

170

n/a

2020

Mar 29, 2021

n/a

154

n/a

2019

Mar 13, 2020

n/a

145

n/a

2018

Mar 27, 2019

n/a

140

n/a

2017

Mar 29, 2018

n/a

137

n/a

2016

Mar 30, 2017

n/a

139

n/a

2015

Mar 28, 2016

n/a

144

n/a

2014

Mar 26, 2015

n/a

135

n/a

2013

Mar 26, 2014

n/a

135

n/a

2012

Mar 28, 2013

n/a

140

n/a

2011

Mar 21, 2012

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%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

n/a

195

185