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CRD 144594
STAMFORD, CT
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 |
|---|---|---|---|---|---|---|
| ARI MARK ROSENBAUM | n/a | STAMFORD, CT | 18 | 20 | 1 | no |
| CHRISTOPHER STRATTON LOVELESS | n/a | STAMFORD, CT | 18 | 31 | 1 | no |
| LENNY CASTAGNA | n/a | STAMFORD, CT | 18 | 20 | 1 | no |
| ERIN MARIE FOLEY | n/a | STAMFORD, CT | 18 | 30 | n/a | no |
| RONALD JOHN SCHULER | n/a | STAMFORD, CT | 18 | 26 | n/a | no |
| SCOTT MICHAEL BARTONE | Chartered Financial Analyst | STAMFORD, CT | 18 | 19 | 1 | no |
| PATRICK WALKER O'SHAUGHNESSY | n/a | STAMFORD, CT | 18 | 19 | n/a | no |
| CLAUDINE ANTOINETTE SPENCE | n/a | STAMFORD, CT | 18 | 19 | n/a | no |
| EHREN JONATHAN STANHOPE | Chartered Financial Analyst | STAMFORD, CT | 16 | 16 | n/a | no |
| PATRICK J MCSTAY | n/a | STAMFORD, CT | 11 | 13 | 1 | no |
| PAUL JON ACKERLEY | n/a | STAMFORD, CT | 10 | 11 | n/a | no |
| DANIEL H NITIUTOMO | Chartered Financial Analyst | STAMFORD, CT | 9 | 11 | n/a | no |
| ANDREW EASTMAN ILES | n/a | STAMFORD, CT | 7 | 12 | n/a | no |
| THOMAS JAMES FARRELL | n/a | STAMFORD, CT | 6 | 13 | n/a | no |
| MAKSIM VLADISLAVOVICH PAPENKOV | n/a | STAMFORD, CT | 5 | 11 | n/a | no |
| Claire McConnell Noel | Chartered Financial Analyst | STAMFORD, CT | 5 | 14 | n/a | no |
| Euan Mackay | Chartered Financial Analyst | STAMFORD, CT | 5 | 11 | n/a | no |
| Kristen Sue Clark | Chartered Financial Analyst | STAMFORD, CT | 4 | 11 | 1 | no |
| Andrea Marie OLoughlin | n/a | STAMFORD, CT | 4 | 17 | 1 | no |
| KRISTOPHER RYAN SMITH | Chartered Financial Analyst | STAMFORD, CT | 4 | 25 | n/a | no |
| ROGER NMN PARADISO | n/a | STAMFORD, CT | 4 | 31 | 6 | yes |
| THOMAS PATRICK CANALS | n/a | STAMFORD, CT | 4 | 12 | 1 | no |
| Laura Ann Foster | n/a | STAMFORD, CT | 3 | 12 | n/a | no |
| Anthony Vollmer | n/a | STAMFORD, CT | 3 | 19 | n/a | no |
| HAOQI NMN ZHANG | Chartered Financial Analyst | STAMFORD, CT | 3 | 12 | n/a | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| POSITIVE SUM CAPITAL LP | Venture Capital Fund | $80.5M | Nov 1, 2021 | 90 | Nov 9, 2020 | dropped | 021-377813 |
| O'SHAUGHNESSY PARI PASSU, LP | Hedge Fund | $8.4M | Aug 20, 2013 | 1 | Mar 18, 2013 | dropped | n/a |
| O'SHAUGHNESSY INTERNATIONAL MARKET LEADERS VALUE LP | Other Private Fund | $0 | Oct 30, 2019 | 0 | Mar 29, 2017 | dropped | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| AMOROSO III, RAYMOND, NMN | CHIEF COMPLIANCE OFFICER/PRINCIPAL | Na | yes | 01/2008 | Dec 16, 2025 | Dec 16, 2025 |
| BARTONE, SCOTT, MICHAEL | CHIEF PRODUCT OFFICER/CO-HEAD OF INVESTMENT MANAGEMENT/PORTFOLIO MANAGER/PRINCIPAL | Na | yes | 07/2013 | Dec 16, 2025 | Dec 16, 2025 |
| BERGGREN, BRADLEY, SCOTT | CO-CIO OF CANVAS MANAGED OPTIONS STRATEGIES/PORTFOLIO MANAGER/PRINCIPAL | Na | yes | 12/2025 | Dec 16, 2025 | Dec 16, 2025 |
| FOLEY, ERIN, MARIE | DIRECTOR OF TRADING/PRINCIPAL | Na | yes | 09/2007 | Dec 16, 2025 | Dec 16, 2025 |
| GUPTA, RAJAT, NMN | CHIEF TECHNOLOGY OFFICER/PRINCIPAL | Na | yes | 06/2022 | Dec 16, 2025 | Dec 16, 2025 |
| LOVELESS, CHRISTOPHER, | PRESIDENT/PRINCIPAL | Na | yes | 07/2007 | Dec 16, 2025 | Dec 16, 2025 |
| O'SHAUGHNESSY, PATRICK, | CHAIRMAN EMERITUS INVESTMENT MANAGEMENT/PORTFOLIO MANAGER/PRINCIPAL | Na | yes | 07/2013 | Dec 16, 2025 | Dec 16, 2025 |
| ORSECK, JONATHAN | CO-CIO OF CANVAS MANAGED OPTIONS STRATEGIES/PORTFOLIO MANAGER/PRINCIPAL | Na | yes | 12/2025 | Dec 16, 2025 | Dec 16, 2025 |
| PARADISO, ROGER, NMN | EXECUTIVE CHAIRMAN/PRINCIPAL | Na | yes | 06/2022 | Dec 16, 2025 | Dec 16, 2025 |
| ROSENBAUM, ARI, MARK | DIRECTOR OF PRIVATE WEALTH SOLUTIONS/PRINCIPAL | Na | yes | 07/2007 | Dec 16, 2025 | Dec 16, 2025 |
| SMITH, KRISTOPHER, RYAN | CHIEF OPERATING OFFICER/PRINCIPAL | Na | yes | 06/2022 | Dec 16, 2025 | Dec 16, 2025 |
| SPENCE, CLAUDINE, | DIRECTOR OF CLIENT SERVICE/PRINCIPAL | Na | yes | 01/2017 | Dec 16, 2025 | Dec 16, 2025 |
| FRANKLIN RESOURCES, INC. | MANAGING MEMBER | E | yes | 12/2021 | Feb 8, 2022 | Dec 17, 2024 |
| STANHOPE, EHREN, JONATHAN | CHIEF INVESTMENT STRATEGIST/CO-HEAD OF INVESTMENT MANAGEMENT/PORTFOLIO MANAGER/PRINCIPAL | Na | yes | 01/2015 | Mar 27, 2015 | Dec 17, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| FRANKLIN ADVISERS, INC. | n/a | Asset manager | $509B | N | yes | n/a |
| FRANKLIN TEMPLETON PRIVATE PORTFOLIO GROUP, LLC | n/a | Independent wealth | $140B | N | yes | n/a |
| FRANKLIN MANAGED OPTIONS STRATEGIES, LLC | n/a | Former SEC adviser | $973M | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2024 | Dec 17, 2024 | $13B | $13B | 81 | 47 | 0 | n/a | n/a |
| 2023 | Dec 15, 2023 | $8.0B | $8.0B | 70 | 40 | 0 | n/a | n/a |
| 2022 | Dec 19, 2022 | $6.3B | $6.3B | 60 | 30 | 0 | n/a | n/a |
| 2021 | May 2, 2022 | $6.9B | $6.9B | 43 | 23 | 0 | n/a | n/a |
| 2020 | Mar 31, 2021 | $4.8B | $4.8B | 35 | 21 | 0 | 1 | $80.5M |
| 2019 | Mar 30, 2020 | $5.7B | $5.7B | 33 | 20 | 0 | n/a | n/a |
| 2018 | Mar 28, 2019 | $5.1B | $5.1B | 32 | 18 | 1 | 1 | $0 |
| 2017 | Feb 27, 2018 | $5.7B | $5.7B | 31 | 19 | 1 | 1 | $0 |
| 2016 | Mar 29, 2017 | $5.3B | $5.3B | 33 | 18 | n/a | 1 | $0 |
| 2015 | Mar 31, 2016 | $5.4B | $5.4B | 40 | 23 | n/a | n/a | n/a |
| 2014 | Mar 27, 2015 | $7.0B | $7.0B | 40 | 21 | n/a | n/a | n/a |
| 2013 | Feb 27, 2014 | $6.5B | $6.5B | 35 | 21 | n/a | n/a | n/a |
| 2012 | Mar 18, 2013 | $4.9B | $4.9B | 29 | 16 | n/a | 1 | $8.4M |
| 2011 | Mar 28, 2012 | $4.4B | $4.4B | n/a | n/a | n/a | n/a | n/a |
| 2001 | Feb 8, 2022 | $6.9B | $6.9B | 43 | 23 | 0 | 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 |
|---|---|---|---|---|---|---|---|---|
| 3 | 0 | 3 | 0.0% | 0 | 0 | 0 | 6 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $20B | $8.0B | 147.8% | $6.9B | 42.2% | 103 | 70 | 0 | 0 |