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CRD 286663
BETHLEHEM, PA
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 |
|---|---|---|---|---|---|---|
| Fungard, Todd, Robert | CHIEF INVESTMENT OFFICER | Na | yes | 01/2017 | Feb 9, 2017 | Mar 1, 2019 |
| MCQUEEN, BALL & ASSOCIATES INC. | MANAGING MEMBER | E | yes | 01/2017 | Feb 9, 2017 | Mar 1, 2019 |
| MCQUEEN, JERRY, BLAINE | OWNER WITHIN MCQUEEN, BALL & ASSOCIATES, INC | D | yes | 07/1981 | Feb 9, 2017 | Mar 1, 2019 |
| MCQUEEN, JERRY, BLAINE | President | Na | yes | 01/2017 | Feb 9, 2017 | Mar 1, 2019 |
| POLTER, SCOTT, ERIC | CHIEF COMPLIANCE OFFICER | Na | yes | 01/2017 | Feb 9, 2017 | Mar 1, 2019 |
| SCHULTZ, WILLIAM, JOHN | MANAGING DIRECTOR | Na | yes | 01/2017 | Feb 9, 2017 | Mar 1, 2019 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| MCQUEEN, BALL & ASSOCIATES INC. | n/a | Former SEC adviser | $1.2B | Y | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2018 | Mar 1, 2019 | $8.4M | $8.4M | 4 | 3 | 0 | n/a | n/a |
| 2017 | Mar 13, 2018 | $8.0M | $8.0M | 4 | 3 | 0 | 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 |
|---|---|---|---|---|---|---|---|---|---|
| 2018 | $8.4M | $8.0M | 5.5% | n/a | n/a | 4 | 4 | 0 | 0 |