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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

THOMAS AZZARA - TAY HAVEN REPORTER

AZZARA THOMAS PETER, CRD 151104

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:dd6c5530-7423-73f8-a184-e58138908ab3

Data as of Jun 29, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 0
Observed: Jul 16, 2012 to Jun 29, 2018
6 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 1
Advisory employees: 1
Offices: 1Schedule D 1.F, beyond the principal office
SEC number: 801-70770
CRD: 151104
Filings on the tape: 6
First filed: Jul 16, 2012
Latest filed: Jun 29, 2018
Organised: Sole Proprietorship

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
AZZARA, THOMAS, PETER	CHIEF COMPLIANCE OFFICER	E	yes	09/2009	Jul 16, 2012	Jun 29, 2018

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
2017	Jun 29, 2018	n/a	n/a	1	1	1	n/a	n/a
2016	Mar 28, 2017	$600,000	$300,000	1	1	n/a	n/a	n/a
2015	Feb 16, 2016	n/a	n/a	1	1	n/a	n/a	n/a
2013	May 23, 2014	n/a	n/a	1	1	n/a	n/a	n/a
2012	Apr 18, 2013	n/a	n/a	1	1	n/a	n/a	n/a
2011	Jul 16, 2012	n/a	n/a	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
2017	n/a	$600,000	n/a	n/a	n/a	1	1	1	n/a

Relationships

Controls (1)

← AZZARA, THOMAS, PETEROwnerCHIEF COMPLIANCE OFFICER, ownership code E, individual
Jul 16, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dd6c5530-7423-73f8-a184-e58138908ab3
First observed: Jul 16, 2012
Last observed: Jun 29, 2018 100 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.

THOMAS AZZARA - TAY HAVEN REPORTER

AZZARA THOMAS PETER, CRD 151104

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:dd6c5530-7423-73f8-a184-e58138908ab3

Data as of Jun 29, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:03 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AZZARA, THOMAS, PETER

CHIEF COMPLIANCE OFFICER

yes

09/2009

Jul 16, 2012

Jun 29, 2018

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Jun 29, 2018

n/a

2016

Mar 28, 2017

$600,000

$300,000

n/a

2015

Feb 16, 2016

n/a

2013

May 23, 2014

n/a

2012

Apr 18, 2013

n/a

2011

Jul 16, 2012

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

n/a

$600,000

n/a