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CRD 134411
HAUPPAUGE, NY
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 |
|---|---|---|---|---|---|---|
| F•••• E••••• H•••••• C•••• | HOLDING CORPORATION | E | yes | 07/2008 | Nov 28, 2011 | Jul 2, 2018 |
| F•••• E••••• H•••••• C•••• E••••••• S•••• O•••••••• T•••• | ESOP/OWNER | E | yes | 12/2012 | Mar 1, 2013 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| F•••• E••••• S••••••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| JERSEY CITY | NY | United States | 2 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2017 | $2.2B | $2.9B | -23.7% | $3.1B | -11.5% | 26 | 26 | 7 | n/a |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| S•••••• N••••••• • C••••••• I••••••••• | 14 | Jan 10, 2019 | May 26, 2021 | HAUPPAUGE, NY | Firm absorbed | Other | 93.3% |
| Jul 2, 2018 |
| O••••••• J•••••• S•••••• | President | Na | yes | 06/2008 | Nov 28, 2011 | Jul 2, 2018 |
| A••••••• G•••• M•••• | CHIEF COMPLIANCE OFFICER | Na | no | 06/2008 | Nov 28, 2011 | Jul 2, 2018 |
| F•••• B•••••• T•••• S••••••• I••• | Trustee | F | no | 12/2012 | Mar 1, 2013 | Jul 2, 2018 |
| Feb 22, 2018 |
| $2.2B |
| $0 |
| 26 |
| 5 |
| 7 |
| n/a |
| n/a |
| 2016 | Feb 24, 2017 | $2.9B | $0 | 26 | 6 | n/a | n/a | n/a |
| 2015 | Mar 17, 2016 | $3.2B | $0 | 26 | 6 | n/a | n/a | n/a |
| 2014 | Mar 24, 2015 | $3.1B | $0 | 26 | 6 | n/a | n/a | n/a |
| 2013 | Mar 17, 2014 | $3.6B | $0 | 32 | 6 | n/a | n/a | n/a |
| 2012 | Mar 1, 2013 | $4.6B | $0 | 32 | 6 | n/a | n/a | n/a |
| 2011 | Mar 21, 2012 | $4.7B | $13.1M | n/a | n/a | n/a | n/a | n/a |