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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

ALPINE WOODS CAPITAL INVESTORS, LLC

CRD 112496

PURCHASE, 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:e1869ef5-5f23-11fe-ad5c-c8770e6650e1

Data as of Apr 21, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 12
On other graphs: 0
Observed: Mar 30, 2012 to Apr 21, 2026
29 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: asset managerderivedprivate_client_share=0.0 fund_share=0.65 institutional_share=0.35 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $181MItem 5.F on the latest filing (2026-04-21); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $181M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 4
Private funds: 3Schedule D 7.B(1)
Custody, client assets: $117M
SEC number: 801-55110
CIK: 1226886
CRD: 112496
Filings on the tape: 29
First filed: Mar 30, 2012
Latest filed: Apr 21, 2026
Organised: Limited Liability Company, DE
Website: alpinesaxonwoods.com

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
ALPINE WOODS GROWTH VALUES, L.P.	Hedge Fund	$293M	Mar 27, 2024	37	Mar 30, 2012	reported	021-12956
ALPINE WOODS CAPITAL RETURN MASTERS LP	Hedge Fund	$50.7M	Mar 27, 2024	3	May 15, 2020	reported	021-354901
ALPINE WOODS MOMENTUM MASTERS	Hedge Fund	$46.6M	Mar 27, 2024	4	May 15, 2020	reported	021-354900
ALPINE WOODS GROWTH VALUES FINANCIAL EQUITIES, L.P.	Hedge Fund	$11.6M	Dec 12, 2019	16	Mar 30, 2012	dropped	021-12956
ALPINE WOODS GLOBAL GROWTH VALUES, L.P.	Hedge Fund	$8.9M	Apr 25, 2017	7	Mar 30, 2012	dropped	021-91119

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
ALPINE SAXON WOODS LLC	MANAGING MEMBER	E	yes	06/2022	Sep 20, 2022	Mar 27, 2024
BAEZ, ARLEEN, MARIE	CHIEF OPERATING OFFICER	C	yes	06/2008	Mar 30, 2012	Mar 27, 2024
BAEZ, ARLEEN, MARIE	Member	C	yes	06/2022	Mar 30, 2012	Mar 27, 2024
HENNESSEY, BRIAN, SCOTT	CHIEF INVESTMENT OFFICER	B	yes	06/2022	Sep 20, 2022	Mar 27, 2024
HUNT, SARAH, MARIE	CHIEF MARKET STRATEGIST	B	yes	06/2022	Sep 20, 2022	Mar 27, 2024
NORRIS, SUSAN, CONWAY	CHIEF COMPLIANCE OFFICER	Na	yes	05/2018	Feb 15, 2013	Mar 27, 2024
SPELLMAN, MARK, THOMAS	Member	C	yes	06/2022	Sep 20, 2022	Mar 27, 2024
SPELLMAN, MARK, THOMAS	CHIEF EXECUTIVE OFFICER	C	yes	06/2022	Sep 20, 2022	Mar 27, 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
SAXON WOODS ADVISORS LLC	n/a	Mixed wealth	$670M	N	yes	n/a
ALPINE WOODS ADVISORS, LLC	n/a	n/a	n/a	N	yes	n/a
ALPINE WOODS MASTERS FUNDS GP LLC	n/a	n/a	n/a	N	yes	n/a

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; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 21, 2026	$181M	$181M	12	3	0	3	n/a
2024	Mar 31, 2025	$364M	$364M	12	3	0	3	n/a
2023	Mar 27, 2024	$390M	$390M	14	3	0	3	$390M
2022	Mar 31, 2023	$361M	$361M	15	3	0	3	$361M
2021	Mar 28, 2022	$513M	$513M	17	3	0	3	$574M
2020	Mar 31, 2021	$475M	$475M	17	3	0	3	$475M
2019	May 15, 2020	$363M	$363M	17	3	0	3	$363M
2018	Mar 29, 2019	$231M	$231M	26	9	1	2	$246M
2017	Mar 29, 2018	$4.1B	$4.1B	45	16	1	2	$249M
2016	Mar 31, 2017	$3.9B	$3.9B	50	20	n/a	3	$205M
2015	Mar 30, 2016	$3.7B	$3.7B	59	21	n/a	3	$200M
2014	Mar 31, 2015	$4.2B	$4.2B	63	21	n/a	3	$198M
2013	Mar 31, 2014	$4.5B	$4.5B	67	23	n/a	3	$178M
2012	Mar 27, 2013	$4.8B	$4.8B	64	20	n/a	3	$131M
2011	Mar 30, 2012	$5.2B	$5.2B	n/a	n/a	n/a	3	$114M

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	$181M	$364M	-50.4%	$361M	-20.6%	12	12	0	0

Relationships

Affiliated with (2)

→ ALPINE SAXON WOODSRegistered adviserother investment adviser, common control
factForm ADV
← ALPINE SAXON WOODSRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Advises (5)

→ ALPINE WOODS CAPITAL RETURN MASTERS LPPrivate fundHedge Fund, IA
May 15, 2020 to presentfactForm ADV
→ ALPINE WOODS GROWTH VALUES, L.P.Private fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ ALPINE WOODS MOMENTUM MASTERSPrivate fundHedge Fund, IA
May 15, 2020 to presentfactForm ADV
→ ALPINE WOODS GROWTH VALUES FINANCIAL EQUITIES, L.P.Private fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Dec 12, 2019factForm ADV
→ ALPINE WOODS GLOBAL GROWTH VALUES, L.P.Private fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Apr 25, 2017factForm ADV

Controls (6)

← NORRIS, SUSAN, CONWAYOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 15, 2013 to Mar 27, 2024factForm ADV
← SPELLMAN, MARK, THOMASOwnerMEMBER, ownership code C, individual
Sep 20, 2022 to Mar 27, 2024factForm ADV
← BAEZ, ARLEEN, MARIEOwnerMEMBER, ownership code C, individual
Mar 30, 2012 to Mar 27, 2024factForm ADV
← HUNT, SARAH, MARIEOwnerCHIEF MARKET STRATEGIST, ownership code B, individual
Sep 20, 2022 to Mar 27, 2024factForm ADV
← HENNESSEY, BRIAN, SCOTTOwnerCHIEF INVESTMENT OFFICER, ownership code B, individual
Sep 20, 2022 to Mar 27, 2024factForm ADV
← ALPINE SAXON WOODS LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Sep 20, 2022 to Mar 27, 2024factForm ADV

Dated events

Occurred
Mar 30, 2026
Regulatory AUM changed
Alpine Woods Capital Investors, Llc reported RAUM $180.6M, down 50% from $364.1M (2025-03-31 to 2026-03-30)
Form ADVobserved 6 days ago
$-183M
Occurred
Dec 13, 2023
Control person left
Chanfu Joe Caruso (Chief Financial Officer) no longer on Schedule A of Alpine Woods Capital Investors, Llc (listed 2023-03-31, absent 2023-12-13)
Form ADVobserved 6 days ago
Occurred
Mar 31, 2023
Regulatory AUM changed
Alpine Woods Capital Investors, Llc reported RAUM $360.9M, down 30% from $513.0M (2022-09-20 to 2023-03-31)
Form ADVobserved 6 days ago
$-152M
Occurred
Sep 20, 2022
Control person joined
Thomas Mark Spellman (Chief Executive Officer) appeared on Schedule A of Alpine Woods Capital Investors, Llc
Form ADVobserved 6 days ago
Occurred
Sep 20, 2022
Control person joined
Marie Sarah Hunt (Chief Market Strategist) appeared on Schedule A of Alpine Woods Capital Investors, Llc
Form ADVobserved 6 days ago
Occurred
Sep 20, 2022
Control person joined
Scott Brian Hennessey (Chief Investment Officer) appeared on Schedule A of Alpine Woods Capital Investors, Llc
Form ADVobserved 6 days ago
Occurred
Mar 31, 2021
Regulatory AUM changed
Alpine Woods Capital Investors, Llc reported RAUM $475.0M, up 31% from $363.4M (2020-06-12 to 2021-03-31)
Form ADVobserved 6 days ago
$112M
Occurred
Mar 31, 2021
Control person left
Andrew Stephen Lieber (Member) no longer on Schedule A of Alpine Woods Capital Investors, Llc (listed 2020-06-12, absent 2021-03-31)
Form ADVobserved 6 days ago
Occurred
May 15, 2020
Regulatory AUM changed
Alpine Woods Capital Investors, Llc reported RAUM $363.4M, up 58% from $230.7M (2019-12-12 to 2020-05-15)
Form ADVobserved 6 days ago
$133M
Occurred
Jul 30, 2019
Control person left
Alfred Samuel Lieber (Chief Executive Officer) no longer on Schedule A of Alpine Woods Capital Investors, Llc (listed 2019-03-29, absent 2019-07-30)
Form ADVobserved 6 days ago
Occurred
Mar 29, 2019
Control person joined
Chanfu Joe Caruso (Chief Financial Officer) appeared on Schedule A of Alpine Woods Capital Investors, Llc
Form ADVobserved 6 days ago
Occurred
May 31, 2018
Regulatory AUM changed
Alpine Woods Capital Investors, Llc reported RAUM $258.5M, down 94% from $4.1B (2018-03-29 to 2018-05-31)
Form ADVobserved 6 days ago
$-3.9B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e1869ef5-5f23-11fe-ad5c-c8770e6650e1
First observed: Mar 30, 2012
Last observed: Apr 21, 2026 5 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.

ALPINE WOODS CAPITAL INVESTORS, LLC

CRD 112496

PURCHASE, 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:e1869ef5-5f23-11fe-ad5c-c8770e6650e1

Data as of Apr 21, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:32 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

ALPINE WOODS GROWTH VALUES, L.P.

Hedge Fund

$293M

Mar 27, 2024

Mar 30, 2012

reported

021-12956

ALPINE WOODS CAPITAL RETURN MASTERS LP

Hedge Fund

$50.7M

Mar 27, 2024

May 15, 2020

reported

021-354901

ALPINE WOODS MOMENTUM MASTERS

Hedge Fund

$46.6M

Mar 27, 2024

May 15, 2020

reported

021-354900

ALPINE WOODS GROWTH VALUES FINANCIAL EQUITIES, L.P.

Hedge Fund

$11.6M

Dec 12, 2019

Mar 30, 2012

dropped

021-12956

ALPINE WOODS GLOBAL GROWTH VALUES, L.P.

Hedge Fund

$8.9M

Apr 25, 2017

Mar 30, 2012

dropped

021-91119

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALPINE SAXON WOODS LLC

MANAGING MEMBER

yes

06/2022

Sep 20, 2022

Mar 27, 2024

BAEZ, ARLEEN, MARIE

CHIEF OPERATING OFFICER

yes

06/2008

Mar 30, 2012

Mar 27, 2024

BAEZ, ARLEEN, MARIE

Member

yes

06/2022

Mar 30, 2012

Mar 27, 2024

HENNESSEY, BRIAN, SCOTT

CHIEF INVESTMENT OFFICER

yes

06/2022

Sep 20, 2022

Mar 27, 2024

HUNT, SARAH, MARIE

CHIEF MARKET STRATEGIST

yes

06/2022

Sep 20, 2022

Mar 27, 2024

NORRIS, SUSAN, CONWAY

CHIEF COMPLIANCE OFFICER

yes

05/2018

Feb 15, 2013

Mar 27, 2024

SPELLMAN, MARK, THOMAS

Member

yes

06/2022

Sep 20, 2022

Mar 27, 2024

SPELLMAN, MARK, THOMAS

CHIEF EXECUTIVE OFFICER

yes

06/2022

Sep 20, 2022

Mar 27, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SAXON WOODS ADVISORS LLC

n/a

Mixed wealth

$670M

yes

n/a

ALPINE WOODS ADVISORS, LLC

n/a

yes

n/a

ALPINE WOODS MASTERS FUNDS GP LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 21, 2026

$181M

n/a

2024

Mar 31, 2025

$364M

n/a

2023

Mar 27, 2024

$390M

2022

Mar 31, 2023

$361M

2021

Mar 28, 2022

$513M

$574M

2020

Mar 31, 2021

$475M

2019

May 15, 2020

$363M

2018

Mar 29, 2019

$231M

$246M

2017

Mar 29, 2018

$4.1B

$249M

2016

Mar 31, 2017

$3.9B

n/a

$205M

2015

Mar 30, 2016

$3.7B

n/a

$200M

2014

Mar 31, 2015

$4.2B

n/a

$198M

2013

Mar 31, 2014

$4.5B

n/a

$178M

2012

Mar 27, 2013

$4.8B

n/a

$131M

2011

Mar 30, 2012

$5.2B

n/a

$114M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$181M

$364M

-50.4%

$361M

-20.6%