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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

MARATHON TRADING INVESTMENT MANAGEMENT LLC

CRD 170771

WAYNE, PA

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:e2848a9c-ba2a-a185-90d1-597bb8b770cd

Data as of Aug 27, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Jan 2, 2015 to Aug 27, 2019
11 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
Regulatory AUM: $379MItem 5.F on the latest filing (2019-08-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $379M
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: 9
Advisory employees: 6
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 2
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $379Mgross asset value as reported per fund; never fund size
Custody, client assets: $64.1M
SEC number: 801-80827
CRD: 170771
Filings on the tape: 11
First filed: Jan 2, 2015
Latest filed: Aug 27, 2019
Organised: Limited Liability Company, Delaware

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
MARATHON TRADING FUND L.P.	Hedge Fund	$379M	Aug 27, 2019	26	Mar 17, 2014	reported	021-178414
MARATHON TRADING GROUP LLC	Hedge Fund	$50.1M	Mar 17, 2014	1	Mar 17, 2014	dropped	n/a

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
GORDON, ROBERT, IRA	CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER AND MANAGING MEMBER	C	yes	02/2012	Jan 2, 2015	Aug 27, 2019
VISCARDO, PETER, JAMES	CHIEF EXECUTIVE OFFICER AND MANAGING MEMBER	E	yes	02/2012	Jan 2, 2015	Aug 27, 2019

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
MARATHON TRADING GROUP LLC	n/a	n/a	n/a	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	2	no
Denver	Co	United States	1	no

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
2018	Mar 22, 2019	$379M	$379M	9	6	2	1	$379M
2017	Mar 29, 2018	$1.1B	$1.1B	10	8	1	1	$1.1B
2016	Mar 30, 2017	$280M	$280M	9	7	n/a	1	$280M
2015	Mar 14, 2016	$276M	$276M	9	6	n/a	1	$276M

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
2018	$379M	$1.1B	-67.0%	$276M	11.2%	9	10	2	1

Relationships

Advises (2)

→ MARATHON TRADING FUND L.P.Private fundHedge Fund, IA
Mar 17, 2014 to presentfactForm ADV
→ MARATHON TRADING GROUP LLCPrivate fundHedge Fund, ERA, no longer reported
Mar 17, 2014 to Mar 17, 2014factForm ADV

Controls (2)

← GORDON, ROBERT, IRAOwnerCHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER AND MANAGING MEMBER, ownership code C, individual
Jan 2, 2015 to presentfactForm ADV
← VISCARDO, PETER, JAMESOwnerCHIEF EXECUTIVE OFFICER AND MANAGING MEMBER, ownership code E, individual
Jan 2, 2015 to presentfactForm ADV

Dated events

Occurred
Mar 22, 2019
Regulatory AUM changed
Marathon Trading Investment Management Llc reported RAUM $378.6M, down 67% from $1.1B (2018-03-29 to 2019-03-22)
Form ADVobserved 4 days ago
$-770M
Occurred
Mar 29, 2018
Regulatory AUM changed
Marathon Trading Investment Management Llc reported RAUM $1.1B, up 310% from $280.2M (2017-03-30 to 2018-03-29)
Form ADVobserved 4 days ago
$868M
Occurred
Jan 2, 2015
First Form ADV filing
Marathon Trading Investment Management Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e2848a9c-ba2a-a185-90d1-597bb8b770cd
First observed: Jan 2, 2015
Last observed: Aug 27, 2019 86 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.

MARATHON TRADING INVESTMENT MANAGEMENT LLC

CRD 170771

WAYNE, PA

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:e2848a9c-ba2a-a185-90d1-597bb8b770cd

Data as of Aug 27, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:04 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

MARATHON TRADING FUND L.P.

Hedge Fund

$379M

Aug 27, 2019

Mar 17, 2014

reported

021-178414

MARATHON TRADING GROUP LLC

Hedge Fund

$50.1M

Mar 17, 2014

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GORDON, ROBERT, IRA

CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER AND MANAGING MEMBER

yes

02/2012

Jan 2, 2015

Aug 27, 2019

VISCARDO, PETER, JAMES

CHIEF EXECUTIVE OFFICER AND MANAGING MEMBER

yes

02/2012

Jan 2, 2015

Aug 27, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MARATHON TRADING GROUP LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

Denver

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 22, 2019

$379M

2017

Mar 29, 2018

$1.1B

2016

Mar 30, 2017

$280M

n/a

$280M

2015

Mar 14, 2016

$276M

n/a

$276M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$379M

$1.1B

-67.0%

$276M

11.2%