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Reading the graph
CRD 108116
STAMFORD, CT
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 |
|---|---|---|---|---|---|---|
| LAIDLAW, DAVID, KENNEDY | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | E | yes | 09/1998 | Mar 15, 2012 | Mar 29, 2016 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| EAGLE RIDGE INVESTMENT MANAGEMENT LLC | n/a | Former SEC adviser | $1.2B | Y | yes | n/a |
| EAST PIER CAPITAL, LP | n/a | n/a | n/a | N | yes | Ct |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2015 | Mar 29, 2016 | $36.3M | $4.1M | 1 | 1 | n/a | n/a | n/a |
| 2014 | Mar 6, 2015 | $293M | $244M | 5 | 3 | n/a | 1 | $1.3M |
| 2013 | Mar 20, 2014 | $265M | $215M | 5 | 3 | n/a | 1 | $1.3M |
| 2012 | Mar 12, 2013 | $239M | $191M | 4 | 2 | n/a | 1 | $976,032 |
| 2011 | Mar 15, 2012 | $208M | $160M | n/a | n/a | n/a | 1 | $928,490 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2015 | $36.3M | $293M | -87.6% | $239M | -46.7% | 1 | 5 | n/a | n/a |