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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

SIEBERT INVESTMENT ADVISORS, INC.

CRD 169231

NEW YORK, 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:e2b3ff0f-e734-2fba-f411-cb138b91afec

Data as of Jun 29, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Jan 27, 2014 to Jun 29, 2017
23 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: $57.3MItem 5.F on the latest filing (2017-06-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $57.3M
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: 5
Advisory employees: 3
Accounts: 16
SEC number: 801-81100
CRD: 169231
Filings on the tape: 23
First filed: Jan 27, 2014
Latest filed: Jun 29, 2017
Organised: Corporation, New York

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
GEBBIA, GLORIA, ESTELLE	Owner	C	yes	12/2016	Mar 30, 2017	Jun 29, 2017
KENNEDY CABOT ACQUISITION, LLC	Owner	E	yes	12/2016	Mar 30, 2017	Jun 29, 2017
REICH, ANDREW, HENRY	PRESIDENT, FINANCIAL OFFICER	Na	yes	12/2016	Dec 16, 2016	Jun 29, 2017
SIEBERT FINANCIAL CORPORATION	PUBLIC HOLDING COMPANY	E	yes	11/1996	Jan 27, 2014	Jun 29, 2017
BONO, RONALD, ROSS	Cco	Na	no	06/2017	Jun 29, 2017	Jun 29, 2017
MALEK, MARK, PETER	CHIEF INVESTMENT OFFICER	Na	no	02/2017	Mar 30, 2017	Jun 29, 2017

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
MURIEL SIEBERT & CO., INC.	n/a	n/a	n/a	N	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
BOCA RATON	FL	United States	n/a	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
2016	Mar 30, 2017	$57.3M	$57.3M	5	3	n/a	n/a	n/a
2015	Mar 29, 2016	$31.6M	$6.7M	5	5	n/a	n/a	n/a
2014	Mar 31, 2015	$36.3M	$5.4M	7	5	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
2016	$57.3M	$31.6M	81.1%	n/a	n/a	5	5	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
SIEBERT ADVISORNXT, LLC.	2	Dec 19, 2017	Nov 21, 2017	NEW YORK, NY	Channel change	Other	66.7%

Relationships

Owns (2)

← BONO, RONALD, ROSSOwnerCCO, ownership code NA, individual
Jun 29, 2017 to presentfactForm ADV
← MALEK, MARK, PETEROwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 30, 2017 to presentfactForm ADV

Controls (4)

← REICH, ANDREW, HENRYOwnerPRESIDENT, FINANCIAL OFFICER, ownership code NA, individual
Dec 16, 2016 to presentfactForm ADV
← GEBBIA, GLORIA, ESTELLEOwnerOWNER, ownership code C, individual
Mar 30, 2017 to presentfactForm ADV
← KENNEDY CABOT ACQUISITION, LLCOwnerOWNER, ownership code E, domestic entity
Mar 30, 2017 to presentfactForm ADV
← SIEBERT FINANCIAL CORPORATIONOwnerPUBLIC HOLDING COMPANY, ownership code E, domestic entity
Jan 27, 2014 to presentfactForm ADV

Registered with (3)

← MARK PETER MALEKAdvisorregistration: previous registration
May 2, 2017 to Dec 31, 2017factForm ADV
← PETER JAMES SOSNOWSKIAdvisorregistration: previous registration
Nov 19, 2014 to Dec 19, 2017factForm ADV
← CAROL ANN LIVERSEDGEAdvisorregistration: previous registration
Dec 8, 2014 to Dec 19, 2017factForm ADV

Moved with (1)

→ SIEBERT ADVISORNXT, LLC.Registered adviser2 advisors, team lift out
Dec 19, 2017 to Nov 21, 2017factForm ADV

Dated events

Occurred
Mar 3, 2015
First Form ADV filing
Siebert Investment Advisors, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e2b3ff0f-e734-2fba-f411-cb138b91afec
First observed: Jan 27, 2014
Last observed: Jun 29, 2017 112 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.

SIEBERT INVESTMENT ADVISORS, INC.

CRD 169231

NEW YORK, 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:e2b3ff0f-e734-2fba-f411-cb138b91afec

Data as of Jun 29, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:04 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GEBBIA, GLORIA, ESTELLE

Owner

yes

12/2016

Mar 30, 2017

Jun 29, 2017

KENNEDY CABOT ACQUISITION, LLC

Owner

yes

12/2016

Mar 30, 2017

Jun 29, 2017

REICH, ANDREW, HENRY

PRESIDENT, FINANCIAL OFFICER

yes

12/2016

Dec 16, 2016

Jun 29, 2017

SIEBERT FINANCIAL CORPORATION

PUBLIC HOLDING COMPANY

yes

11/1996

Jan 27, 2014

Jun 29, 2017

BONO, RONALD, ROSS

Cco

06/2017

Jun 29, 2017

MALEK, MARK, PETER

CHIEF INVESTMENT OFFICER

02/2017

Mar 30, 2017

Jun 29, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MURIEL SIEBERT & CO., INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

BOCA RATON

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 30, 2017

$57.3M

n/a

2015

Mar 29, 2016

$31.6M

$6.7M

n/a

2014

Mar 31, 2015

$36.3M

$5.4M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$57.3M

$31.6M

81.1%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SIEBERT ADVISORNXT, LLC.

Dec 19, 2017

Nov 21, 2017

NEW YORK, NY

Channel change

Other

66.7%