DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

CONSTANTINE BARRY ASSET MANAGEMENT (CBAM)

CB CAPITAL ADVISORS, LLC, CRD 147242

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:e36ab724-4000-60f4-a4f3-d1acbe282a56

Data as of Mar 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 13, 2012 to Mar 13, 2026
20 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: independent wealth managerderivedprivate_client_share=0.83 fund_share=0.0 institutional_share=0.17 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $139MItem 5.F on the latest filing (2026-03-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.0M
Private client RAUM: $116MderivedItem 5.D individuals plus high net worth individuals
Private client share: 83%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $139Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 2
Advisory employees: 2
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 59
Individual clients: 15
High net worth clients: 42
SEC number: 801-69177
CRD: 147242
Filings on the tape: 20
First filed: Mar 13, 2012
Latest filed: Mar 13, 2026
Organised: Limited Liability Company, NY
Website: cbaminvestments.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
LAURENCE MITCHELL GUBERMAN	n/a	NEW YORK, NY	13	32	n/a	no

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
BARRY, DEAN, NMN	MANAGING MEMBER	E	yes	05/2008	Mar 13, 2012	Dec 19, 2024
GUBERMAN, LAURENCE, MITCHELL	CHIEF COMPLIANCE OFFICER	Na	no	01/2011	Mar 13, 2012	Dec 19, 2024

Offices

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

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	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
2025	Mar 13, 2026	$139M	$2.0M	2	2	1	n/a	n/a
2024	Mar 18, 2025	$114M	$1.8M	2	2	1	n/a	n/a
2023	Mar 8, 2024	$110M	$1.9M	2	2	1	n/a	n/a
2022	Mar 24, 2023	$96.5M	$2.5M	2	2	1	n/a	n/a
2021	Mar 25, 2022	$97.6M	$2.6M	2	2	1	n/a	n/a
2020	Mar 29, 2021	$89.2M	$2.1M	2	2	1	n/a	n/a
2019	Mar 30, 2020	$111M	$2.2M	2	2	1	n/a	n/a
2018	Mar 26, 2019	$106M	$6.9M	2	2	1	n/a	n/a
2017	Mar 27, 2018	$146M	$8.0M	2	2	2	n/a	n/a
2016	Mar 27, 2017	$133M	$15.9M	2	2	n/a	n/a	n/a
2015	Mar 24, 2016	$118M	$14.3M	2	2	n/a	n/a	n/a
2014	Mar 25, 2015	$125M	$32.6M	2	2	n/a	n/a	n/a
2013	Mar 26, 2014	$127M	$30.7M	3	2	n/a	n/a	n/a
2012	Mar 22, 2013	$215M	$26.2M	3	2	n/a	n/a	n/a
2011	Mar 13, 2012	$213M	$28.1M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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	$139M	$114M	21.4%	$96.5M	12.8%	2	2	1	1

Relationships

Registered with (1)

← LAURENCE MITCHELL GUBERMANAdvisorregistration: current employment
Jul 16, 2013 to presentfactForm ADV

Controls (1)

← BARRY, DEAN, NMNOwnerMANAGING MEMBER, ownership code E, individual
Mar 13, 2012 to Dec 19, 2024factForm ADV

Owns (1)

← GUBERMAN, LAURENCE, MITCHELLOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 13, 2012 to Dec 19, 2024factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e36ab724-4000-60f4-a4f3-d1acbe282a56
First observed: Mar 13, 2012
Last observed: Mar 13, 2026 6 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.

CONSTANTINE BARRY ASSET MANAGEMENT (CBAM)

CB CAPITAL ADVISORS, LLC, CRD 147242

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:e36ab724-4000-60f4-a4f3-d1acbe282a56

Data as of Mar 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:32 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

LAURENCE MITCHELL GUBERMAN

n/a

NEW YORK, NY

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BARRY, DEAN, NMN

MANAGING MEMBER

yes

05/2008

Mar 13, 2012

Dec 19, 2024

GUBERMAN, LAURENCE, MITCHELL

CHIEF COMPLIANCE OFFICER

01/2011

Mar 13, 2012

Dec 19, 2024

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 13, 2026

$139M

$2.0M

n/a

2024

Mar 18, 2025

$114M

$1.8M

n/a

2023

Mar 8, 2024

$110M

$1.9M

n/a

2022

Mar 24, 2023

$96.5M

$2.5M

n/a

2021

Mar 25, 2022

$97.6M

$2.6M

n/a

2020

Mar 29, 2021

$89.2M

$2.1M

n/a

2019

Mar 30, 2020

$111M

$2.2M

n/a

2018

Mar 26, 2019

$106M

$6.9M

n/a

2017

Mar 27, 2018

$146M

$8.0M

n/a

2016

Mar 27, 2017

$133M

$15.9M

n/a

2015

Mar 24, 2016

$118M

$14.3M

n/a

2014

Mar 25, 2015

$125M

$32.6M

n/a

2013

Mar 26, 2014

$127M

$30.7M

n/a

2012

Mar 22, 2013

$215M

$26.2M

n/a

2011

Mar 13, 2012

$213M

$28.1M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$139M

$114M

21.4%

$96.5M

12.8%