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CRD 167349
FORT LEE, NJ
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 |
|---|---|---|---|---|---|---|
| COWEN, ANDREW, JAY | CCO, CIO & MANAGING MEMBER | E | yes | 03/2013 | Mar 22, 2013 | Sep 23, 2016 |
| LOTT, THOMAS, RUSSELL | MEMBER AND MANAGING DIRECTOR | B | no | 05/2013 | Jun 7, 2013 | Sep 23, 2016 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | n/a | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2016 | Sep 23, 2016 | $18.7M | $18.7M | 3 | 3 | n/a | n/a | n/a |
| 2015 | Sep 24, 2015 | $18.8M | $18.8M | 3 | 3 | n/a | n/a | n/a |
| 2014 | Sep 18, 2014 | $12.8M | $12.8M | 3 | 3 | n/a | n/a | n/a |
| 2013 | Sep 27, 2013 | $2.8M | $2.8M | 3 | 3 | n/a | n/a | 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 | $18.7M | $18.8M | -0.5% | $2.8M | 88.0% | 3 | 3 | n/a | n/a |