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CRD 110150
NEW YORK, NY
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.
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| T•• F••••••••• A• E••• G••••• L•••••• L•• | Other Private Fund | $4.7M | Jul 24, 2017 | 2 | Mar 19, 2014 | dropped | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| F••••••••• I••••••••• M••••••• S•••• | Shareholder | C | yes | 05/2012 | Oct 1, 2012 | Jun 26, 2020 |
| G•••••••• P•••••• | Shareholder | E | yes | 07/2014 | Nov 22, 2017 | Jun 26, 2020 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| S•••••••• I••••••••• A••••••• L•• | n/a | Independent wealth | $771M | N | no | n/a |
| F••••••••• I••••••••• M••••••• S•••• | n/a | Mixed wealth | $490M | Y | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2019 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2019 | $132M | $112M | 17.9% | $111M | 5.8% | 3 | 3 | 0 | 0 |
| Director |
| Na |
| yes |
| 11/2017 |
| Nov 22, 2017 |
| Jun 26, 2020 |
| P•••••••• B••••••• | SHAREHOLDER, CHAIRMAN OF BOARD, MANAGING DIRECTOR, PRESIDENT AND CHIEF COMPLIANCE OFFICER | C | yes | 09/1981 | Dec 15, 2011 | Jun 26, 2020 |
| R•••• M••••• | DIRECTOR AND SHAREHOLDER | B | yes | 08/2009 | Dec 15, 2011 | Jun 26, 2020 |
| F••••••• L••••• | EXECUTIVE VICE PRESIDENT & TREASURER | Na | no | 01/2019 | Mar 28, 2012 | Jun 26, 2020 |
| H••••••••• Z••••• | Director | Na | no | 10/1998 | Dec 15, 2011 | Jun 26, 2020 |
| K••••• G••••••• L•• | Director | Na | no | 10/1998 | Dec 15, 2011 | Jun 26, 2020 |
| M••••••••• N••••••• | Director | Na | no | 11/2017 | Mar 29, 2018 | Jun 26, 2020 |
| P••••••• F••••• L•• | Shareholder | B | no | 08/2009 | Nov 22, 2017 | Jun 26, 2020 |
| V•••••••• F•••••• | Shareholder | E | no | 09/2017 | Nov 22, 2017 | Jun 26, 2020 |
| W••••••••• T••••• | VICE PRESIDENT | Na | no | 03/2019 | Mar 29, 2019 | Jun 26, 2020 |
| $132M |
| $132M |
| 3 |
| 3 |
| 0 |
| 2 |
| $58.3M |
| 2018 | Mar 29, 2019 | $112M | $112M | 3 | 3 | 0 | 2 | $47.9M |
| 2017 | Mar 29, 2018 | $137M | $137M | 4 | 3 | 0 | 2 | $56.5M |
| 2016 | Mar 30, 2017 | $111M | $111M | 4 | 3 | n/a | 3 | $48.4M |
| 2015 | Mar 30, 2016 | $122M | $122M | 4 | 4 | n/a | 3 | $49.6M |
| 2014 | Mar 30, 2015 | $150M | $150M | 4 | 4 | n/a | 3 | $52.5M |
| 2013 | Mar 19, 2014 | $188M | $188M | 4 | 4 | n/a | 3 | $79.6M |
| 2012 | Mar 28, 2013 | $162M | $162M | 4 | 4 | n/a | 2 | $72.4M |
| 2011 | Mar 28, 2012 | $229M | $137M | n/a | n/a | n/a | 2 | $60.5M |