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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

IMC ASSET MANAGEMENT, INC

CRD 144827

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:f464e05a-592f-e6b6-6f88-075f8c792e28

Data as of Mar 18, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Mar 26, 2012 to Mar 18, 2016
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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $287MItem 5.F on the latest filing (2016-03-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $287M
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: 11
Advisory employees: 4
Accounts: 2
Custody, client assets: $287M
SEC number: 801-68383
CRD: 144827
Filings on the tape: 20
First filed: Mar 26, 2012
Latest filed: Mar 18, 2016
Organised: Corporation, Delaware

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
AALEN, NIELS, HENTY	DIRECTOR/ PRESIDENT & SECRETARY	Na	yes	06/2014	Mar 27, 2014	Mar 18, 2016
DEFARES, ROBERT, HANS	Owner	E	yes	09/2002	Mar 26, 2012	Mar 18, 2016
HARTWIG HOUDSTERMAATSCHAPPIJ B.V.	Shareholder	D	yes	12/2007	Mar 26, 2012	Mar 18, 2016
IMC ASSET MANAGEMENT B.V.	Shareholder	E	yes	05/2007	Mar 26, 2012	Mar 18, 2016
IMC B.V.	Shareholder	D	yes	12/2007	Mar 26, 2012	Mar 18, 2016
MCCAWLEY, BRIAN, DAVID	DIRECTOR/CHIEF COMPLIANCE OFFICER / CHIEF LEGAL OFFICER	Na	yes	01/2015	Jan 30, 2015	Mar 18, 2016
STICHTING ADMINISTRATIEKANTOOR HARTWIG	Shareholder	E	yes	09/2002	Mar 26, 2012	Mar 18, 2016
STICHTING FGR VOGELGEZANG BV	Shareholder	C	yes	12/2013	Mar 27, 2014	Mar 18, 2016

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
IMC ASSET MANAGEMENT B.V.	n/a	Former SEC adviser	$597M	Y	yes	n/a

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
2015	Mar 18, 2016	$287M	$287M	11	4	n/a	n/a	n/a
2014	Mar 25, 2015	$478M	$478M	14	7	n/a	n/a	n/a
2013	Mar 27, 2014	$384M	$384M	14	8	n/a	n/a	n/a
2012	Mar 11, 2013	$86.3M	$86.3M	12	12	n/a	n/a	n/a
2011	Mar 26, 2012	$67.0M	$67.0M	n/a	n/a	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
2015	$287M	$478M	-40.0%	$86.3M	49.3%	11	14	n/a	n/a

Relationships

Affiliated with (2)

← IMC ASSET MANAGEMENT B.V.Registered adviserother investment adviser, bank, control, common control
factForm ADV
→ IMC ASSET MANAGEMENT B.V.Registered adviserother investment adviser, control, common control
factForm ADV

Controls (8)

← AALEN, NIELS, HENTYOwnerDIRECTOR/ PRESIDENT & SECRETARY, ownership code NA, individual
Mar 27, 2014 to presentfactForm ADV
← DEFARES, ROBERT, HANSOwnerOWNER, ownership code E, individual
Mar 26, 2012 to presentfactForm ADV
← MCCAWLEY, BRIAN, DAVIDOwnerDIRECTOR/CHIEF COMPLIANCE OFFICER / CHIEF LEGAL OFFICER, ownership code NA, individual
Jan 30, 2015 to presentfactForm ADV
← HARTWIG HOUDSTERMAATSCHAPPIJ B.V.OwnerSHAREHOLDER, ownership code D, foreign entity
Mar 26, 2012 to presentfactForm ADV
← IMC ASSET MANAGEMENT B.V.OwnerSHAREHOLDER, ownership code E, foreign entity
Mar 26, 2012 to presentfactForm ADV
← IMC B.V.OwnerSHAREHOLDER, ownership code D, foreign entity
Mar 26, 2012 to presentfactForm ADV
← STICHTING ADMINISTRATIEKANTOOR HARTWIGOwnerSHAREHOLDER, ownership code E, foreign entity
Mar 26, 2012 to presentfactForm ADV
← STICHTING FGR VOGELGEZANG BVOwnerSHAREHOLDER, ownership code C, foreign entity
Mar 27, 2014 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f464e05a-592f-e6b6-6f88-075f8c792e28
First observed: Mar 26, 2012
Last observed: Mar 18, 2016 127 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.

IMC ASSET MANAGEMENT, INC

CRD 144827

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:f464e05a-592f-e6b6-6f88-075f8c792e28

Data as of Mar 18, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:03 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AALEN, NIELS, HENTY

DIRECTOR/ PRESIDENT & SECRETARY

yes

06/2014

Mar 27, 2014

Mar 18, 2016

DEFARES, ROBERT, HANS

Owner

yes

09/2002

Mar 26, 2012

Mar 18, 2016

HARTWIG HOUDSTERMAATSCHAPPIJ B.V.

Shareholder

yes

12/2007

Mar 26, 2012

Mar 18, 2016

IMC ASSET MANAGEMENT B.V.

Shareholder

yes

05/2007

Mar 26, 2012

Mar 18, 2016

IMC B.V.

Shareholder

yes

12/2007

Mar 26, 2012

Mar 18, 2016

MCCAWLEY, BRIAN, DAVID

DIRECTOR/CHIEF COMPLIANCE OFFICER / CHIEF LEGAL OFFICER

yes

01/2015

Jan 30, 2015

Mar 18, 2016

STICHTING ADMINISTRATIEKANTOOR HARTWIG

Shareholder

yes

09/2002

Mar 26, 2012

Mar 18, 2016

STICHTING FGR VOGELGEZANG BV

Shareholder

yes

12/2013

Mar 27, 2014

Mar 18, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

IMC ASSET MANAGEMENT B.V.

n/a

Former SEC adviser

$597M

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 18, 2016

$287M

n/a

2014

Mar 25, 2015

$478M

n/a

2013

Mar 27, 2014

$384M

n/a

2012

Mar 11, 2013

$86.3M

n/a

2011

Mar 26, 2012

$67.0M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$287M

$478M

-40.0%

$86.3M

49.3%

n/a