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

ARIBA ASSET MANAGEMENT INC

CRD 109636

ARLINGTON, VA

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:fed30358-26a5-96fd-b60f-56cf9af7348a

Data as of Feb 21, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Nov 9, 2011 to Feb 21, 2012
2 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: $61.2MItem 5.F on the latest filing (2012-02-21); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $61.2M
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
Accounts: 238
SEC number: 801-56962
CRD: 109636
Filings on the tape: 2
First filed: Nov 9, 2011
Latest filed: Feb 21, 2012
Organised: Corporation, Maryland

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
FEDERMAN, DAN, STEVEN	VICE PRESIDENT	A	yes	01/2009	Nov 9, 2011	Feb 21, 2012
LONG, ROBERT, EUGENE	President	B	yes	01/2009	Nov 9, 2011	Feb 21, 2012
PICON, RICK, LOPEZ	NATIONAL ACCOUNT EXECUTIVE	A	yes	01/2009	Nov 9, 2011	Feb 21, 2012
WALSH, PATRICK, MATTHEW	CHIEF COMPLIANCE OFFICER	B	yes	01/2009	Nov 9, 2011	Feb 21, 2012

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
2011	Feb 21, 2012	$61.2M	$61.2M	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
2011	$61.2M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (4)

← WALSH, PATRICK, MATTHEWOwnerCHIEF COMPLIANCE OFFICER, ownership code B, individual
Nov 9, 2011 to presentfactForm ADV
← LONG, ROBERT, EUGENEOwnerPRESIDENT, ownership code B, individual
Nov 9, 2011 to presentfactForm ADV
← FEDERMAN, DAN, STEVENOwnerVICE PRESIDENT, ownership code A, individual
Nov 9, 2011 to presentfactForm ADV
← PICON, RICK, LOPEZOwnerNATIONAL ACCOUNT EXECUTIVE, ownership code A, individual
Nov 9, 2011 to presentfactForm ADV

Registered with (2)

← DANIEL STEVEN FEDERMANAdvisorregistration: previous registration
Sep 22, 2010 to Jun 14, 2012factForm ADV
← HENRY CHRISTOPHER PRAMOVAdvisorregistration: previous registration
Oct 10, 2011 to Jun 14, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fed30358-26a5-96fd-b60f-56cf9af7348a
First observed: Nov 9, 2011
Last observed: Feb 21, 2012 177 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.

ARIBA ASSET MANAGEMENT INC

CRD 109636

ARLINGTON, VA

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:fed30358-26a5-96fd-b60f-56cf9af7348a

Data as of Feb 21, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:17 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FEDERMAN, DAN, STEVEN

VICE PRESIDENT

yes

01/2009

Nov 9, 2011

Feb 21, 2012

LONG, ROBERT, EUGENE

President

yes

01/2009

Nov 9, 2011

Feb 21, 2012

PICON, RICK, LOPEZ

NATIONAL ACCOUNT EXECUTIVE

yes

01/2009

Nov 9, 2011

Feb 21, 2012

WALSH, PATRICK, MATTHEW

CHIEF COMPLIANCE OFFICER

yes

01/2009

Nov 9, 2011

Feb 21, 2012

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Feb 21, 2012

$61.2M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$61.2M

n/a