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CRD 142542
ROCKVILLE, MD
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 |
|---|---|---|---|---|---|---|
| LO & MO INC. | MEMBER | B | yes | 08/2008 | Nov 16, 2011 | Mar 30, 2015 |
| SACHS CAPITAL, LLC | MANAGING MEMBER | F | yes | 03/2007 | Nov 16, 2011 | Mar 30, 2015 |
| SACHS, ANDREW, W | MANAGING MEMBER | E | yes | 03/2007 | Nov 16, 2011 | Mar 30, 2015 |
| SCHWARTZ, WILLIAM, BRIAN | SHAREHOLDER | E | yes | 08/2008 | Nov 16, 2011 | Mar 30, 2015 |
| SCHWARTZ, WILLIAM, BRIAN | MANAGING DIRECTOR | NA | yes | 03/2008 | Nov 16, 2011 | Mar 30, 2015 |
| SIMON MANAGEMENT COMPANY | MANAGING MEMBER | D | yes | 03/2007 | Nov 16, 2011 | Mar 30, 2015 |
| SIMON, NEAL, JERRY | CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER | NA | yes | 11/2006 | Nov 16, 2011 | Mar 30, 2015 |
| SIMON, NEAL, JERRY | SHAREHOLDER | E | yes | 03/2007 | Nov 16, 2011 | Mar 30, 2015 |
| HUGHES, TIMOTHY, RICHARD | DIRECTOR | NA | no | 01/2010 | Dec 23, 2011 | Mar 30, 2015 |
| IDDINGS, ASHLEY, ELYSE | DIRECTOR | NA | no | 01/2010 | Dec 23, 2011 | Mar 30, 2015 |
| PINTO, AVIVA, SHROCK | DIRECTOR | NA | no | 09/2013 | Oct 17, 2013 | Mar 30, 2015 |
| RUDER, GRANT, MICHAEL | DIRECTOR | NA | no | 01/2015 | Mar 30, 2015 | Mar 30, 2015 |
| SACHS CAPITAL FUND I, LLC | MEMBER | A | no | 09/2011 | Nov 16, 2011 | Mar 30, 2015 |
| SOBELMAN, GARY, RICHARD | MANAGING DIRECTOR | NA | no | 01/2010 | Nov 16, 2011 | Mar 30, 2015 |
| STROUD, JOHN, HUSTON | DIRECTOR | NA | no | 07/2014 | Mar 30, 2015 | Mar 30, 2015 |
| WALTHERT, MICHELE, GABRIELLE | DIRECTOR | NA | no | 01/2015 | Mar 30, 2015 | Mar 30, 2015 |
| WEINSTEIN, JAY, MICHAEL | MANAGING DIRECTOR | NA | no | 01/2011 | Nov 16, 2011 | Mar 30, 2015 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| NEW YORK | NY | United States | n/a | no |
| PLYMOUTH MEETING | PA | United States | n/a | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2014 | Mar 30, 2015 | $1.4B | $1.0B | 24 | 20 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $1.2B | $823M | 24 | 20 | n/a | n/a | n/a |
| 2012 | Mar 14, 2013 | $1.2B | $753M | 22 | 18 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $1.2B | $487M | n/a | n/a | 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 |
|---|---|---|---|---|---|---|---|---|---|
| 2014 | $1.4B | $1.2B | 8.5% | $1.2B | 4.3% | 24 | 24 | n/a | n/a |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| WEALTHSPIRE ADVISORS | 13 | Dec 16, 2015 | Sep 22, 2015 | BETHESDA, MD | FIRM ABSORBED | OTHER | 100.0% |
| WEALTHSPIRE ADVISORS | 4 | Sep 1, 2015 | Apr 20, 2016 | ROCKVILLE, MD | TEAM LIFT OUT | OTHER | 21.1% |