DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Ssaris Advisors LLC

Former SEC-registered adviserWilton, ConnecticutCRD 114122SEC 801-60557IAPD
Latest filing Mar 29, 2016
First filing on the tape Mar 29, 2012 · 12 filings
RAUM
$325M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$307M gross assets
History
12 filings and snapshots on the tape
RAUM$325M as of Mar 29, 2016
Mar 29, 2012$2.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2016
Mar 28, 20130 then
Employees (5.A)12 as of Mar 29, 2016
Mar 28, 201339 then
Private funds4 as of Mar 29, 2016
Mar 29, 201211 then
RAUM -63% over the last fiscal year-50% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2016; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$64.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-63%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
Custody
$307M, 4 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$307M for 4 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Ssaris Multisource Active Commodity Fund, LLCHedge Fund$79.0M5Mar 27, 2015
      Lynx Multi-Strategy Fund II Ltd.Hedge Fund$45.1M9Mar 29, 2012
      Ssaris Active Commodity Fund LLCno longer reportedHedge Fund$26.2M7Mar 29, 2012
      Lynx Multi-Strategy Fund Ltd.Hedge Fund$15.5M5Mar 29, 2012
      Ssaris Multi-Manager Japan Equity Fund Ltd.no longer reportedHedge Fund$10.7M116Mar 29, 2012
      Dtp Trading Ltd.no longer reportedHedge Fund$6.9M1Mar 29, 2012
      Ssaris Multi-Manager Fund Ltd.no longer reportedHedge Fund$3.8M1Mar 29, 2012
      Catamount Diversified Managers Fund III Ltd.Hedge Fund$2.8M26Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Vincent Michael Leventakos · Controllercontrol
        since 03/2016 · owns less than 5%
      • Richard Paul Lucek · Director, Chief Executive Officer & Chief Investment Officercontrol
        since 01/2014 · owns less than 5%
      • Ann Debra Luf · Chief Compliance Officercontrol
        since 03/2014 · owns less than 5%
      • (Nmn) Mark Rosenberg · Director & Chairmancontrol
        since 05/2001 · owns less than 5%
      • Francis James Tomeo · Director & Chief Operating Officercontrol
        since 05/2001 · owns less than 5%
      • (Nmn) Mark Rosenberg · Chairman & Membercontrol
        since 05/2001 · owns 25% to 50% of Rth Partners, LLC
      Entity owners
      • Rth Partners LLC · Member
        direct · owns 75% or more
      • Ssaris Advisors LLC · Sole Member, Ssaris Management LLC
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • Ssaris Management LLC
        investment adviserbankpooled vehicle sponsory
      Advisers that list Ssaris Advisors LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 5
        Dec 23, 2015 to Mar 29, 2016
      • Advisory employees · 10 to 9
        Dec 23, 2015 to Mar 29, 2016
      • Assets in custody · $305M to $307M
        Dec 23, 2015 to Mar 29, 2016
      • Employees · 15 to 12
        Dec 23, 2015 to Mar 29, 2016
      • Private funds · 5 to 4
        Dec 23, 2015 to Mar 29, 2016
      • Discretionary RAUM · $327M to $325M
        Dec 23, 2015 to Mar 29, 2016
      • RAUM · $327M to $325M
        Dec 23, 2015 to Mar 29, 2016
      • Accounts · 15 to 6
        Mar 27, 2015 to Dec 23, 2015
      • Advisory employees · 19 to 10
        Mar 27, 2015 to Dec 23, 2015
      • Advisory activities · 5 to 4
        Mar 27, 2015 to Dec 23, 2015
      • BD registered reps · 5 to 3
        Mar 27, 2015 to Dec 23, 2015
      • Assets in custody · $686M to $305M
        Mar 27, 2015 to Dec 23, 2015
      • Employees · 29 to 15
        Mar 27, 2015 to Dec 23, 2015
      • Private funds · 10 to 5
        Mar 27, 2015 to Dec 23, 2015
      • Discretionary RAUM · $877M to $327M
        Mar 27, 2015 to Dec 23, 2015
      • RAUM · $877M to $327M
        Mar 27, 2015 to Dec 23, 2015
      • Accounts · 21 to 15
        Feb 12, 2015 to Mar 27, 2015
      • Advisory employees · 20 to 19
        Feb 12, 2015 to Mar 27, 2015
      • BD registered reps · 10 to 5
        Feb 12, 2015 to Mar 27, 2015
      • Assets in custody · $832M to $686M
        Feb 12, 2015 to Mar 27, 2015
      • Employees · 39 to 29
        Feb 12, 2015 to Mar 27, 2015
      • State-registered IARs · 1 to 0
        Feb 12, 2015 to Mar 27, 2015
      • Private funds · 9 to 10
        Feb 12, 2015 to Mar 27, 2015
      • Discretionary RAUM · $1.4B to $877M
        Feb 12, 2015 to Mar 27, 2015
      • RAUM · $1.4B to $877M
        Feb 12, 2015 to Mar 27, 2015
      • Private funds · 11 to 9
        Mar 31, 2014 to Feb 12, 2015
      • Related broker-dealer · true to false
        Mar 31, 2014 to Feb 12, 2015
      • Accounts · 20 to 21
        Mar 7, 2014 to Mar 31, 2014
      • Advisory activities · 4 to 5
        Mar 7, 2014 to Mar 31, 2014
      • BD registered reps · 9 to 10
        Mar 7, 2014 to Mar 31, 2014
      • Assets in custody · $848M to $832M
        Mar 7, 2014 to Mar 31, 2014
      • State-registered IARs · 0 to 1
        Mar 7, 2014 to Mar 31, 2014
      • Private funds · 9 to 11
        Mar 7, 2014 to Mar 31, 2014
      • Discretionary RAUM · $1.5B to $1.4B
        Mar 7, 2014 to Mar 31, 2014
      • RAUM · $1.5B to $1.4B
        Mar 7, 2014 to Mar 31, 2014
      • Accounts · 23 to 20
        Jul 18, 2013 to Sep 26, 2013
      • Assets in custody · $1.2B to $848M
        Jul 18, 2013 to Sep 26, 2013
      • Private funds · 10 to 9
        Jul 18, 2013 to Sep 26, 2013
      • Discretionary RAUM · $1.7B to $1.5B
        Jul 18, 2013 to Sep 26, 2013
      • Non-discretionary RAUM · $860M to $0
        Jul 18, 2013 to Sep 26, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026