AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $12.4 |
| Non-Discretionary | $0.0 |
| Total | $12.4 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $9.5 |
| Institutional | $2.8 |
| Total | $12.4 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 0 | $0.0 |
| Average Retail AUM | $0 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| GOLDMAN SACHS & CO. LLC | NEW YORK-NY-USA | $1.6 |
| J.P. MORGAN CLEARING CORP. | NEW YORK-NY-USA | $1.0 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $2.8 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $2.8 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 1% | $0.0 |
| Equity Non-Exch | 2% | $0.1 |
| Govt Agency | 31% | $0.9 |
| Municipal | 0% | $0.0 |
| Sovereign | 3% | $0.1 |
| IG Credit | 16% | $0.5 |
| HY Credit | 11% | $0.3 |
| Derivatives | 3% | $0.1 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 33% | $0.9 |
| Other | 0% | $0.0 |
| Total | 100% | $2.8 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| COMPASS ROSE GP, LLC | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
12 active
| Name | Title |
|---|---|
| FAHEY, SEAN, PATRICK | CO-CHIEF INVESTMENT OFFICER, MEMBER |
| RIANO, BRIAN, PETER | CHIEF EXECUTIVE OFFICER, MEMBER |
| DUFFY, TODD, FRANCIS | CHIEF COMPLIANCE OFFICER |
| ROCHE, JASON, MICHAEL | MEMBER, CO-CHIEF INVESTMENT OFFICER |
| BERMAN, NEIL, ANDREW | CHIEF FINANCIAL OFFICER |
| LEWIS, CAMERON, O"CONNOR | PORTFOLIO MANAGER |
| CARROLL, BRYAN, JOHN | CHIEF RISK OFFICER |
ADVDB.CO • SOURCE: SEC
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-03-06 | $12.4 | $0.0 | 0% | 35 | 0 | 0% |
| 2024-04-02 | $12.4 | $0.0 | 0% | 35 | 0 | 0% |
| 2023-04-04 | $8.6 | $3.8 | 44% | 23 | 12 | 52% |
| 2022-04-01 | $5.0 | $7.4 | 147% | 20 | 15 | 75% |
| 2021-04-05 | $3.9 | $8.5 | 218% | 19 | 16 | 84% |
| 2020-04-01 | $0.8 | $11.5 | 1439% | 15 | 20 | 133% |
| 2019-04-01 | $0.4 | $12.0 | 3158% | 15 | 20 | 133% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| NY, CA-06/08/2018, CT-03/31/2023, FL-03/27/2024, NY-06/08/2018 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT (POOLS) |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV