AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $3.1 |
| Non-Discretionary | $0.0 |
| Total | $3.1 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $1.9 |
| Institutional | $1.2 |
| Total | $3.1 |
| 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 |
|---|---|---|
| BNY MELLON, N.A. | PITTSBURGH-PA-USA | $0.7 |
| STATE STREET BANK AND TRUST COMPANY | BOSTON-MA-USA | $0.2 |
| THE NORTHERN TRUST COMPANY | CHICAGO-IL-USA | $0.2 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $1.2 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $1.2 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 99% | $1.2 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 1% | $0.0 |
| Other | 0% | $0.0 |
| Total | 100% | $1.2 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
9 active
| Name | Title |
|---|---|
| VAN HARTE, JEFFREY, SANFORD | MEMBER OF BOARD OF DIRECTORS |
| KREIGER, SEAN | CHIEF COMPLIANCE OFFICER |
| FERRY, IAN, DANIEL | MEMBER OF BOARD OF DIRECTORS, CHIEF INVESTMENT OFFICER |
| BROAD, KENNETH, FARNHAM | MEMBER OF BOARD OF DIRECTORS, CHAIRMAN |
| ERICKSEN, CHRISTOPHER, MARTIN | MANAGING PARTNER AND CHIEF FINANCIAL OFFICER |
ADVDB.CO • SOURCE: SEC
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-11-01 | $3.1 | $0.0 | 0% | 20 | 0 | 0% |
| 2024-04-02 | $3.1 | $0.0 | 0% | 20 | 0 | 0% |
| 2023-04-04 | $3.8 | -$0.7 | -19% | 25 | -5 | -20% |
| 2022-04-01 | $12.3 | -$9.2 | -75% | 31 | -11 | -35% |
| 2021-04-05 | $25.5 | -$22.4 | -88% | 28 | -8 | -29% |
| 2020-04-01 | $19.9 | -$16.8 | -84% | 26 | -6 | -23% |
| 2019-04-01 | $16.8 | -$13.7 | -81% | 27 | -7 | -26% |
| 2018-04-02 | $20.2 | -$17.0 | -85% | 26 | -6 | -23% |
| 2017-04-01 | $22.0 | -$18.8 | -86% | 27 | -7 | -26% |
| 2016-04-01 | $28.9 | -$25.8 | -89% | 24 | -4 | -17% |
| 2015-04-01 | $27.8 | -$24.7 | -89% | 19 | 1 | 5% |
| 2014-04-01 | $0.0 | $0.0 | 0% | 0 | 0 | 0% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| CA, CA-02/24/2014, NH-03/28/2020, NY-06/02/2014 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV