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Overview

Articles

Insights

There are no insights from this firm to display at this time.

Assets

Assets

Last updated on June 12, 2019
    • $848.7M
      Total Assets Under Management
    • N/A
      Total Assets Under Advisement
    • 328
      Accounts
    • $2.6M
      Estimated Average Account Balance

Services

Firm Services

There is no Services data available to display at this time.

Firm Client types

There is no client type data to display at this time.

Advisors

Current Advisors

# of advisors

1

name start date
Hao Li
January 2016

    Leadership

    Ownership

    There is no ownership data available to display at this time.

    Executives and Control Persons

    Name Title Tenure Date % Ownership
    David Michael Spungen Owner, Managing Member, Chief Executive Officer, Member Of Investment Committee April, 1999 50% to 75%
    Jonathan Jay Hochberg Owner, Managing Member, President, Member Of Investment Committee March, 2005 50% to 75%
    Elizabeth Anne Kelly Partner, Chief Financial Officer April, 2006 less than 5%
    Paul Stuart Platkin Partner, Chief Investment Officer April, 2016 less than 5%
    James Francis Madden Partner, Managing Director Of Client Wealth Advisory Services April, 2001 less than 5%
    Gillian Marya Johnson Chief Operating Officer And Chief Compliance Officer January, 2015 less than 5%
      Source: SEC

      Fees

      Types of Compensation Arrangements

      • Percentage Of Assets