AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $0.1 |
| Non-Discretionary | $0.0 |
| Total | $0.1 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $0.1 |
| Institutional | $0.0 |
| Total | $0.1 |
| 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 |
|---|
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.0 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| 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 | 0% | $0.0 |
| Other | 0% | $0.0 |
| Total | 0% | $0.0 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| CORNWALL GP, LLC | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
6 active
| Name | Title |
|---|---|
| MAI, JAMES, A | MANAGING MEMBER, CHIEF EXECUTIVE OFFICER / CHIEF INVESTMENT OFFICER / PRINCIPAL |
| DE SWAAN, J, C | PRINCIPAL / HEAD OF MARKETING |
| BERGEN, JON, RICHARD | CHIEF OPERATING OFFICER / CHIEF COMPLIANCE OFFICER / CHIEF FINANCIAL OFFICER / PRINCIPAL |
| HOCKETT, ROBERT, B | HEAD TRADER / CHIEF RISK OFFICER / PRINCIPAL |
ADVDB.CO • SOURCE: SEC
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-05-02 | $0.1 | $0.0 | 0% | 8 | 0 | 0% |
| 2025-04-21 | $0.1 | $0.0 | 0% | 8 | 0 | 0% |
| 2024-04-02 | $0.2 | $0.0 | -19% | 8 | 0 | 0% |
| 2023-04-04 | $0.3 | -$0.2 | -56% | 8 | 0 | 0% |
| 2022-04-01 | $0.3 | -$0.1 | -49% | 9 | -1 | -11% |
| 2021-04-05 | $0.2 | $0.0 | -25% | 9 | -1 | -11% |
| 2020-04-01 | $0.2 | $0.0 | -27% | 9 | -1 | -11% |
| 2019-04-01 | $0.3 | -$0.2 | -58% | 11 | -3 | -27% |
| 2018-04-02 | $1.2 | -$1.1 | -89% | 12 | -4 | -33% |
| 2017-04-01 | $1.3 | -$1.2 | -90% | 11 | -3 | -27% |
| 2016-04-01 | $1.1 | -$1.0 | -88% | 13 | -5 | -38% |
| 2015-04-01 | $0.9 | -$0.7 | -85% | 15 | -7 | -47% |
| 2014-04-01 | $0.7 | -$0.6 | -82% | 12 | -4 | -33% |
| 2013-04-01 | $0.4 | -$0.3 | -68% | 13 | -5 | -38% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| NY, CA-09/21/2012 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT (POOLS) |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV