3D Asset Management is an investment advisor in Hartford with $603.03 mm assets under management.
Company profile
Website
Employees
Incorporated
Location
Fiscal year end
Former names
3D Asset Management Inc
SEC CIK
IRS number
203725583
SEC advisor number
801-68413
FINRA CRD number
139595
AUM ?
$603.03 mm
(as of 28 Aug 20)
Accounts
1,838
(as of 28 Aug 20)
Employees
15
(11 investment advisory or research)
Address
3D Asset Management
100 CONSTITUTION PLAZA SUITE 700
HARTFORD
CT 06103
100 CONSTITUTION PLAZA SUITE 700
HARTFORD
CT 06103
Office hours
Monday - Friday, 9:00AM TO 5:00PM
Phone
860-291-1998
Ownership
Owner | Title | From | %Ownership |
---|---|---|---|
Connors, Wayne, NMN | Director & Shareholder | 05/2013 | 10-25% |
O'connor, John, Arthur | President, Director & Shareholder | 11/2005 | 25-50% |
Frankenhoff, Christopher, Michael | Director & Shareholder | 04/2007 | 25-50% |
O'connor, Sheryl, Mary | Shareholder | 03/2006 | 25-50% |
Lucich, Andrew, Thomas | Chief Compliance Officer | 04/2016 | < 5% |
Lavine, Benjamin, Marshal | Chief Investment Officer & Shareholder | 09/2015 | < 5% |
Latest filings (excl ownership)
D
$1.5M in debt / Convertible Notes, sold $1.5M, 1 investor
10 Jul 15
D
$1.5M in equity, sold $687.5K, 5 investors
8 Apr 14
D
$1.5M in equity, sold $150K, 2 investors
1 Mar 13
D
$2M in equity, sold $500.01K, 2 investors
17 Feb 12
REGDEX
Notice of sale of securities
13 Apr 07
REGDEX
Notice of sale of securities
30 Mar 06
Latest ownership filings
13F-HR
Quarterly holdings report by institutional manager
6 Nov 20
13F-HR
Quarterly holdings report by institutional manager
24 Jul 20
13F-HR
Quarterly holdings report by institutional manager
7 May 20
13F-HR
Quarterly holdings report by institutional manager
14 Feb 20
13F-HR
Quarterly holdings report by institutional manager
29 Oct 19
13F-HR
Quarterly holdings report by institutional manager
5 Aug 19
13F-HR
Quarterly holdings report by institutional manager
1 May 19
13F-HR
Quarterly holdings report by institutional manager
13 Feb 19
13F-HR
Quarterly holdings report by institutional manager
31 Oct 18
13F-HR
Quarterly holdings report by institutional manager
2 Aug 18