FLA ASSET MANAGEMENT, LLC
Legal name: FLA ASSET MANAGEMENT LLC
CRD #110771 SEC #801-13742 NEW YORK, NY 212-644-9888
SEC Registered
Total AUM
$704.2M
Discretionary
$702.4M
Employees
--
Clients
--
Accounts
79
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- SEPTEMBER
- Registration Date
- --
- Latest Filing
- Nov 1, 2005
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BENNETT, PHILIP, ROGER | I | MANAGER | NA | Control |
| BENNETT, PHILIP, ROGER | I | MANAGER | NA | Control |
| BENNETT, PHILIP, ROGER | I | MANAGER | NA | Control |
| BENNETT, PHILIP, ROGER | I | MANAGER | NA | Control |
| BENNETT, PHILIP, ROGER | I | MANAGER | NA | Control |
| BERGEN, MARK | I | MANAGING PARTNER, CHIEF OPERATING OFFICER | NA | Control |
| BERGEN, MARK | I | CHIEF OPERATING OFFICER | NA | Control |
| BERGEN, MARK | I | CHIEF OPERATING OFFICER | NA | Control |
| BERGEN, MARK | I | MANAGING PARTNER, CHIEF OPERATING OFFICER | NA | Control |
| BERGEN, MARK | I | MANAGER, CHIEF OPERATING OFFICER | NA | Control |
| BERGEN, MARK | I | MANAGER, CHIEF OPERATING OFFICER | NA | Control |
| BERGEN, MARK | I | MANAGER, CHIEF OPERATING OFFICER | NA | Control |
| COOK, MICHAEL | I | MANAGING DIRECTOR, SR. PORTFOLIO MANAGER | NA | Control |
| COOK, MICHAEL | I | MANAGING DIRECTOR | NA | Control |
| COOK, MICHAEL | I | MANAGING DIRECTOR | NA | Control |
| COOK, MICHAEL | I | MANAGING DIRECTOR | NA | Control |
| COOK, MICHAEL | I | MANAGING DIRECTOR, SR. PORTFOLIO MANAGER | NA | Control |
| COOK, MICHAEL | I | MANAGING DIRECTOR | NA | Control |
| COOK, MICHAEL | I | MANAGING DIRECTOR | NA | Control |
| COOK, MICHAEL | I | MANAGING DIRECTOR | NA | Control |
| COOK, MICHAEL | I | MANAGING DIRECTOR | NA | Control |
| COOK, MICHAEL | I | SENIOR VICE PRESIDENT | NA | Control |
| DATER, ELIZABETH | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DATER, ELIZABETH | I | CHIEF INVESTMENT OFFICER | NA | Control |
| GALVIN, THOMAS, A | I | SENIOR MANAGING DIRECTOR, CHAIR OF INVESTMENT STRATEGY COMM | NA | Control |
| GALVIN, THOMAS, A | I | SENIOR MANAGING DIRECTOR, CO-CHIEF INVESTMENT OFFICER | NA | Control |
| GALVIN, THOMAS, A | I | SENIOR MANAGING DIRECTOR, CO-CHIEF INVESTMENT OFFICER | NA | Control |
| GALVIN, THOMAS, A | I | SENIOR MANAGING DIRECTOR, CO-CHIEF INVESTMENT OFFICER | NA | Control |
| GALVIN, THOMAS, A | I | SENIOR MANAGING DIRECTOR, CHAIR OF INVESTMENT STRATEGY COMM | NA | Control |
| GALVIN, THOMAS, A | I | MANAGER, CO-CHIEF INVESTMENT OFFICER | NA | Control |
| GALVIN, THOMAS, A | I | CO-CHIEF INVESTMENT OFFICER | NA | Control |
| GALVIN, THOMAS, A | I | CO-CHIEF INVESTMENT OFFICER | NA | Control |
| GALVIN, THOMAS, A | I | SENIOR MANAGING DIRECTOR, CO-CHIEF INVESTMENT OFFICER | NA | Control |
| GALVIN, THOMAS, A | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| GOLDMAN, RICHARD, MARK | I | MANAGER, PRESIDENT AND CEO | NA | Control |
| GOLDMAN, RICHARD, MARK | I | MANAGER, PRESIDENT AND CEO | NA | Control |
| GOLDMAN, RICHARD, MARK | I | MANAGER, PRESIDENT AND CEO | NA | Control |
| GOLDMAN, RICHARD, MARK | I | MANAGER, PRESIDENT AND CEO | NA | Control |
| GOLDMAN, RICHARD, MARK | I | MANAGER, PRESIDENT AND CEO | NA | Control |
| GOLDMAN, RICHARD, MARK | I | PRESIDENT AND CEO | NA | Control |
| HACKL, THOMAS, MICHAEL | I | MANAGER | NA | Control |
| HARNISCH, WILLIAM, FRANCIS | I | MANAGER, CHAIRMAN | NA | Control |
| HARNISCH, WILLIAM, FRANCIS | I | MANAGER, CHAIRMAN | NA | Control |
| HERMANN, PETER, WILLIAM | I | MANAGING DIRECTOR, SR. PORTFOLIO MANAGER | NA | Control |
| HERMANN, PETER, WILLIAM | I | MANAGING DIRECTOR, SR. PORTFOLIO MANAGER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARIANI, KRISTIN, BRETT | I | DIRECTOR OF COMPLIANCE | NA | |
| POTTER, WILLIAM, L | I | MANAGING DIRECTOR, SR. PORTFOLIO MANAGER | NA | Control |
| POTTER, WILLIAM, L | I | MANAGING DIRECTOR, CO-CHIEF INVESTMENT OFFICER | NA | Control |
| POTTER, WILLIAM, L | I | MANAGING DIRECTOR, CO-CHIEF INVESTMENT OFFICER | NA | Control |
| POTTER, WILLIAM, L | I | MANAGING DIRECTOR, CO-CHIEF INVESTMENT OFFICER | NA | Control |
| POTTER, WILLIAM, L | I | MANAGING DIRECTOR, SR. PORTFOLIO MANAGER | NA | Control |
| POTTER, WILLIAM, L | I | MANAGING DIRECTOR, CO-CHIEF INVESTMENT OFFICER | NA | Control |
| POTTER, WILLIAM, L | I | MANAGING DIRECTOR, CO-CHIEF INVESTMENT OFFICER | NA | Control |
| POTTER, WILLIAM, L | I | MANAGING DIRECTOR, CO-CHIEF INVESTMENT OFFICER | NA | Control |
| POTTER, WILLIAM, L | I | MANAGING DIRECTOR, CO-CHIEF INVESTMENT OFFICER | NA | Control |
| POTTER, WILLIAM, L | I | SENIOR VICE PRESIDENT | NA | Control |
| RHODES, JOHN, PARKER | I | MANAGING PARTNER | NA | Control |
| RHODES, JOHN, PARKER | I | MANAGING PARTNER | NA | Control |
| RHODES, JOHN, PARKER | I | MANAGER | NA | Control |
| RHODES, JOHN, PARKER | I | MANAGER | NA | Control |
| SCACCO, GUSTAVE, JOSEPH | I | MANAGING DIRECTOR, SR. PORTFOLIO MANAGER | NA | Control |
| SCACCO, GUSTAVE, JOSEPH | I | SR. PORTFOLIO MANAGER | NA | Control |
| SCACCO, GUSTAVE, JOSEPH | I | SR. PORTFOLIO MANAGER | NA | Control |
| SCACCO, GUSTAVE, JOSEPH | I | MANAGING DIRECTOR, SR. PORTFOLIO MANAGER | NA | Control |
| SCACCO, GUSTAVE, JOSEPH | I | SR. PORTFOLIO MANAGER | NA | Control |
| SCACCO, GUSTAVE, JOSEPH | I | SR. PORTFOLIO MANAGER | NA | Control |
| SCACCO, GUSTAVE, JOSEPH | I | SR. PORTFOLIO MANAGER | NA | Control |
| SCACCO, GUSTAVE, JOSEPH | I | SR. PORTFOLIO MANAGER | NA | Control |
| SILVERMAN, PHILIP | I | MANAGER | NA | Control |
| SILVERMAN, PHILIP | I | MANAGER | NA | |
| SULLIVAN, JOSEPH, WILLIAM | I | MANAGER, EXECUTIVE VP | NA | Control |
| SULLIVAN, JOSEPH, WILLIAM | I | MANAGER, EXECUTIVE VP | NA | Control |
| TROSTEN, ROBERT, CHARLES | I | MANAGER | NA | Control |
| TROSTEN, ROBERT, CHARLES | I | MANAGER | NA | Control |
| FORSTMANN LEFF ASSOCIATES LLC | DE | SOLE MEMBER | E | Control |
| FORSTMANN LEFF ASSOCIATES LLC | DE | SOLE MEMBER | E | Control |
| FORSTMANN LEFF ASSOCIATES LLC | DE | SOLE MEMBER | E | Control |
| FORSTMANN LEFF ASSOCIATES LLC | DE | SOLE MEMBER | E | Control |
| FORSTMANN LEFF ASSOCIATES LLC | DE | SOLE MEMBER | E | Control |
| FORSTMANN LEFF ASSOCIATES LLC | DE | SOLE MEMBER | E | Control |
| FORSTMANN LEFF ASSOCIATES LLC | DE | SOLE MEMBER | E | Control |
| FORSTMANN LEFF ASSOCIATES LLC | DE | SOLE MEMBER | E | Control |
| FORSTMANN LEFF ASSOCIATES LLC | DE | SOLE MEMBER | E | Control |
| FORSTMANN LEFF ASSOCIATES LLC | DE | SOLE MEMBER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| BENNETT, PHILIP, ROGER | I | RGHI | E | Control |
| BENNETT, PHILIP, ROGER | I | RGHI | E | Control |
| BENNETT, PHILIP, ROGER | I | RGHI | E | Control |
| BENNETT, PHILIP, ROGER | I | RGHI | E | Control |
| BENNETT, PHILIP, ROGER | I | RGHI | E | Control |
| BENNETT, PHILIP, ROGER | I | RGHI | E | Control |
| MATHIS, HENRY, SEAN | I | BLUECO, INC. | E | Control |
| MATHIS, HENRY, SEAN | I | BLUECO, INC. | E | Control |
| MATHIS, HENRY, SEAN | I | BLUECO, INC. | E | Control |
| MATHIS, HENRY, SEAN | I | BLUECO, INC. | E | Control |
| REFCO GROUP HOLDINGS, INC. ("RGHI") | DE | RGL | E | Control |
| REFCO GROUP HOLDINGS, INC. ("RGHI") | DE | FORSTMANN-LEFF INTERNATIONAL ASSOCIATES, LLC ("FLIA") | E | Control |
| REFCO GROUP HOLDINGS, INC. ("RGHI") | DE | FORSTMANN-LEFF INTERNATIONAL ASSOCIATES, LLC ("FLIA") | E | Control |
| REFCO GROUP HOLDINGS, INC. ("RGHI") | DE | FORSTMANN-LEFF INTERNATIONAL ASSOCIATES, LLC ("FLIA") | E | Control |
| REFCO GROUP HOLDINGS, INC. ("RGHI") | DE | FORSTMANN-LEFF INTERNATIONAL ASSOCIATES, LLC ("FLIA") | E | Control |
| REFCO GROUP HOLDINGS, INC. ("RGHI") | DE | FORSTMANN-LEFF ASSOCIATES, LLC ("FLA") | E | Control |
| REFCO GROUP LIMITED, LLC ("RGL") | DE | FORSTMANN-LEFF ASSOCIATES, LLC ("FLA") | E | Control |
| BLUECO, INC. | DE | FORSTMANN-LEFF ASSOCIATES, LLC | D | Control |
| BLUECO, INC. | DE | FORSTMANN-LEFF ASSOCIATES, LLC | D | Control |
| BLUECO, INC. | DE | FORSTMANN-LEFF ASSOCIATES, LLC | D | Control |
| BLUECO, INC. | DE | FORSTMANN-LEFF ASSOCIATES, LLC | D | Control |
| FORSTMANN-LEFF INTERNATIONAL ASSOCIATES, LLC | DE | FORSTMANN-LEFF ASSOCIATES, LLC ("FLA") | D | Control |
| FORSTMANN-LEFF INTERNATIONAL ASSOCIATES, LLC | DE | FORSTMANN-LEFF ASSOCIATES, LLC ("FLA") | D | Control |
| FORSTMANN-LEFF INTERNATIONAL ASSOCIATES, LLC | DE | FORSTMANN-LEFF ASSOCIATES, LLC ("FLA") | D | Control |
| FORSTMANN-LEFF INTERNATIONAL ASSOCIATES, LLC | DE | FORSTMANN-LEFF ASSOCIATES, LLC ("FLA") | D | Control |
| FORSTMANN-LEFF PARTICIPATION, LLC | DE | FORSTMANN-LEFF ASSOCIATES, LLC ("FLA") | C | Control |
| FORSTMANN-LEFF PARTICIPATION, LLC | DE | FORSTMANN-LEFF ASSOCIATES, LLC ("FLA") | C | Control |
| FORSTMANN-LEFF PARTICIPATION, LLC | DE | FORSTMANN-LEFF ASSOCIATES, LLC ("FLA") | C | Control |
| FORSTMANN-LEFF PARTICIPATION, LLC | DE | FORSTMANN-LEFF ASSOCIATES, LLC ("FLA") | C | Control |
| FORSTMANN-LEFF PARTICIPATION, LLC | DE | FORSTMANN-LEFF ASSOCIATES, LLC ("FLA") | C | Control |
| FORSTMANN-LEFF PARTICIPATION, LLC | DE | FORSTMANN-LEFF ASSOCIATES, LLC ("FLA") | C | Control |
| FORSTMANN-LEFF PARTICIPATION, LLC | DE | FORSTMANN-LEFF ASSOCIATES, LLC ("FLA") | C | Control |
| FORSTMANN-LEFF PARTICIPATION, LLC | DE | FORSTMANN-LEFF ASSOCIATES, LLC ("FLA") | C | Control |
Registrations
Federal
IA
Nov 1, 2005 REGISTERED
Notice Filings (7)
CT FL LA MI NC NY OH
Address
590 MADISON AVENUE39TH FLOOR
NEW YORK, NY 10022
USA
Phone: 212-644-9888