3D ASSET MANAGEMENT, INC.
CRD #139595 SEC #801-68413 HARTFORD, CT 860-291-1998
SEC Registered
Total AUM
$603M
Discretionary
$603M
Employees
15
Clients
0
Accounts
1,838
Firm Details
- Organization Type
- Corporation
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jun 30, 2020
- Branch Offices
- 5
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| LAVINE, BENJAMIN, MARSHAL | I | CHIEF INVESTMENT OFFICER & SHAREHOLDER | NA | Control |
| LAVINE, BENJAMIN, MARSHAL | I | CHIEF INVESTMENT OFFICER & SHAREHOLDER | NA | Control |
| LAVINE, BENJAMIN, MARSHAL | I | CHIEF INVESTMENT OFFICER & SHAREHOLDER | NA | Control |
| LAVINE, BENJAMIN, MARSHAL | I | CHIEF INVESTMENT OFFICER | NA | |
| LUCICH, ANDREW | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUCICH, ANDREW, THOMAS | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUCICH, ANDREW, THOMAS | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUCICH, ANDREW, THOMAS | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUCICH, ANDREW, THOMAS | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUCICH, ANDREW, THOMAS | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUCICH, ANDREW, THOMAS | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUCICH, ANDREW, THOMAS | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUCICH, ANDREW, THOMAS | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUCICH, ANDREW, THOMAS | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUCICH, ANDREW, THOMAS | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUCICH, ANDREW, THOMAS | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCCOY, STEPHEN, LAWRENCE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MCCOY, STEPHEN, LAWRENCE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| Noeker, Raymond, Harold | I | CHIEF FINANCIAL OFFICER | NA | Control |
| Noeker, Raymond, Harold | I | CHIEF FINANCIAL OFFICER | NA | Control |
| Noeker, Raymond, Harold | I | CHIEF FINANCIAL OFFICER | NA | Control |
| Noeker, Raymond, Harold | I | CHIEF FINANCIAL OFFICER | NA | Control |
| Noeker, Raymond, Harold | I | CHIEF FINANCIAL OFFICER | NA | Control |
| Noeker, Raymond, Harold | I | CHIEF FINANCIAL OFFICER | NA | Control |
| Noeker, Raymond, Harold | I | CHIEF FINANCIAL OFFICER | NA | Control |
| Noeker, Raymond, Harold | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CONNORS, WAYNE | I | EXEC. V.P./SECRETARY | D | Control |
| CONNORS, WAYNE | I | EXEC. V.P./SECRETARY | D | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CCO | D | Control |
| OCONNOR, JOHN, ARTHUR | I | PRESIDENT/CCO | D | Control |
| CONNORS, WAYNE | I | EXEC. V.P./SECRETARY | C | Control |
| CONNORS, WAYNE | I | EXEC. V.P./SECRETARY | C | Control |
| CONNORS, WAYNE | I | EXEC. V.P./SECRETARY | C | Control |
| CONNORS, WAYNE, (NMN) | I | EXEC. V.P./SECRETARY | C | Control |
| CONNORS, WAYNE, (NMN) | I | EXEC. V.P./SECRETARY | C | Control |
| CONNORS, WAYNE, (NMN) | I | EXEC. V.P./SECRETARY | C | Control |
| CONNORS, WAYNE, (NMN) | I | EXEC. V.P./SECRETARY | C | Control |
| CONNORS, WAYNE, (NMN) | I | EXEC. V.P./SECRETARY | C | Control |
| CONNORS, WAYNE, (NMN) | I | EXEC. V.P./SECRETARY | C | Control |
| CONNORS, WAYNE, (NMN) | I | EXEC. V.P./SECRETARY | C | Control |
| CONNORS, WAYNE, (NMN) | I | EXEC. V.P./SECRETARY | C | Control |
| CONNORS, WAYNE, (NMN) | I | EXEC. V.P./SECRETARY | C | Control |
| CONNORS, WAYNE, (NMN) | I | EXEC. V.P./SECRETARY | C | Control |
| CONNORS, WAYNE, (NMN) | I | EXEC. V.P./SECRETARY | C | Control |
| CONNORS, WAYNE, (NMN) | I | EXEC. V.P./SECRETARY | C | Control |
| CONNORS, WAYNE, (NMN) | I | EXEC. V.P./SECRETARY | C | Control |
| CONNORS, WAYNE, (NMN) | I | EXEC. V.P./SECRETARY | C | Control |
| CONNORS, WAYNE, (NMN) | I | EXEC. V.P./SECRETARY | C | Control |
| CONNORS, WAYNE, (NMN) | I | SHAREHOLDER/DIRECTOR | C | Control |
| CONNORS, WAYNE, (NMN) | I | SHAREHOLDER/DIRECTOR | C | Control |
| CONNORS, WAYNE, (NMN) | I | SHAREHOLDER/DIRECTOR | C | Control |
| CONNORS, WAYNE, (NMN) | I | EXEC. V.P./SECRETARY | C | Control |
| CONNORS, WAYNE, (NMN) | I | SHAREHOLDER/DIRECTOR | C | Control |
| CONNORS, WAYNE, (NMN) | I | SHAREHOLDER/DIRECTOR | C | Control |
| CONNORS, WAYNE, (NMN) | I | EXEC. V.P./SECRETARY | C | Control |
| CONNORS, WAYNE, (NMN) | I | SHAREHOLDER/DIRECTOR | C | Control |
| CONNORS, WAYNE, (NMN) | I | SHAREHOLDER/DIRECTOR | C | Control |
| CONNORS, WAYNE, (NMN) | I | EXEC. V.P./SECRETARY | C | Control |
| CONNORS, WAYNE, (NMN) | I | SHAREHOLDER/DIRECTOR | C | Control |
| CONNORS, WAYNE, (NMN) | I | SHAREHOLDER/DIRECTOR | C | Control |
| CONNORS, WAYNE, (NMN) | I | SHAREHOLDER/DIRECTOR | C | Control |
| CONNORS, WAYNE, (NMN) | I | SHAREHOLDER/DIRECTOR | C | Control |
| CONNORS, WAYNE, (NMN) | I | SHAREHOLDER/DIRECTOR | C | Control |
| CONNORS, WAYNE, NMN | I | PRINCIPAL | C | Control |
| CONNORS, WAYNE, NMN | I | DIRECTOR & SHAREHOLDER | C | Control |
| CONNORS, WAYNE, NMN | I | PRINCIPAL & SHAREHOLDER | C | Control |
| CONNORS, WAYNE, NMN | I | DIRECTOR & SHAREHOLDER | C | Control |
| CONNORS, WAYNE, NMN | I | DIRECTOR & SHAREHOLDER | C | Control |
| CONNORS, WAYNE, NMN | I | DIRECTOR & SHAREHOLDER | C | Control |
| CONNORS, WAYNE, NMN | I | DIRECTOR & SHAREHOLDER | C | Control |
| CONNORS, WAYNE, NMN | I | DIRECTOR & SHAREHOLDER | C | Control |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | DIRECTOR & SHAREHOLDER | C | Control |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | DIRECTOR & SHAREHOLDER | C | Control |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | DIRECTOR & SHAREHOLDER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CCO | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRINCIPAL | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | SHAREHOLDER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT/CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRINCIPAL, DIRECTOR & SHAREHOLDER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRINCIPAL& SHAREHOLDER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRINCIPAL, DIRECTOR & SHAREHOLDER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRINCIPAL, DIRECTOR & SHAREHOLDER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRINCIPAL, DIRECTOR & SHAREHOLDER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRINCIPAL, DIRECTOR & SHAREHOLDER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT, DIRECTOR & SHAREHOLDER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT, DIRECTOR & SHAREHOLDER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRESIDENT, DIRECTOR & SHAREHOLDER | C | Control |
| O'CONNOR, JOHN, ARTHUR | I | PRINCIPAL, DIRECTOR & SHAREHOLDER | C | Control |
| O'CONNOR, SHERYL, MARY | I | CHIEF OPERATING OFFICER | C | Control |
| O'CONNOR, SHERYL, MARY | I | CHIEF OPERATING OFFICER | C | Control |
| O'CONNOR, SHERYL, MARY | I | CHIEF OPERATING OFFICER, SECRETARY | C | Control |
| O'CONNOR, SHERYL, MARY | I | CHIEF OPERATING OFFICER | C | Control |
| O'CONNOR, SHERYL, MARY | I | CHIEF OPERATING OFFICER, SECRETARY | C | Control |
| O'CONNOR, SHERYL, MARY | I | CHIEF OPERATING OFFICER, SECRETARY | C | Control |
| O'CONNOR, SHERYL, MARY | I | CHIEF OPERATING OFFICER, SECRETARY | C | Control |
| O'CONNOR, SHERYL, MARY | I | CHIEF OPERATING OFFICER, SECRETARY | C | Control |
| O'CONNOR, SHERYL, MARY | I | CHIEF OPERATING OFFICER | C | Control |
| O'CONNOR, SHERYL, MARY | I | CHIEF OPERATING OFFICER, SECRETARY | C | Control |
| O'CONNOR, SHERYL, MARY | I | CHIEF OPERATING OFFICER, SECRETARY | C | Control |
| O'CONNOR, SHERYL, MARY | I | CHIEF OPERATING OFFICER, SECRETARY | C | Control |
| O'CONNOR, SHERYL, MARY | I | PRINCIPAL | C | Control |
| O'CONNOR, SHERYL, MARY | I | SHAREHOLDER | C | Control |
| O'CONNOR, SHERYL, MARY | I | EXECUTIVE VICE PRESIDENT, BUSINESS DEVELOPMENT | C | Control |
| O'CONNOR, SHERYL, MARY | I | PRINCIPAL & SHAREHOLDER | C | Control |
| O'CONNOR, SHERYL, MARY | I | PRINCIPAL & SHAREHOLDER | C | Control |
| O'CONNOR, SHERYL, MARY | I | PRINCIPAL & SHAREHOLDER | C | Control |
| O'CONNOR, SHERYL, MARY | I | PRINCIPAL & SHAREHOLDER | C | Control |
| O'CONNOR, SHERYL, MARY | I | PRINCIPAL & SHAREHOLDER | C | Control |
| O'CONNOR, SHERYL, MARY | I | PRINCIPAL & SHAREHOLDER | C | Control |
| O'CONNOR, SHERYL, MARY | I | SHAREHOLDER | C | Control |
| O'CONNOR, SHERYL, MARY | I | SHAREHOLDER | C | Control |
| O'CONNOR, SHERYL, MARY | I | SHAREHOLDER | C | Control |
| O'CONNOR, SHERYL, MARY | I | PRINCIPAL & SHAREHOLDER | C | Control |
| CONNORS, WAYNE, NMN | I | DIRECTOR & SHAREHOLDER | B | Control |
| CONNORS, WAYNE, NMN | I | DIRECTOR & SHAREHOLDER | B | Control |
| CONNORS, WAYNE, NMN | I | DIRECTOR & SHAREHOLDER | B | Control |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | SHAREHOLDER | B | |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | SHAREHOLDER | B | |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | SHAREHOLDER | B | |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | SHAREHOLDER | B | |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | SHAREHOLDER | B | |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | SHAREHOLDER | B | |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | SHAREHOLDER | B | |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | SHAREHOLDER | B | |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | DIRECTOR | B | Control |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | SHAREHOLDER | B | Control |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | SHAREHOLDER | B | Control |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | DIRECTOR | B | Control |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | DIRECTOR | B | Control |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | DIRECTOR & SHAREHOLDER | B | Control |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | DIRECTOR | B | Control |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | DIRECTOR & SHAREHOLDER | B | Control |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | DIRECTOR & SHAREHOLDER | B | Control |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | DIRECTOR & SHAREHOLDER | B | Control |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | SHAREHOLDER | A | |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | SHAREHOLDER | A | |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | SHAREHOLDER | A | |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | SHAREHOLDER | A | |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | SHAREHOLDER | A | |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | SHAREHOLDER | A | |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | SHAREHOLDER | A | |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | SHAREHOLDER | A | |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | SHAREHOLDER | A | |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | SHAREHOLDER | A | |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | SHAREHOLDER | A | |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | SHAREHOLDER | A | |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | SHAREHOLDER | A | |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | SHAREHOLDER | A | |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | SHAREHOLDER | A | |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | SHAREHOLDER | A | |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | SHAREHOLDER | A | |
| FRANKENHOFF, CHRISTOPHER, MICHAEL | I | SHAREHOLDER | A |
Registrations
Federal
IA
Jun 30, 2020 REGISTERED
Notice Filings (39)
AL AZ CA CO CT DC DE FL GA HI IA IL IN KY MA MD ME MI MN MO NC NH NJ NM NV NY OH OR PA RI SC SD TN TX UT VA VT WA WI
Address
100 CONSTITUTION PLAZA7TH FLOOR
HARTFORD, CT 06103-1703
United States
Phone: 860-291-1998