CARL MARKS MANAGEMENT COMPANY, LLC

UUIDf45e0df2-031e-5fb6-bcbf-3120632ed7c5

TypeASSET_MANAGER

Status—

Created2025-10-23 02:23:56

Updated2025-10-23 02:24:32

SEC Form ADV (XLSX Metrics)

Loads advanced metrics from the monthly IAPD XLSX exports (RAUM breakdown, client mix, service flags) into the adv_metrics table.

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SEC Form ADV Part 1 (Bulk)

Loads Form ADV Part 1 bulk data from the local CSV snapshot. Includes headquarters info, aliases, control persons, and evidence links.

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Authority	Identifier	Display	As Of	Confidence
adv_crd	107695	107695	—	1.0
lei	549300P4XZYSJYPSQ763	549300P4XZYSJYPSQ763	—	—
sec_file_number	801-41108	801-41108	—	—

HQ CityNEW YORK

HQ StateNY

HQ CountryUnited States

AUM (USD)—

AUM As OfNone

As of 2025-06-04 00:00:00 • Source ia09022025.xlsx

Name	Title	Role	Email	Evidence
BOAS, ANDREW, MARK	MANAGING MEMBER	OFFICER	—	{"filing_id": "2016259", "owner_id": "868789", "source": "adv_part1", "table": "Schedule_A_B"}
LEE, MICHAEL, SUNGMIN	MANAGING MEMBER/CHIEF INVESTMENT OFFICER	OFFICER	—	{"filing_id": "2016259", "owner_id": "7087816", "source": "adv_part1", "table": "Schedule_A_B"}
RAKELA, ESTEBAN, JORGE	MANAGING MEMBER	OFFICER	—	{"filing_id": "2016259", "owner_id": "7245829", "source": "adv_part1", "table": "Schedule_A_B"}
RUOCCO, ROBERT, C	MANAGING MEMBER	OFFICER	—	{"filing_id": "2016259", "owner_id": "2198445", "source": "adv_part1", "table": "Schedule_A_B"}
WILSON, JAMES, FORBES	MANAGING MEMBER	OFFICER	—	{"filing_id": "2016259", "owner_id": "1286961", "source": "adv_part1", "table": "Schedule_A_B"}
RIOS, MARIA, ANNE	CONTROLLER	EMPLOYEE	—	{"filing_id": "2016259", "owner_id": "4745356", "source": "adv_part1", "table": "Schedule_A_B"}
SPEER, ROBERT, ALAN	CHIEF COMPLIANCE OFFICER	EMPLOYEE	—	{"filing_id": "2016259", "owner_id": "4519468", "source": "adv_part1", "table": "Schedule_A_B"}

Relation	Organization	Last Updated	Evidence
No outbound affiliations.

Relation	Organization	Last Updated	Evidence
No inbound affiliations.