CARL MARKS MANAGEMENT COMPANY, LLC

CRD

107695

SEC file #

801-41108

EIN

844303261

DBA names

—

Economics

AUM

$374.5M

AUM band

$100M-$500M

AUM trajectory

'20 · $612.8M

'21 · $558.7M

'22 · $496.4M

'23 · $432.6M

'25 · $391.1M

'26 · $374.5M

'20'26

$612.8M → $374.5M▼ -39%

sec adv history

Client mix

Pooled Investment Vehicles

Operations

Employees (total)

Advisory staff (per ADV)

Advisory staff (5-yr trend)

'20 · 6 advisors

'21 · 5 advisors

'22 · 6 advisors

'23 · 6 advisors

'25 · 6 advisors

'26 · 6 advisors

'20'26

6 advisors → 6 advisors▬ 0%

sec adv history

Primary office

NEW YORK NY

Branches

—

Custodian & Brokerage

Primary custodian

JPMorganlow confidence

adv brochure

Services offered

Portfolio mgmt — pooled vehicles

Fee basis

% of AUMPerformance-based fees

Filings

Latest ADV filing

03/26/2026

ADV-W filed at

—

Website

carlmarks.com

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

BOAS, ANDREW, MARK

Top Owner Pct

17.5

Top Owner Entity Kind

Owner Count

Control Persons

BOAS, ANDREW, MARK

LEE, MICHAEL, SUNGMIN

Solo Advisor Indicator

Succession Risk Solo Owner

Is Parent Owned Subsidiary

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

Rdap Domain

CARLMARKS.COM

Rdap Domain Creation Date

1997-03-12T05:00:00Z

Rdap Firm Age Years

Rdap Firm Age Band

20+y

Rdap Registrar

Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book

form 5500

SEC EDGAR

Edgar Cik

0001804639

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2020-03-24

Edgar Last Filing Date

2021-03-24

Edgar Form D Count

Edgar Form D Offerings

2021-03-242021-03-24 · 0000905718-21-000441

2020-03-242020-03-24 · 0000905718-20-000319

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

Jpmorgan	6
E*trade	4

adv brochure

Edgar Addresses

Mailing

C/O CARL MARKS MANAGEMENT COMPANY, LLC900 THIRD AVENUE, 33RD FLOORNEW YORK, NY 10022

Business

C/O CARL MARKS MANAGEMENT COMPANY, LLC900 THIRD AVENUE, 33RD FLOORNEW YORK, NY 10022

Edgar EIN

844303261

Edgar Recent Filings

D/A2021-03-24 · 0000905718-21-000441

D2020-03-24 · 0000905718-20-000319

Firm Has Custody

Yes

Mailing Office Differs

Rdap Domain Expiration Date

2029-03-13T04:00:00Z

Rdap Domain Last Changed

2026-02-09T21:10:14Z

Rdap Nameservers

Ns95.worldnic.comNs96.worldnic.com

Rdap Secure Dns Enabled

Rdap Status

Client Transfer Prohibited

Top Owner CRD

868789

Trust Company Affiliate