SourcingSourcing

SPIVAK ASSET MANAGEMENT, LLC

C48
CRD 125714·SEC 801-81096·AVON, CT
AUM
$439.1M
$100M-$500M
Est. Revenue
$4.4M
@ 1% on AUM
Est. EBITDA
$1.3M
@ 30% margin
Est. Deal Value
$10.5M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SPIVAK ASSET MANAGEMENT, LLC
CRD
125714
SEC file #
801-81096
EIN
—
DBA names
—

Economics

AUM
$439.1M
AUM band
$100M-$500M
AUM trajectory
'20'26
$192.8M → $439.1M▲ +128%
Client mix
Individuals High Net Worth52
Individuals Other11

Operations

Employees (total)
1
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'20'26
1 advisors → 1 advisors▬ 0%
Primary office
AVON CT
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — individuals
Fee basis
% of AUM

Filings

Latest ADV filing
03/19/2026
ADV-W filed at
—
Website
jayspivak.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SPIVAK, JAY, STUART
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
SPIVAK, JAY, STUART
Solo Advisor Indicator
Yes
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
JAYSPIVAK.COM
Rdap Domain Creation Date
2010-12-29T01:09:03Z
Rdap Firm Age Years
16
Rdap Firm Age Band
10-20y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
1
Bc Firm IAR Count
1
Custodian Candidates
Full
E*trade4
Fidelity3
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-12-29T01:09:03Z
Rdap Domain Last Changed
2025-12-29T14:15:49Z
Rdap Nameservers
Ns11.domaincontrol.comNs12.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
2763969
Trust Company Affiliate
No

People (1)

1
SPIVAK, JAY, STUART
IAR · Direct Owner · 87.5%
2763969