SourcingSourcing

SIDUS INVESTMENT MANAGEMENT, LLC

B60
CRD 160406·SEC 801-73584·NEW YORK, NY
AUM
$55.1M
$25M-$100M
Est. Revenue
$551K
@ 1% on AUM
Est. EBITDA
$165K
@ 30% margin
Est. Deal Value
$1.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SIDUS INVESTMENT MANAGEMENT, LLC
CRD
160406
SEC file #
801-73584
EIN
134099498
DBA names
—

Economics

AUM
$55.1M
AUM band
$25M-$100M
AUM trajectory
'20'26
$93.1M → $55.1M▼ -41%
Client mix
Pooled Investment Vehicles4

Operations

Employees (total)
4
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'20'26
2 advisors → 2 advisors▬ 0%
Primary office
NEW YORK NY
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — pooled vehicles
Fee basis
% of AUMPerformance-based fees

Filings

Latest ADV filing
03/27/2026
ADV-W filed at
—
Website
sidusfunds.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
BARONE, MICHAEL, JOSEPH
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
3
Control Persons
BARONE, MICHAEL, JOSEPH
SCHALLES, MARK, CHARLES
Solo Advisor Indicator
No
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
SIDUSFUNDS.COM
Rdap Domain Creation Date
1999-12-24T14:30:00Z
Rdap Firm Age Years
27
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
Yes
Form 5500 Plan Count
1
Form 5500 Total Participants
6
Form 5500 Compensation Trajectory 3y
20240
Form 5500 Plan Count Trajectory 3y
20241
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Cik
0001300579
Edgar Registered
Yes
Edgar Filing Count
47
Edgar First Filing Date
2004-08-17
Edgar Last Filing Date
2009-02-09
Edgar 13f Count
19
Edgar 13f Latest AUM Estimate
Filing Date2009-02-09
Accession0000894579-09-000084

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

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
0
Bc Firm IAR Count
0
Custodian Candidates
Full
E*trade4
Edgar Addresses
Mailing
767 THIRD AVE, 15TH FLOORNEW YORK, NY 10017
Business
767 THIRD AVE, 15TH FLOORNEW YORK, NY 10017
Edgar EIN
134099498
Edgar Recent Filings
13F-HR2009-02-09 · 0000894579-09-000084
SC 13G/A2009-02-06 · 0001085146-09-000764
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2030-12-24T14:30:00Z
Rdap Domain Last Changed
2025-12-29T18:32:40Z
Rdap Nameservers
Ns19.worldnic.comNs20.worldnic.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
1708608
Trust Company Affiliate
No

People (3)

3
BARONE, MICHAEL, JOSEPH
Direct Owner · 87.5%
1708608
MARK CHARLES SCHALLES
Executive Officer · 2.5%
1437518
TOBIA, ALFRED, VICTOR
Executive Officer · 2.5%
1594221