Hedge Fund Database

PLATFORM TECHNOLOGY PARTNERS

PLATFORM TECHNOLOGY PARTNERS LLC Legal Name

Adviser information for PLATFORM TECHNOLOGY PARTNERS last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location New York, United States

Employees

Total Number of Employees 12
Investment Advisory/Research 7
Registered Broker-Dealer Representatives 9
Registered State Investment Advisers 8
Licensed Agents of an Insurance Company 5
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,640 $915.1M
Non-Discretionary 84 $21.6M
Total 1,724 $936.7M

Clients

Type Number RAUM
Individuals 450 $112.5M
HNW Individuals 155 $690.6M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 3 $83.9M
Pension and profit sharing plans <5 $2.2M
Charitable organizations 0 $0
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 6 $47.5M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 0

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)
Compensation % of AUMHourly chargesFixed fees
Other Business Activities Insurance broker or agent

Identifiers

SEC RIA File Number 801-117439
SEC ERA File Number 801-117439
SEC CIK Numbers 1830817
SEC CRD Numbers 305602
Legal Entity Identifier None

Principal Office

40 WALL STREET
17TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 8:00-5:00
Tel: 212-444-2362, Fax: None

Websites

www.neprivatewealth.com www.linkedin.com/company/northeast-private-wealth-management/ twitter.com/northeastpwm

Chief Compliance Officer

MATTHEW A. SWENDIMAN
36 WEST PIKE STREET
SECOND FLOOR
COVINGTON
KY
United States
Tel: 513-562-1675
(Full email address available in API data)

Regulatory Contact

JACLYN SANDLER
CHIEF OPERATING OFFICER
40 WALL STREET
17TH FLOOR
NEW YORK
NY
United States
Tel: 2124442362
(Full email address available in API data)

Industry Affiliates

NORTHEAST-PTP SPV FUND I GP, LLC Sponsor, GP, manager of pooled investment vehicles
NORTHEAST-PTP SPV FUND II GP, LLC Sponsor, GP, manager of pooled investment vehicles
NORTHEAST-PTP SPV FUND IV GP, LLC Sponsor, GP, manager of pooled investment vehicles
UNITED ADVISORS INVESTMENT MANAGEMENT, LLC Other investment adviser, including financial planners

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
NORTHEAST-PTP SPV FUND I, LP POOLED INVESTMENT FUND $10.2M $0.1M 47
NORTHEAST-PTP SPV FUND II LP POOLED INVESTMENT FUND $3.3M $0.1M 29
NORTHEAST-PTP SPV FUND IV, LP POOLED INVESTMENT FUND $70.3M $0.1M 217

Control Persons

Name Type Entity Title Since Ownership
SWENDIMAN, MATTHEW, ASHLEY Individual – CHIEF COMPLIANCE OFFICER 08/2019 < 5%
UNITED ATLANTIC CAPITAL, LLC Domestic Entity – OWNER 08/2019 > 75%
PENSKE, MARK, HULBERT Individual UNITED ATLANTIC CAPITAL, LLC MEMBER 08/2019 > 75%

No. Employees, Historic

2010020192020202120222023202420251 on 9/5/20191 on 11/8/20191 on 11/25/20197 on 3/23/20207 on 3/30/20207 on 4/27/20207 on 6/25/20207 on 6/26/20207 on 6/26/20207 on 6/30/20207 on 7/28/20207 on 10/30/20207 on 1/26/20218 on 3/22/20218 on 1/14/20229 on 3/22/20229 on 3/22/202212 on 3/24/202312 on 3/28/2024

RAUM, Historic

1B500M020192020202120222023202420250 on 9/5/20190 on 11/8/20190 on 11/25/2019471705990 on 3/23/2020464672891 on 3/30/2020464672891 on 4/27/2020464672891 on 6/25/2020464672891 on 6/26/2020464672891 on 6/26/2020464672891 on 6/30/2020464672891 on 7/28/2020464672891 on 10/30/2020464672891 on 1/26/2021561165657 on 3/22/2021561165657 on 1/14/2022668336065 on 3/22/2022668336065 on 3/22/2022648283133 on 3/24/2023936699274 on 3/28/2024

No. Clients, Historic

700350020192020202120222023202420250 on 9/5/20190 on 11/8/20190 on 11/25/2019221 on 3/23/2020222 on 3/30/2020222 on 4/27/2020222 on 6/25/2020222 on 6/26/2020222 on 6/26/2020222 on 6/30/2020222 on 7/28/2020222 on 10/30/2020222 on 1/26/2021363 on 3/22/2021363 on 1/14/2022449 on 3/22/2022449 on 3/22/2022519 on 3/24/2023615 on 3/28/2024

Holdings

From latest 13F, filed July 30th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
3M CO COM 267K 3K –
AB ACTIVE ETFS INC HIGH YIELD ETF 394K 11K –
AB ACTIVE ETFS INC TAX AWARE SHRT 2M 74K –
ABBOTT LABS COM 813K 8K –
ABBVIE INC COM 2M 10K –
ACCENTURE PLC IRELAND SHS CLASS A 605K 2K –
ADOBE INC COM 287K 516 –
AIR PRODS & CHEMS INC COM 225K 872 –
AKAMAI TECHNOLOGIES INC COM 387K 4K –
ALPHABET INC CAP STK CL A 4M 24K –
ALPHABET INC CAP STK CL C 4M 24K –
ALTRIA GROUP INC COM 371K 8K –
AMAZON COM INC COM 11M 55K –
AMERICAN ELEC PWR CO INC COM 450K 5K –
AMERICAN EXPRESS CO COM 878K 4K –
AMERICAN TOWER CORP NEW COM 458K 2K –
AMERIPRISE FINL INC COM 206K 482 –
AMGEN INC COM 2M 6K –
AMPHENOL CORP NEW CL A 323K 5K –
APOLLO GLOBAL MGMT INC COM 8M 65K –
APPLE INC COM 28M 131K –
APPLIED MATLS INC COM 667K 3K –
ARES CAPITAL CORP COM 550K 26K –
AT&T INC COM 330K 17K –
AUTOMATIC DATA PROCESSING IN COM 394K 2K –
BANK AMERICA CORP COM 871K 22K –
BERKLEY W R CORP COM 321K 4K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 6M 14K –
BEYOND INC COM 131K 10K –
BIOGEN INC COM 330K 1K –
BLACK HILLS CORP COM 345K 6K –
BLACKROCK INC COM 339K 431 –
BLACKSTONE INC COM 2M 18K –
BOEING CO COM 2M 9K –
BOOKING HOLDINGS INC COM 543K 137 –
BRISTOL-MYERS SQUIBB CO COM 1M 25K –
BROADCOM INC COM 425K 265 –
BROADRIDGE FINL SOLUTIONS IN COM 621K 3K –
CANADIAN PACIFIC KANSAS CITY COM 606K 8K –
CAPITAL ONE FINL CORP COM 393K 3K –
CATERPILLAR INC COM 797K 2K –
CDW CORP COM 245K 1K –
CHEVRON CORP NEW COM 3M 19K –
CHUBB LIMITED COM 2M 9K –
CISCO SYS INC COM 428K 9K –
CLOROX CO DEL COM 954K 7K –
COCA COLA CO COM 532K 8K –
COLGATE PALMOLIVE CO COM 2M 16K –
COMCAST CORP NEW CL A 285K 7K –
CONOCOPHILLIPS COM 1M 13K –
CONSOLIDATED EDISON INC COM 748K 8K –
CONSTELLATION BRANDS INC CL A 2M 6K –
CONSTELLATION ENERGY CORP COM 393K 2K –
CONTAINER STORE GROUP INC COM 10K 19K –
COOPER COS INC COM 227K 3K –
COSTCO WHSL CORP NEW COM 3M 4K –
CSX CORP COM 491K 15K –
CUMMINS INC COM 227K 819 –
DIMENSIONAL ETF TRUST US SMALL CAP ETF 2M 37K –
DISNEY WALT CO COM 670K 7K –
DOMINION ENERGY INC COM 812K 17K –
DRIVEN BRANDS HLDGS INC COM 637K 50K –
DUKE ENERGY CORP NEW COM NEW 2M 16K –
EATON CORP PLC SHS 372K 1K –
EDWARDS LIFESCIENCES CORP COM 290K 3K –
ELEVANCE HEALTH INC COM 405K 748 –
ELI LILLY & CO COM 2M 2K –
ENERGY TRANSFER L P COM UT LTD PTN 1M 70K –
ENTERGY CORP NEW COM 218K 2K –
ENTERPRISE PRODS PARTNERS L COM 777K 27K –
EVOLV TECHNOLOGIES HLDNGS IN COM CL A 498K 195K –
EXELON CORP COM 269K 8K –
EXXON MOBIL CORP COM 1M 11K –
FEDERATED HERMES ETF TRUST HERMES TOTAL RET 2M 96K –
FINGERMOTION INC COM 364K 143K –
FIRST TR EXCH TRADED FD III INSTL PFD SECS 2M 90K –
FIRST TR EXCH TRADED FD III MUNI HI INCM ETF 3M 58K –
FIRST TR EXCH TRADED FD III PFD SECS INC ETF 409K 24K –
FIRST TR EXCH TRADED FD III NEW YORK MUNI 286K 11K –
FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 357K 7K –
FIRST TR EXCHANGE-TRADED FD LIMITED DURATION 852K 45K –
FIRST TR EXCHANGE-TRADED FD NASD TECH DIV 240K 3K –
FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 695K 13K –
G III APPAREL GROUP LTD COM 217K 8K –
GD CULTURE GROUP LTD COM NEW 23K 20K –
GE AEROSPACE COM NEW 3M 16K –
GE HEALTHCARE TECHNOLOGIES I COMMON STOCK 425K 5K –
GE VERNOVA INC COM 665K 4K –
GEN DIGITAL INC COM 308K 12K –
GERON CORP COM 43K 10K –
GLOBALSTAR INC COM 13K 12K –
GOLDMAN SACHS GROUP INC COM 2M 5K –
HARBOR ETF TRUST HARBOR COMMODITY 693K 31K –
HDFC BANK LTD SPONSORED ADS 467K 7K –
HOME DEPOT INC COM 3M 9K –
HONEYWELL INTL INC COM 1M 5K –
HYDROFARM HLDGS GROUP INC COM 23K 33K –
ILLUMINA INC COM 352K 3K –
INNODATA INC COM NEW 425K 29K –
INSPIRED ENTMT INC COM 110K 12K –
INTEL CORP COM 250K 8K –
INTERNATIONAL BUSINESS MACHS COM 597K 3K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 341K 2K –
INVESCO QQQ TR UNIT SER 1 2M 3K –
IQVIA HLDGS INC COM 283K 1K –
ISHARES SILVER TR ISHARES 231K 9K –
ISHARES TR 1 3 YR TREAS BD 3M 36K –
ISHARES TR CORE S&P500 ETF 5M 9K –
ISHARES TR MSCI INTL QUALTY 288K 7K –
ISHARES TR RUS 1000 GRW ETF 223K 613 –
ISHARES TR RUS 1000 VAL ETF 254K 1K –
ISHARES TR SELECT DIVID ETF 1M 9K –
ISHARES TR US REAL ES ETF 277K 3K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 251K 4K –
J P MORGAN EXCHANGE TRADED F SHORT DURA CORE 4M 94K –
JOHNSON & JOHNSON COM 3M 24K –
JPMORGAN CHASE & CO COM 6M 29K –
KAYNE ANDERSON ENERGY INFRST COM 180K 17K –
KROGER CO COM 210K 4K –
LLOYDS BANKING GROUP PLC SPONSORED ADR 98K 36K –
LOCKHEED MARTIN CORP COM 2M 4K –
MASTERCARD INCORPORATED CL A 1M 3K –
MATINAS BIOPHARMA HLDGS INC COM 25K 156K –
MCDONALDS CORP COM 2M 9K –
MEDTRONIC PLC SHS 2M 21K –
MERCK & CO INC COM 2M 12K –
META PLATFORMS INC CL A 5M 10K –
MICRON TECHNOLOGY INC COM 204K 2K –
MICROSOFT CORP COM 16M 37K –
MONDELEZ INTL INC CL A 339K 5K –
NATIXIS ETF TR LOOMIS SAYLES 435K 18K –
NETFLIX INC COM 980K 1K –
NEW YORK CMNTY BANCORP INC COM 42K 13K –
NEXTERA ENERGY INC COM 2M 33K –
NIKE INC CL B 946K 13K –
NOKIA CORP SPONSORED ADR 75K 20K –
NOVARTIS AG SPONSORED ADR 286K 3K –
NOVO-NORDISK A S ADR 584K 4K –
NU HLDGS LTD ORD SHS CL A 576K 45K –
NUVEEN FLOATING RATE INCOME COM 122K 14K –
NVIDIA CORPORATION COM 9M 75K –
ORACLE CORP COM 1M 10K –
OREILLY AUTOMOTIVE INC COM 256K 243 –
PALANTIR TECHNOLOGIES INC CL A 395K 16K –
PAYPAL HLDGS INC COM 282K 5K –
PEPSICO INC COM 3M 17K –
PFIZER INC COM 541K 19K –
PHILIP MORRIS INTL INC COM 693K 7K –
PLAINS GP HLDGS L P LTD PARTNR INT A 223K 12K –
PNC FINL SVCS GROUP INC COM 242K 2K –
PROCTER AND GAMBLE CO COM 3M 15K –
PROSHARES TR S&P 500 DV ARIST 1M 11K –
PRUDENTIAL FINL INC COM 264K 2K –
PURECYCLE TECHNOLOGIES INC COM 665K 112K –
PURPLE INNOVATION INC COM 36K 35K –
QUALCOMM INC COM 277K 1K –
RTX CORPORATION COM 3M 26K –
RUMBLE INC COM CL A 449K 81K –
S&P GLOBAL INC COM 2M 3K –
SALESFORCE INC COM 2M 6K –
SAREPTA THERAPEUTICS INC COM 338K 2K –
SCHWAB CHARLES CORP COM 503K 7K –
SCHWAB STRATEGIC TR US DIVIDEND EQ 6M 78K –
SELECT SECTOR SPDR TR ENERGY 696K 8K –
SELECT SECTOR SPDR TR SBI CONS STPLS 488K 6K –
SELECT SECTOR SPDR TR SBI HEALTHCARE 457K 3K –
SELECT SECTOR SPDR TR SBI INT-UTILS 605K 9K –
SHOPIFY INC CL A 263K 4K –
SIMON PPTY GROUP INC NEW COM 291K 2K –
SIXTH STREET SPECIALTY LENDI COM 600K 28K –
SNOWFLAKE INC CL A 285K 2K –
SOUTHERN CO COM 270K 3K –
SPDR GOLD TR GOLD SHS 1M 6K –
SPDR S&P 500 ETF TR TR UNIT 4M 7K –
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 441K 825 –
SPDR SER TR PORTFOLIO S&P500 559K 9K –
SPIRIT AIRLS INC COM 39K 11K –
STARBUCKS CORP COM 1M 19K –
STRYKER CORPORATION COM 275K 807 –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 243K 1K –
TARGET CORP COM 649K 4K –
TC BIOPHARM HOLDINGS PLC SPONSORED ADR 41K 50K –
TELESAT CORP CL A & CL B SHS 252K 28K –
TEMPUR SEALY INTL INC COM 311K 7K –
TESLA INC COM 2M 12K –
TEXAS INSTRS INC COM 223K 1K –
THE CIGNA GROUP COM 346K 1K –
THE REALREAL INC COM 74K 23K –
THERMO FISHER SCIENTIFIC INC COM 371K 671 –
TILRAY BRANDS INC COM 166K 100K –
TIZIANA LIFE SCIENCES LTD COMMON SHARES 28K 30K –
TJX COS INC NEW COM 911K 8K –
TRANE TECHNOLOGIES PLC SHS 497K 2K –
TRIMTABS ETF TR FCF US QLTY ETF 2M 32K –
UNIFI INC COM NEW 59K 10K –
UNILEVER PLC SPON ADR NEW 322K 6K –
UNION PAC CORP COM 2M 9K –
UNITED PARCEL SERVICE INC CL B 264K 2K –
UNITEDHEALTH GROUP INC COM 2M 4K –
VANECK ETF TRUST GOLD MINERS ETF 204K 6K –
VANGUARD BD INDEX FDS INTERMED TERM 2M 24K –
VANGUARD INDEX FDS GROWTH ETF 2M 5K –
VANGUARD INDEX FDS MID CAP ETF 777K 3K –
VANGUARD INDEX FDS REAL ESTATE ETF 322K 4K –
VANGUARD INDEX FDS S&P 500 ETF SHS 3M 6K –
VANGUARD INDEX FDS SMALL CP ETF 333K 2K –
VANGUARD INDEX FDS TOTAL STK MKT 544K 2K –
VANGUARD INDEX FDS VALUE ETF 1M 8K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 360K 8K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 925K 19K –
VANGUARD WHITEHALL FDS HIGH DIV YLD 3M 22K –
VANGUARD WORLD FD MEGA GRWTH IND 458K 1K –
VERIZON COMMUNICATIONS INC COM 1M 29K –
VERTEX PHARMACEUTICALS INC COM 636K 1K –
VISA INC COM CL A 3M 10K –
WALMART INC COM 2M 25K –
WATSCO INC COM 317K 685 –
WELLS FARGO CO NEW COM 677K 11K –
WIDEPOINT CORP COMMON 196K 47K –
WILLIAMS COS INC COM 2M 44K –
WISDOMTREE TR ITL HDG QTLY DIV 831K 18K –
WISDOMTREE TR US LARGECAP DIVD 1M 17K –
WISDOMTREE TR US MIDCAP DIVID 807K 17K –
WISDOMTREE TR US SMALLCAP DIVD 1M 40K –
WRAP TECHNOLOGIES INC COM 24K 12K –
YUM BRANDS INC COM 525K 4K –
ZOETIS INC CL A 396K 2K –