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63 Forest Avenue, Locust Valley, NY 11560 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-24 |
| TX | RA | APPROVED | 2020-05-27 |
| NJ | RA | APPROVED | 2020-04-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Garden City | NY | 05/2009 | 11/2019 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 11/2019 |
| Platform Technology Partners | Woodbury | NY | 11/2019 | Present |
| Spire Securities, Llc | Woodbury | NY | 11/2019 | Present |
1.IAR and member of Northeast Private Wealth Management LLC, an SEC RIA, unaffiliated with Spire. full time duties during business hours. DBA: NEPWM for Spire related duties. Full time. 2.63 Forest Ave Holding Co, LLC; Owner; 08/30/2024; 10 hours/month; real estate management; compensation through rental income. 3.Northeast Real Estate Opp Fund. Manage the fund for our clients. General Partner. Effective date 7/23/2025. Investment related. 4.Northeast BDC. Manage LP's Investment in the fund. General Partner, Effective date 9/3/2025. Investment related. 5.Northeast SPV Fund I. Manage the fund for our clients. General Partner, Effective date 10/2/21. Investment related. 6. Northeast SPV Fund II. Manage the fund for our clients. General Partner, Effective date 10/2/2021. Investment related. 7.NE PTP Fund IV and IV 3(c)1. Manage the fund for our clients. General Partner, Effective date 10/2/21. Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-02-02 |
| S63 | Uniform Securities Agent State Law Examination | 1995-09-18 |
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