Red Dot Trading, LLC (New York)


Red Dot Trading, LLC is a mid-sized advisory firm based in New York. It manages $61.64 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdiction of New York.

Red Dot Trading provides portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and investment adviser to private funds. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Red Dot Trading: assets under management

The assets under management (AUM) of Red Dot Trading, LLC is $61.64 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 23% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $61.64 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $61.64 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Red Dot Trading, LLC for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Red Dot Trading, LLC

Michael James Fowler joined the executive team most recently as the Senior Portfolio Manager.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Michael James Fowler Partner 1 Jan 2007 50% - 75% 4513451
Joshua Louis Levy Partner and chief compliance officer 1 Jan 2007 Other 5912674
Red Dot Trade Finance Llc Owner 1 Dec 2009 25% - 50% 27-1441836
Michael James Fowler Senior portfolio manager 1 Jun 2011 Other 4513451
Rick Harris Singer Chief executive officer 1 Jun 2011 Other 1144531
Edward Eugene Hamilton Head of business development 1 Jun 2011 Other 1607897
Stephanie Michelle Miller Head of operations 1 Jun 2011 Other 5944224
Steven L Richman Chief compliance officer 1 Jun 2011 Other 5944237
Eastbridge Real Estate Llc Sole member 1 Jun 2011 75% - 100% 27-0688306

Indirect Owners

The SEC currently registers 5 indirect owners.

Name Entity Date acquired Ownership Employer ID
Edward Eugene Hamilton Sole shareholder 1 Dec 2004 75% - 100% 1607897
Rhs Holdings Corporation Member 1 Oct 2009 75% - 100% 27-1139401
Axel Ventures Incorporated Member 1 Oct 2009 25% - 50% 56-2493749
Rick Harris Singer Sole shareholder 1 Oct 2009 75% - 100% 1144531
Joshua Louis Levy Owner 1 Dec 2009 75% - 100% 5912674

Based in New York

The principal office where Red Dot Trading, LLC performs its advisory services is located at 555 Fifth Avenue, New York, NY 10017 The mailing address of the firm is 555 Fifth Avenue, New York, NY 10017. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-503-0410. The normal business hours are appt only on Other. You can find more information about the New York firm at www.reddottrading.com.