Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM
Total Accounts
10Y AUM Change
Private Funds
Private funds reported by Tspi, LP
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Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees
Clients per Employee
10Y Employee Change
Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
Ownership
Reported direct and indirect ownership ranges
Each range applies to a separate reported relationship and should not be added together.
Reported ownership ranges
Highlighted bands show the percentage range reported in Form ADV.
0%25%50%75%100%
JOHN A. OVERDECK REVOCABLE TRUSTDirect owner · Schedule AInterest in TSPI, LP
25% to < 50%
DAVID M. SIEGEL REVOCABLE TRUSTDirect owner · Schedule AInterest in TSPI, LP
25% to < 50%
JOHN ALBERT OVERDECKDirect owner · Schedule AInterest in TSPI, LP
25% to < 50%
DAVID MARK SIEGELDirect owner · Schedule AInterest in TSPI, LP
25% to < 50%
SUNBURST TRUSTDirect owner · Schedule AInterest in TSPI, LP
5% to < 10%
SUDACHI CONTINUATION TRUSTDirect owner · Schedule AInterest in TSPI, LP
5% to < 10%
SUNFLOWER PTC LLCDirect owner · Schedule AInterest in TSPI, LP
5% to < 10%
SHINRAI PTC LLCDirect owner · Schedule AInterest in TSPI, LP
5% to < 10%
TWO SIGMA MANAGEMENT, LLCDirect owner · Schedule AInterest in TSPI, LP
< 5%
THOMAS GERARD RAFFERTYDirect owner · Schedule AInterest in TSPI, LP
< 5%
SUNFLOWER SPECIAL PURPOSE TRUST IIndirect owner · Schedule BInterest in SUNFLOWER PTC LLC
75%+
SHINRAI SPECIAL PURPOSE TRUST IIndirect owner · Schedule BInterest in SHINRAI PTC LLC
75%+
JOHN A. OVERDECK REVOCABLE TRUSTIndirect owner · Schedule BInterest in TWO SIGMA MANAGEMENT, LLC
25% to < 50%
DAVID M. SIEGEL REVOCABLE TRUSTIndirect owner · Schedule BInterest in TWO SIGMA MANAGEMENT, LLC
25% to < 50%
Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Tspi, LP.
Reported ownership and control details
Form ADV · Filing date 2026-05-29 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | TWO SIGMA MANAGEMENT, LLCGENERAL PARTNERDomestic entity | TSPI, LP | Less than 5%Code NA | Yes | GENERAL PARTNER10/2017 | Schedule APDF page 75 |
| 2 | JOHN A. OVERDECK REVOCABLE TRUSTLIMITED PARTNERDomestic entity | TSPI, LP | 25% to less than 50%Code C | Yes | LIMITED PARTNER10/2017 | Schedule APDF page 75 |
| 3 | DAVID M. SIEGEL REVOCABLE TRUSTLIMITED PARTNERDomestic entity | TSPI, LP | 25% to less than 50%Code C | Yes | LIMITED PARTNER10/2017 | Schedule APDF page 75 |
| 4 | JOHN ALBERT OVERDECKTRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUSTIndividual | TSPI, LP | 25% to less than 50%Code C | Yes | TRUSTEE OF JOHN A. OVERDECK REVOCABLE TRUST12/2007 | Schedule APDF page 75 |
| 5 | DAVID MARK SIEGELTRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUSTIndividual | TSPI, LP | 25% to less than 50%Code C | Yes | TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST12/2007 | Schedule APDF page 75 |
| 6 | SUNBURST TRUSTLIMITED PARTNERDomestic entity | TSPI, LP | 5% to less than 10%Code A | No | LIMITED PARTNER01/2020 | Schedule APDF page 75 |
| 7 | SUDACHI CONTINUATION TRUSTLIMITED PARTNERDomestic entity | TSPI, LP | 5% to less than 10%Code A | No | LIMITED PARTNER12/2025 | Schedule APDF page 75 |
| 8 | SUNFLOWER PTC LLCTRUSTEE OF SUNBURST TRUSTDomestic entity | TSPI, LP | 5% to less than 10%Code A | No | TRUSTEE OF SUNBURST TRUST01/2020 | Schedule APDF page 75 |
| 9 | SHINRAI PTC LLCTRUSTEE OF CONTINUATION SUDACHI TRUSTDomestic entity | TSPI, LP | 5% to less than 10%Code A | No | TRUSTEE OF CONTINUATION SUDACHI TRUST12/2025 | Schedule APDF page 75 |
| 10 | STEVE HAMILTON METZGERGENERAL COUNSELIndividual | TSPI, LP | Less than 5%Code NA | No | GENERAL COUNSEL07/2023 | Schedule APDF page 75 |
| 11 | ROMAN BERGERCHIEF COMPLIANCE OFFICERIndividual | TSPI, LP | Less than 5%Code NA | No | CHIEF COMPLIANCE OFFICER08/2024 | Schedule APDF page 75 |
| 12 | JOHN ALBERT OVERDECKCO-CHAIRMAN, TWO SIGMA MANAGEMENT, LLC; EXECUTIVE MANAGER, TWO SIGMA MANAGEMENT, LLCIndividual | TSPI, LP | Less than 5%Code NA | Yes | CO-CHAIRMAN, TWO SIGMA MANAGEMENT, LLC; EXECUTIVE MANAGER, TWO SIGMA MANAGEMENT, LLC09/2024 | Schedule APDF page 75 |
| 13 | DAVID MARK SIEGELCO-CHAIRMAN, TWO SIGMA MANAGEMENT, LLCIndividual | TSPI, LP | Less than 5%Code NA | Yes | CO-CHAIRMAN, TWO SIGMA MANAGEMENT, LLC09/2024 | Schedule APDF page 75 |
| 14 | VIGNESH RAJENDRANEXECUTIVE DIRECTORIndividual | TSPI, LP | Less than 5%Code NA | Yes | EXECUTIVE DIRECTOR11/2025 | Schedule APDF page 75 |
| 15 | SETH PHILLIP PLATTEXECUTIVE MANAGER, TWO SIGMA MANAGEMENT, LLCIndividual | TSPI, LP | Less than 5%Code NA | Yes | EXECUTIVE MANAGER, TWO SIGMA MANAGEMENT, LLC03/2026 | Schedule APDF page 75 |
| 16 | THOMAS GERARD RAFFERTYTRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUSTIndividual | TSPI, LP | Less than 5%Code NA | No | TRUSTEE OF DAVID M. SIEGEL REVOCABLE TRUST02/2026 | Schedule APDF page 75 |
| 17 | JOHN A. OVERDECK REVOCABLE TRUSTMEMBERDomestic entity | TWO SIGMA MANAGEMENT, LLC | 25% to less than 50%Code C | Yes | MEMBER01/2008 | Schedule BPDF page 75 |
| 18 | DAVID M. SIEGEL REVOCABLE TRUSTMEMBERDomestic entity | TWO SIGMA MANAGEMENT, LLC | 25% to less than 50%Code C | Yes | MEMBER01/2008 | Schedule BPDF page 75 |
| 19 | SUNFLOWER PTC LLCTRUSTEEDomestic entity | SUNBURST TRUST | Percentage not specifiedCode F | No | TRUSTEE01/2020 | Schedule BPDF page 75 |
| 20 | DAVID MARK SIEGELTRUSTEEIndividual | DAVID M. SIEGEL REVOCABLE TRUST | Percentage not specifiedCode F | Yes | TRUSTEE12/2007 | Schedule BPDF page 76 |
| 21 | SUNFLOWER SPECIAL PURPOSE TRUST IMEMBERDomestic entity | SUNFLOWER PTC LLC | 75% or moreCode E | No | MEMBER01/2020 | Schedule BPDF page 76 |
| 22 | SUNFLOWER SPECIAL PURPOSE TRUST IIMANAGERDomestic entity | SUNFLOWER PTC LLC | Percentage not specifiedCode F | No | MANAGER01/2020 | Schedule BPDF page 76 |
| 23 | FRONTIER DIRECTED FIDUCIARY SERVICES LLCTRUSTEEDomestic entity | SUNFLOWER SPECIAL PURPOSE TRUST I | Percentage not specifiedCode F | No | TRUSTEE01/2020 | Schedule BPDF page 76 |
| 24 | SHINRAI PTC LLCTRUSTEEDomestic entity | SUDACHI CONTINUATION TRUST | Percentage not specifiedCode F | No | TRUSTEE12/2025 | Schedule BPDF page 76 |
| 25 | SHINRAI SPECIAL PURPOSE TRUST IMEMBERDomestic entity | SHINRAI PTC LLC | 75% or moreCode E | No | MEMBER01/2020 | Schedule BPDF page 76 |
| 26 | WILLOW STREET TRUST COMPANY OF WYOMING LLCTRUSTEEDomestic entity | SHINRAI SPECIAL PURPOSE TRUST I | Percentage not specifiedCode F | No | TRUSTEE03/2025 | Schedule BPDF page 76 |
| 27 | JOHN ALBERT OVERDECKCO-CHAIRMAN; EXECUTIVE MANAGERIndividual | TWO SIGMA MANAGEMENT, LLC | Percentage not specifiedCode F | Yes | CO-CHAIRMAN; EXECUTIVE MANAGER09/2024 | Schedule BPDF page 76 |
| 28 | DAVID MARK SIEGELCO-CHAIRMANIndividual | TWO SIGMA MANAGEMENT, LLC | Percentage not specifiedCode F | Yes | CO-CHAIRMAN09/2024 | Schedule BPDF page 76 |
| 29 | SETH PHILLIP PLATTEXECUTIVE MANAGERIndividual | TWO SIGMA MANAGEMENT, LLC | Percentage not specifiedCode F | Yes | EXECUTIVE MANAGER03/2026 | Schedule BPDF page 76 |
| 30 | THOMAS GERARD RAFFERTYTRUSTEEIndividual | DAVID M. SIEGEL REVOCABLE TRUST | Percentage not specifiedCode F | No | TRUSTEE02/2026 | Schedule BPDF page 76 |
Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.
Compliance & Disclosures
Filing dated 5/29/2026 9:53:57 AM
Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.
RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No
In the past ten years, have you or any advisory affiliate:
- A1Been convicted of or pleaded guilty or no contest to a felony?No
- A2Been charged with a felony?No
BMisdemeanors2 No
In the past ten years, have you or any advisory affiliate:
- B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
- B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No
Has the SEC or CFTC ever:
- C1Found you or an advisory affiliate made a false statement or omission?No
- C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
- C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
- C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No
Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:
- D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
- D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
- D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
- D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No
Has a self-regulatory organization or commodities exchange ever:
- E1Found you or an advisory affiliate made a false statement or omission?No
- E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
- E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
- FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
- GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No
(1) Court actions
Has a domestic or foreign court:
- H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
- H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
- H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No
(2) Pending civil proceedings
- H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.