VERTEX INVESTMENT MANAGEMENT INC
CRD #108643 SEC #801-55282 BOSTON, MA 617-954-5835
SEC Registered
Total AUM
$25M
Discretionary
$25M
Employees
10
Clients
--
Accounts
2
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 28, 2002
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BALLEN, JOHN, WILLIAM | I | EXECUTIVE V.P. AND CHIEF INVESTMENT OFFICER | NA | |
| BALLEN, JOHN, WILLIAM | I | EXECUTIVE V.P. AND CHIEF INVESTMENT OFFICER | NA | |
| CAVAN, STEPHEN, EDWARD | I | SECRETARY | NA | |
| CAVAN, STEPHEN, EDWARD | I | SECRETARY | NA | |
| DELLORUSSO, JOSEPH, WILLIAM | I | TREASURER | NA | |
| ELLIS, SHARON, JOY | I | DIRECTOR OF COMPLIANCE | NA | |
| ELLIS, SHARON, JOY | I | DIRECTOR OF COMPLIANCE | NA | |
| PARKE, KEVIN, RALPH | I | DIRECTOR | NA | |
| PARKE, KEVIN, RALPH | I | DIRECTOR | NA | |
| SHAMES, JEFFREY, LEE | I | PRESIDENT & DIRECTOR | NA | Control |
| SHAMES, JEFFREY, LEE | I | PRESIDENT & DIRECTOR | NA | Control |
| WHELAN, ROBERT, JOSEPH | I | TREASURER | NA | |
| MASSACHUSETTS FINANCIAL SERVICES COMPANY | DE | PARENT COMPANY | E | Control |
| MASSACHUSETTS FINANCIAL SERVICES COMPANY | DE | PARENT COMPANY | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| SUN LIFE ASSURANCE COMPANY OF CANADA | FE | SUN LIFE ASSURANCE COMPANY OF CANADA - US OPERATIONS HOLDINGS, INC. | E | Control |
| SUN LIFE ASSURANCE COMPANY OF CANADA | FE | SUN LIFE ASSURANCE COMPANY OF CANADA - US OPERATIONS HOLDINGS, INC. | E | Control |
| SUN LIFE ASSURANCE COMPANY OF CANADA - US OPERATIONS HOLDINGS, INC. | DE | SUN LIFE FINANCIAL (U.S.) HOLDINGS, INC. | E | Control |
| SUN LIFE ASSURANCE COMPANY OF CANADA - US OPERATIONS HOLDINGS, INC. | DE | SUN LIFE FINANCIAL (U.S.) HOLDINGS, INC. | E | Control |
| SUN LIFE FINANCIAL (U.S.) HOLDINGS, INC. | DE | SUN LIFE FINANCIAL (U.S.) INVESTMENTS LLC | E | Control |
| SUN LIFE FINANCIAL (U.S.) HOLDINGS, INC. | DE | SUN LIFE FINANCIAL (U.S.) INVESTMENTS LLC | E | Control |
| SUN LIFE FINANCIAL (U.S.)INVESTMENTS LLC | DE | SUN LIFE OF CANADA (U.S.) FINANCIAL SERVICES HOLDINGS, INC. | E | Control |
| SUN LIFE FINANCIAL (U.S.)INVESTMENTS LLC | DE | SUN LIFE OF CANADA (U.S.) FINANCIAL SERVICES HOLDINGS, INC. | E | Control |
| SUN LIFE FINANCIAL SERVICES OF CANADA, INC. | FE | SUN LIFE ASSURANCE COMPANY OF CANADA | E | Control |
| SUN LIFE FINANCIAL SERVICES OF CANADA, INC. | FE | SUN LIFE ASSURANCE COMPANY OF CANADA | E | Control |
| SUN LIFE OF CANADA (U.S.) FINANCIAL SERVICES HOLDINGS, INC. | DE | MASSACHUSETTS FINANCIAL SERVICES COMPANY | E | Control |
| SUN LIFE OF CANADA (U.S.) FINANCIAL SERVICES HOLDINGS, INC. | DE | MASSACHUSETTS FINANCIAL SERVICES COMPANY | E | Control |
Registrations
Federal
IA
Mar 28, 2002 REGISTERED
Address
500 BOYLSTON STREETBOSTON, MA 2116
USA
Phone: 617-954-5835