NORTHCOAST ASSET MANAGEMENT LLC
CRD #109582 SEC #801-57294 GREENWICH, CT 203-532-7000
SEC Registered
Total AUM
$2.1B
Discretionary
$2.1B
Employees
32
Clients
--
Accounts
5,971
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 29, 2021
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| DEAN, MARK, CHRISTMAN | I | VICE PRESIDENT,TREASURER, MANAGER | NA | Control |
| DEAN, MARK, CHRISTMAN | I | VICE PRESIDENT,TREASURER, MANAGER | NA | Control |
| DEAN, MARK, CHRISTMAN | I | VICE PRESIDENT,TREASURER, MANAGER | NA | Control |
| DEAN, MARK, CHRISTMAN | I | VICE PRESIDENT,TREASURER, SECRETARY | NA | Control |
| DEAN, MARK, CHRISTMAN | I | VICE PRESIDENT,TREASURER, SECRETARY | NA | Control |
| DEAN, MARK, CHRISTMAN | I | VICE PRESIDENT,TREASURER, MANAGER | NA | Control |
| DEAN, MARK, CHRISTMAN | I | VICE PRESIDENT,TREASURER, SECRETARY | NA | Control |
| DEAN, MARK, CHRISTMAN | I | VICE PRESIDENT,TREASURER, SECRETARY | NA | Control |
| DEAN, MARK, CHRISTMAN | I | VICE PRESIDENT,TREASURER, SECRETARY | NA | Control |
| DEAN, MARK, CHRISTMAN | I | VICE PRESIDENT,TREASURER, MANAGER | NA | Control |
| DEAN, MARK, CHRISTMAN | I | VICE PRESIDENT,TREASURER, SECRETARY | NA | Control |
| DEAN, MARK, CHRISTMAN | I | VICE PRESIDENT,TREASURER, MANAGER | NA | Control |
| DEAN, MARK, CHRISTMAN | I | VICE PRESIDENT,TREASURER, MANAGER | NA | Control |
| DEAN, MARK, CHRISTMAN | I | VICE PRESIDENT,TREASURER, SECRETARY | NA | Control |
| DEAN, MARK, CHRISTMAN | I | VICE PRESIDENT,TREASURER, MANAGER | NA | Control |
| DEAN, MARK, CHRISTMAN | I | VICE PRESIDENT,TREASURER, MANAGER | NA | Control |
| DEAN, MARK, CHRISTMAN | I | VICE PRESIDENT,TREASURER, MANAGER | NA | Control |
| DEAN, MARK, CHRISTMAN | I | VICE PRESIDENT,TREASURER, SECRETARY | NA | Control |
| DEAN, MARK, CHRISTMAN | I | VICE PRESIDENT,TREASURER, SECRETARY | NA | Control |
| DEAN, MARK, CHRISTMAN | I | MANAGING DIRECTOR - FINANCE | NA | Control |
| DEAN, MARK, CHRISTMAN | I | MANAGING DIRECTOR - FINANCE | NA | Control |
| DEAN, MARK, CHRISTMAN | I | MANAGING DIRECTOR - FINANCE | NA | Control |
| DEAN, MARK, CHRISTMAN | I | MANAGING DIRECTOR - FINANCE | NA | Control |
| DEAN, MARK, CHRISTMAN | I | MANAGING DIRECTOR - FINANCE | NA | Control |
| DEAN, MARK, CHRISTMAN | I | MANAGING DIRECTOR - FINANCE | NA | Control |
| DEAN, MARK, CHRISTMAN | I | VICE PRESIDENT,TREASURER, SECRETARY | NA | Control |
| DEAN, MARK, CHRISTMAN | I | VICE PRESIDENT,TREASURER, SECRETARY | NA | Control |
| DEAN, MARK, CHRISTMAN | I | MANAGING DIRECTOR - FINANCE | NA | Control |
| DEAN, MARK, CHRISTMAN | I | MANAGING DIRECTOR - FINANCE | NA | Control |
| DEAN, MARK, CHRISTMAN | I | MANAGING DIRECTOR - FINANCE | NA | Control |
| DEAN, MARK, CHRISTMAN | I | MANAGING DIRECTOR - FINANCE | NA | Control |
| DEAN, MARK, CHRISTMAN | I | MANAGING DIRECTOR - FINANCE | NA | Control |
| DEAN, MARK, CHRISTMAN | I | MANAGING DIRECTOR - FINANCE | NA | Control |
| DEAN, MARK, CHRISTMAN | I | MANAGING DIRECTOR - FINANCE | NA | Control |
| DEAN, MARK, CHRISTMAN | I | MANAGING DIRECTOR - FINANCE | NA | Control |
| DEAN, MARK, CHRISTMAN | I | MANAGING DIRECTOR - FINANCE | NA | Control |
| DEAN, MARK, CHRISTMAN | I | MANAGING DIRECTOR - FINANCE | NA | Control |
| DEAN, MARK, CHRISTMAN | I | VICE PRESIDENT,TREASURER, SECRETARY | NA | Control |
| DEAN, MARK, CHRISTMAN | I | VICE PRESIDENT,TREASURER, SECRETARY | NA | Control |
| DEAN, MARK, CHRISTMAN | I | VICE PRESIDENT,TREASURER, SECRETARY | NA | Control |
| DEAN, MARK, CHRISTMAN | I | MANAGING DIRECTOR - FINANCE / MEMBER | NA | Control |
| DEAN, MARK, CHRISTMAN | I | MANAGING DIRECTOR - FINANCE / MEMBER | NA | Control |
| DEAN, MARK, CHRISTMAN | I | MANAGING DIRECTOR - FINANCE | NA | Control |
| DEAN, MARK, CHRISTMAN | I | MANAGING DIRECTOR - FINANCE / MEMBER | NA | Control |
| DEAN, MARK, CHRISTMAN | I | MANAGING DIRECTOR - FINANCE / MEMBER | NA | Control |
| DEAN, MARK, CHRISTMAN | I | MANAGING DIRECTOR - FINANCE / MEMBER | NA | Control |
| DEAN, MARK, CHRISTMAN | I | MANAGING DIRECTOR - FINANCE / MEMBER | NA | Control |
| DEAN, MARK, CHRISTMAN | I | MANAGING DIRECTOR - FINANCE / MEMBER | NA | Control |
| DEAN, MARK, CHRISTMAN | I | MANAGING DIRECTOR - FINANCE / MEMBER | NA | Control |
| DEAN, MARK, CHRISTMAN | I | MANAGING DIRECTOR - FINANCE / MEMBER | NA | Control |
| DEAN, MARK, CHRISTMAN | I | MANAGING DIRECTOR - FINANCE / MEMBER | NA | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN, MANAGER | NA | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN, MANAGER | NA | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN, MANAGER | NA | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN, MANAGER | NA | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN, MANAGER | NA | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | NA | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN, MANAGER | NA | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN, MANAGER | NA | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN, MANAGER | NA | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN, MANAGER | NA | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN, MANAGER | NA | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN, MANAGER | NA | Control |
| ELAM, BRENTIN, CURRY | I | VICE-PRESIDENT, DIRECTOR OF MARKETS AND TRADING OPERATIONS,MANAGER | NA | Control |
| ELAM, BRENTIN, CURRY | I | VICE-PRESIDENT, DIRECTOR OF MARKETS AND TRADING OPERATIONS,MANAGER | NA | Control |
| ELAM, BRENTIN, CURRY | I | VICE-PRESIDENT, DIRECTOR OF MARKETS AND TRADING OPERATIONS,MANAGER | NA | Control |
| ELAM, BRENTIN, CURRY | I | VICE-PRESIDENT, DIRECTOR OF MARKETS AND TRADING OPERATIONS,MANAGER | NA | Control |
| ELAM, BRENTIN, CURRY | I | VICE-PRESIDENT, DIRECTOR OF MARKETS AND TRADING OPERATIONS,MANAGER | NA | Control |
| ELAM, BRENTIN, CURRY | I | VICE-PRESIDENT, DIRECTOR OF MARKETS AND TRADING OPERATIONS | NA | Control |
| ELAM, BRENTIN, CURRY | I | VICE-PRESIDENT, DIRECTOR OF MARKETS AND TRADING OPERATIONS,MANAGER | NA | Control |
| ELAM, BRENTIN, CURRY | I | VICE-PRESIDENT, DIRECTOR OF MARKETS AND TRADING OPERATIONS,MANAGER | NA | Control |
| ELAM, BRENTIN, CURRY | I | VICE-PRESIDENT, DIRECTOR OF MARKETS AND TRADING OPERATIONS,MANAGER | NA | Control |
| ELAM, BRENTIN, CURRY | I | VICE-PRESIDENT, DIRECTOR OF MARKETS AND TRADING OPERATIONS,MANAGER | NA | Control |
| ELAM, BRENTIN, CURRY | I | VICE-PRESIDENT, DIRECTOR OF MARKETS AND TRADING OPERATIONS,MANAGER | NA | Control |
| ELAM, BRENTIN, CURRY | I | VICE-PRESIDENT, DIRECTOR OF MARKETS AND TRADING OPERATIONS,MANAGER | NA | Control |
| GREENE, WARREN, KEELER | I | SENIOR VICE PRESIDENT,SECRETARY,MANAGER | NA | Control |
| GREENE, WARREN, KEELER | I | SENIOR VICE PRESIDENT,SECRETARY,MANAGER | NA | Control |
| GREENE, WARREN, KEELER | I | SENIOR VICE PRESIDENT | NA | |
| GREENE, WARREN, KEELER | I | SENIOR VICE PRESIDENT,SECRETARY,MANAGER | NA | Control |
| GREENE, WARREN, KEELER | I | SENIOR VICE PRESIDENT,SECRETARY,MANAGER | NA | Control |
| GREENE, WARREN, KEELER | I | SENIOR VICE PRESIDENT,SECRETARY,MANAGER | NA | Control |
| GREENE, WARREN, KEELER | I | SENIOR VICE PRESIDENT,SECRETARY,MANAGER | NA | Control |
| GREENE, WARREN, KEELER | I | SENIOR VICE PRESIDENT,SECRETARY,MANAGER | NA | Control |
| GREENE, WARREN, KEELER | I | SENIOR VICE PRESIDENT | NA | |
| HALL, MEGAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HALL, MEGAN | I | SENIOR VICE PRESIDENT - CHIEF COMPLIANCE OFFICER | NA | Control |
| HALL, MEGAN | I | SENIOR VICE PRESIDENT - CHIEF COMPLIANCE OFFICER | NA | Control |
| HALL, MEGAN | I | SENIOR VICE PRESIDENT - CHIEF COMPLIANCE OFFICER | NA | Control |
| HALL, MEGAN | I | SENIOR VICE PRESIDENT - CHIEF COMPLIANCE OFFICER | NA | Control |
| HALL, MEGAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HALL, MEGAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HALL, MEGAN | I | SENIOR VICE PRESIDENT - CHIEF COMPLIANCE OFFICER | NA | Control |
| HALL, MEGAN | I | SENIOR VICE PRESIDENT - CHIEF COMPLIANCE OFFICER | NA | Control |
| HALL, MEGAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HALL, MEGAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HALL, MEGAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HALL, MEGAN | I | CHIEF COMPLIANCE OFFICER / SVP | NA | Control |
| HALL, MEGAN | I | CHIEF COMPLIANCE OFFICER / SVP | NA | Control |
| HALL, MEGAN | I | CHIEF COMPLIANCE OFFICER / SVP | NA | Control |
| HALL, MEGAN | I | CHIEF COMPLIANCE OFFICER / SVP | NA | Control |
| HALL, MEGAN | I | CHIEF COMPLIANCE OFFICER / SVP | NA | Control |
| HALL, MEGAN | I | CHIEF COMPLIANCE OFFICER / SVP | NA | Control |
| HALL, MEGAN | I | CHIEF COMPLIANCE OFFICER / SVP | NA | Control |
| HALL, MEGAN | I | CHIEF COMPLIANCE OFFICER / SVP | NA | Control |
| HALL, MEGAN | I | CHIEF COMPLIANCE OFFICER / SVP | NA | Control |
| IRACI, JOSEPH, CHRISTOPHER | I | COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| IRACI, JOSEPH, CHRISTOPHER | I | COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| IRACI, JOSEPH, CHRISTOPHER | I | COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| IRACI, JOSEPH, CHRISTOPHER | I | COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| IRACI, JOSEPH, CHRISTOPHER | I | COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| IRACI, JOSEPH, CHRISTOPHER | I | COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| IRACI, JOSEPH, CHRISTOPHER | I | COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| IRACI, JOSEPH, CHRISTOPHER | I | COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| IRACI, JOSEPH, CHRISTOPHER | I | COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| IRACI, JOSEPH, CHRISTOPHER | I | COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| IRACI, JOSEPH, CHRISTOPHER | I | COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| IRACI, JOSEPH, CHRISTOPHER | I | COUNSEL & CHIEF COMPLIANCE OFFICER | NA | Control |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER | NA | Control |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER | NA | Control |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER | NA | Control |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER | NA | Control |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER | NA | Control |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER | NA | Control |
| SEMELS, JAMES, RICHARD | I | CEO, MANAGER, CHIEF COMPLIANCE OFFICER | NA | Control |
| SEMELS, JAMES, RICHARD | I | CEO, MANAGER, CHIEF COMPLIANCE OFFICER | NA | Control |
| SEMELS, JAMES, RICHARD | I | CEO, MANAGER, CHIEF COMPLIANCE OFFICER | NA | Control |
| SEMELS, JAMES, RICHARD | I | CEO, CHIEF COMPLIANCE OFFICER | NA | Control |
| SEMELS, JAMES, RICHARD | I | CEO, MANAGER, CHIEF COMPLIANCE OFFICER | NA | Control |
| SEMELS, JAMES, RICHARD | I | CEO, CHIEF COMPLIANCE OFFICER | NA | Control |
| SEMELS, JAMES, RICHARD | I | PRESIDENT, CEO, TREASURER, DIRECTOR | NA | Control |
| SEMELS, JAMES, RICHARD | I | CEO, MANAGER | NA | Control |
| SEMELS, JAMES, RICHARD | I | CEO, CHIEF COMPLIANCE OFFICER | NA | Control |
| SEMELS, JAMES, RICHARD | I | CEO, MANAGER, CHIEF COMPLIANCE OFFICER | NA | Control |
| SEMELS, JAMES, RICHARD | I | CEO, MANAGER, CHIEF COMPLIANCE OFFICER | NA | Control |
| SEMELS, JAMES, RICHARD | I | CEO, MANAGER, CHIEF COMPLIANCE OFFICER | NA | Control |
| SEMELS, JAMES, RICHARD | I | CEO, MANAGER | NA | Control |
| SEMELS, JAMES, RICHARD | I | CEO, MANAGER | NA | Control |
| SEMELS, JAMES, RICHARD | I | CEO, MANAGER | NA | Control |
| SUBER, HARRY, HAMMOND | I | VICE PRESIDENT,DIRECTOR OF RESEARCH, MANAGER | NA | Control |
| SUBER, HARRY, HAMMOND | I | VICE PRESIDENT,DIRECTOR OF RESEARCH, MANAGER | NA | Control |
| SUBER, HARRY, HAMMOND | I | VICE PRESIDENT,DIRECTOR OF RESEARCH, MANAGER | NA | Control |
| SUBER, HARRY, HAMMOND | I | VICE PRESIDENT,DIRECTOR OF RESEARCH, MANAGER | NA | Control |
| SUBER, HARRY, HAMMOND | I | VICE PRESIDENT,DIRECTOR OF RESEARCH, MANAGER | NA | Control |
| SUBER, HARRY, HAMMOND | I | VICE PRESIDENT,DIRECTOR OF RESEARCH | NA | Control |
| SUBER, HARRY, HAMMOND | I | VICE PRESIDENT,DIRECTOR OF RESEARCH, MANAGER | NA | Control |
| SUBER, HARRY, HAMMOND | I | VICE PRESIDENT,DIRECTOR OF RESEARCH, MANAGER | NA | Control |
| SUBER, HARRY, HAMMOND | I | VICE PRESIDENT,DIRECTOR OF RESEARCH, MANAGER | NA | Control |
| SUBER, HARRY, HAMMOND | I | VICE PRESIDENT,DIRECTOR OF RESEARCH, MANAGER | NA | Control |
| SUBER, HARRY, HAMMOND | I | VICE PRESIDENT,DIRECTOR OF RESEARCH, MANAGER | NA | Control |
| SUBER, HARRY, HAMMOND | I | VICE PRESIDENT,DIRECTOR OF RESEARCH, MANAGER | NA | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN, SECRETARY, DIRECTOR | D | Control |
| KRANINGER, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER & PRESIDENT | D | Control |
| KRANINGER, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER & PRESIDENT | D | Control |
| KRANINGER, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER & PRESIDENT | D | Control |
| KRANINGER, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER & PRESIDENT | D | Control |
| KRANINGER, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER & PRESIDENT | D | Control |
| KRANINGER, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER & PRESIDENT | D | Control |
| KRANINGER, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER & PRESIDENT | D | Control |
| KRANINGER, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER & PRESIDENT | D | Control |
| KRANINGER, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER & PRESIDENT | D | Control |
| KRANINGER, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER & PRESIDENT | D | Control |
| KRANINGER, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER & PRESIDENT / MANAGING MEMBER | D | Control |
| KRANINGER, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER & PRESIDENT / MANAGING MEMBER | D | Control |
| KRANINGER, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER & PRESIDENT | D | Control |
| KRANINGER, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER & PRESIDENT / MANAGING MEMBER | D | Control |
| KRANINGER, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER & PRESIDENT / MANAGING MEMBER | D | Control |
| KRANINGER, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER & PRESIDENT / MANAGING MEMBER | D | Control |
| KRANINGER, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER & PRESIDENT / MANAGING MEMBER | D | Control |
| KRANINGER, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER & PRESIDENT / MANAGING MEMBER | D | Control |
| KRANINGER, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER & PRESIDENT / MANAGING MEMBER | D | Control |
| KRANINGER, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER & PRESIDENT / MANAGING MEMBER | D | Control |
| KRANINGER, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER & PRESIDENT / MANAGING MEMBER | D | Control |
| TRENDLOGIC ASSOCIATES INC. | DE | MEMBER | D | Control |
| TRENDLOGIC ASSOCIATES INC. | DE | MEMBER | D | Control |
| TRENDLOGIC ASSOCIATES INC. | DE | MEMBER | D | Control |
| TRENDLOGIC ASSOCIATES INC. | DE | MEMBER | D | Control |
| TRENDLOGIC ASSOCIATES INC. | DE | MEMBER | D | Control |
| TRENDLOGIC ASSOCIATES INC. | DE | MEMBER | D | Control |
| TRENDLOGIC ASSOCIATES INC. | DE | MEMBER | D | Control |
| TRENDLOGIC ASSOCIATES INC. | DE | MEMBER | D | Control |
| TRENDLOGIC ASSOCIATES INC. | DE | MEMBER | D | Control |
| TRENDLOGIC ASSOCIATES INC. | DE | MEMBER | D | Control |
| TRENDLOGIC ASSOCIATES INC. | DE | MEMBER | D | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN | C | Control |
| KRANINGER, DANIEL, JOSEPH | I | PRESIDENT, MANAGER, MEMBER | C | Control |
| KRANINGER, DANIEL, JOSEPH | I | PRESIDENT, MANAGER, MEMBER | C | Control |
| KRANINGER, DANIEL, JOSEPH | I | PRESIDENT, MANAGER, MEMBER | C | Control |
| KRANINGER, DANIEL, JOSEPH | I | PRESIDENT, MANAGER, MEMBER | C | Control |
| KRANINGER, DANIEL, JOSEPH | I | PRESIDENT, MANAGER, MEMBER | C | Control |
| KRANINGER, DANIEL, JOSEPH | I | PRESIDENT, MANAGER, MEMBER | C | Control |
| KRANINGER, DANIEL, JOSEPH | I | PRESIDENT, MANAGER, MEMBER | C | Control |
| KRANINGER, DANIEL, JOSEPH | I | PRESIDENT, MANAGER, MEMBER | C | Control |
| KRANINGER, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER & PRESIDENT | C | Control |
| KRANINGER, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER & PRESIDENT | C | Control |
| KRANINGER, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER & PRESIDENT | C | Control |
| KRANINGER, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER & PRESIDENT | C | Control |
| KRANINGER, DANIEL, JOSEPH | I | PRESIDENT, MANAGER, MEMBER | C | Control |
| KRANINGER, DANIEL, JOSEPH | I | PRESIDENT, MANAGER, MEMBER | C | Control |
| KRANINGER, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER & PRESIDENT | C | Control |
| KRANINGER, DANIEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER & PRESIDENT | C | Control |
| KRANINGER, DANIEL, JOSEPH | I | PRESIDENT, MANAGER, MEMBER | C | Control |
| KRANINGER, DANIEL, JOSEPH | I | PRESIDENT, MANAGER, MEMBER | C | Control |
| KRANINGER, DANIEL, JOSEPH | I | PRESIDENT, MANAGER, MEMBER | C | Control |
| SEMELS, JAMES, RICHARD | I | PRESIDENT, CEO, TREASURER, DIRECTOR | C | Control |
| DEAN ASSET TRUST | DE | MEMBER | B | |
| DEAN ASSET TRUST | DE | MEMBER | B | |
| DEAN ASSET TRUST | DE | MEMBER | B | |
| DEAN, PAUL, EDWIN | I | CHAIRMAN, SECRETARY, DIRECTOR | B | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN / MEMBER | B | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN / MEMBER | B | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN / MEMBER | B | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN / MEMBER | B | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN / MEMBER | B | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN / MEMBER | B | Control |
| DEAN, PAUL, EDWIN | I | CHAIRMAN / MEMBER | B | Control |
| ELAM, BRENTIN, CURRY | I | VICE-PRESIDENT, DIRECTOR OF MARKETS AND TRADING OPERATIONS | B | Control |
| ELAM, BRENTIN, CURRY | I | VICE-PRESIDENT, DIRECTOR OF MARKETS AND TRADING OPERATIONS | B | Control |
| ELAM, BRENTIN, CURRY | I | VICE-PRESIDENT, DIRECTOR OF MARKETS AND TRADING OPERATIONS | B | Control |
| ELAM, BRENTIN, CURRY | I | VICE-PRESIDENT, DIRECTOR OF MARKETS AND TRADING OPERATIONS | B | Control |
| ELAM, BRENTIN, CURRY | I | VICE-PRESIDENT, DIRECTOR OF MARKETS AND TRADING OPERATIONS | B | Control |
| ELAM, BRENTIN, CURRY | I | VICE-PRESIDENT, DIRECTOR | B | Control |
| ELAM, BRENTIN, CURRY | I | VICE-PRESIDENT, DIRECTOR OF MARKETS AND TRADING OPERATIONS | B | Control |
| ELAM, BRENTIN, CURRY | I | VICE-PRESIDENT, DIRECTOR | B | Control |
| ELAM, BRENTIN, CURRY | I | VICE-PRESIDENT, DIRECTOR OF MARKETS AND TRADING OPERATIONS | B | Control |
| ELAM, BRENTIN, CURRY | I | VICE-PRESIDENT, DIRECTOR OF MARKETS AND TRADING OPERATIONS | B | Control |
| ELAM, BRENTIN, CURRY | I | MANAGING DIRECTOR - RESEARCH | B | Control |
| ELAM, BRENTIN, CURRY | I | MANAGING DIRECTOR - RESEARCH | B | Control |
| ELAM, BRENTIN, CURRY | I | VICE-PRESIDENT, DIRECTOR OF MARKETS AND TRADING OPERATIONS | B | Control |
| ELAM, BRENTIN, CURRY | I | VICE-PRESIDENT, DIRECTOR OF MARKETS AND TRADING OPERATIONS | B | Control |
| ELAM, BRENTIN, CURRY | I | MANAGING DIRECTOR - RESEARCH | B | Control |
| ELAM, BRENTIN, CURRY | I | VICE-PRESIDENT, DIRECTOR OF MARKETS AND TRADING OPERATIONS | B | Control |
| ELAM, BRENTIN, CURRY | I | VICE-PRESIDENT, DIRECTOR OF MARKETS AND TRADING OPERATIONS | B | Control |
| ELAM, BRENTIN, CURRY | I | VICE-PRESIDENT, DIRECTOR OF MARKETS AND TRADING OPERATIONS | B | Control |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER / MEMBER | B | Control |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER / MEMBER | B | Control |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER / MEMBER | B | Control |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER / MEMBER | B | Control |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER / MEMBER | B | Control |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER / MEMBER | B | Control |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER / MEMBER | B | Control |
| KRANINGER, DANIEL, JOSEPH | I | PRESIDENT, MANAGER, MEMBER | B | Control |
| KRANINGER, DANIEL, JOSEPH | I | PRESIDENT, MANAGER, MEMBER | B | Control |
| KRANINGER, DANIEL, JOSEPH | I | PRESIDENT, MANAGER, MEMBER | B | Control |
| KRANINGER, DANIEL, JOSEPH | I | PRESIDENT, MANAGER, MEMBER | B | Control |
| KRANINGER, DANIEL, JOSEPH | I | PRESIDENT, MANAGER, MEMBER | B | Control |
| KRANINGER, DANIEL, JOSEPH | I | PRESIDENT, MANAGER, MEMBER | B | Control |
| KRANINGER, DANIEL, JOSEPH | I | PRESIDENT, MANAGER, MEMBER | B | Control |
| KRANINGER, DANIEL, JOSEPH | I | PRESIDENT, MANAGER, MEMBER | B | Control |
| KRANINGER, DANIEL, JOSEPH | I | PRESIDENT, MANAGER, MEMBER | B | Control |
| KRANINGER, DANIEL, JOSEPH | I | PRESIDENT, MANAGER, MEMBER | B | Control |
| KRANINGER, DANIEL, JOSEPH | I | PRESIDENT, MANAGER, MEMBER | B | Control |
| SEMELS, JAMES, RICHARD | I | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | B | Control |
| SEMELS, JAMES, RICHARD | I | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | B | Control |
| SEMELS, JAMES, RICHARD | I | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | B | Control |
| SEMELS, JAMES, RICHARD | I | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | B | Control |
| SEMELS, JAMES, RICHARD | I | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | B | Control |
| SUBER, HARRY, HAMMOND | I | DIRECTOR OF RESEARCH, DIRECTOR | B | Control |
| SUBER, HARRY, HAMMOND | I | DIRECTOR OF RESEARCH, DIRECTOR | B | Control |
| DEAN TRADING ASSOCIATES | DE | MEMBER | A | |
| DEAN TRADING ASSOCIATES | DE | MEMBER | A | |
| DEAN TRADING ASSOCIATES | DE | MEMBER | A | |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER | A | Control |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER | A | Control |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER | A | Control |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER | A | Control |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER | A | Control |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER | A | Control |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER | A | Control |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER | A | Control |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER | A | Control |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER | A | Control |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER | A | Control |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER | A | Control |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER | A | Control |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER / MEMBER | A | Control |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER / MEMBER | A | Control |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER | A | Control |
| JAMIN, PATRICK, JEAN-MICHEL | I | CHIEF INVESTMENT OFFICER / MEMBER | A | Control |
| SUBER, HARRY, HAMMOND | I | VICE PRESIDENT,DIRECTOR OF RESEARCH | A | Control |
| SUBER, HARRY, HAMMOND | I | VICE PRESIDENT,DIRECTOR OF RESEARCH | A | Control |
| WILDERN, JOHN, MICHAEL | I | EXECUTIE VICE PRESIDENT | A | Control |
| WILDERN, JOHN, MICHAEL | I | MANAGING DIRECTOR - SALES | A | Control |
| WILDERN, JOHN, MICHAEL | I | MANAGING DIRECTOR - SALES | A | Control |
| WILDERN, JOHN, MICHAEL | I | MANAGING DIRECTOR - SALES | A | Control |
| WILDERN, JOHN, MICHAEL | I | MANAGING DIRECTOR - SALES | A | Control |
| WILDERN, JOHN, MICHAEL | I | MANAGING DIRECTOR - SALES | A | Control |
| WILDERN, JOHN, MICHAEL | I | MANAGING DIRECTOR - SALES | A | Control |
| WILDERN, JOHN, MICHAEL | I | EXECUTIE VICE PRESIDENT | A | Control |
| WILDERN, JOHN, MICHAEL | I | EXECUTIE VICE PRESIDENT | A | Control |
| WILDERN, JOHN, MICHAEL | I | MANAGING DIRECTOR - SALES | A | Control |
| WILDERN, JOHN, MICHAEL | I | MANAGING DIRECTOR - SALES | A | Control |
| WILDERN, JOHN, MICHAEL | I | MANAGING DIRECTOR - SALES | A | Control |
| WILDERN, JOHN, MICHAEL | I | MANAGING DIRECTOR - SALES | A | Control |
| WILDERN, JOHN, MICHAEL | I | MANAGING DIRECTOR - SALES | A | Control |
| WILDERN, JOHN, MICHAEL | I | MANAGING DIRECTOR - SALES | A | Control |
| WILDERN, JOHN, MICHAEL | I | MANAGING DIRECTOR - SALES | A | Control |
| WILDERN, JOHN, MICHAEL | I | MANAGING DIRECTOR - SALES | A | Control |
| WILDERN, JOHN, MICHAEL | I | MANAGING DIRECTOR - SALES | A | Control |
| WILDERN, JOHN, MICHAEL | I | MANAGING DIRECTOR - SALES | A | Control |
| WILDERN, JOHN, MICHAEL | I | EXECUTIE VICE PRESIDENT | A | Control |
| WILDERN, JOHN, MICHAEL | I | EXECUTIE VICE PRESIDENT | A | Control |
| WILDERN, JOHN, MICHAEL | I | EXECUTIE VICE PRESIDENT | A | Control |
| WILDERN, JOHN, MICHAEL | I | MANAGING DIRECTOR - SALES / MEMBER | A | Control |
| WILDERN, JOHN, MICHAEL | I | MANAGING DIRECTOR - SALES / MEMBER | A | Control |
| WILDERN, JOHN, MICHAEL | I | MANAGING DIRECTOR - SALES | A | Control |
| WILDERN, JOHN, MICHAEL | I | MEMBER | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| DEAN, MARK | I | DEAN TRADING ASSOCIATES | F | Control |
| DEAN, MARK | I | DEAN ASSET TRUST | F | Control |
| DEAN, MARK | I | DEAN TRADING ASSOCIATES | F | Control |
| DEAN, MARK | I | DEAN ASSET TRUST | F | Control |
| DEAN, MARK | I | DEAN TRADING ASSOCIATES | F | Control |
| DEAN, MARK | I | DEAN ASSET TRUST | F | Control |
| DEAN, PAUL, EDWIN | I | TRENDLOGIC ASSOCIATES INC. | D | Control |
| DEAN, PAUL, EDWIN | I | TRENDLOGIC ASSOCIATES INC. | D | Control |
| DEAN, PAUL, EDWIN | I | TRENDLOGIC ASSOCIATES INC. | D | Control |
| DEAN, PAUL, EDWIN | I | TRENDLOGIC ASSOCIATES INC. | D | Control |
| DEAN, PAUL, EDWIN | I | TRENDLOGIC ASSOCIATES INC. | D | Control |
| DEAN, PAUL, EDWIN | I | TRENDLOGIC ASSOCIATES INC. | D | Control |
| DEAN, PAUL, EDWIN | I | TRENDLOGIC ASSOCIATES INC. | D | Control |
| DEAN, PAUL, EDWIN | I | TRENDLOGIC ASSOCIATES INC. | D | Control |
| DEAN, PAUL, EDWIN | I | TRENDLOGIC ASSOCIATES INC. | D | Control |
| DEAN, PAUL, EDWIN | I | TRENDLOGIC ASSOCIATES INC. | D | Control |
| DEAN, PAUL, EDWIN | I | TRENDLOGIC ASSOCIATES INC. | D | Control |
Registrations
Federal
IA
Mar 29, 2021 REGISTERED
Notice Filings (47)
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Address
ONE GREENWICH OFFICE PARKGREENWICH, CT 06831
United States
Phone: 203-532-7000