LITCHFIELD & NELSON, INC

Legal name: LITCHFIELD, NELSON & COMPANY

CRD #111132 SEC #801-56394 NAPLES, FL 239-261-4800

SEC Registered

Total AUM

$59M

Discretionary

$59M

Employees

Clients

Accounts

118

Firm Details

Organization Type: Corporation
State of Formation: Florida
Fiscal Year End: DECEMBER
Registration Date: --
Latest Filing: Mar 29, 2007
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
LITCHFIELD, DAWN, PERNICIARO	I	MANAGING DIRECTOR	NA	Control
LITCHFIELD, DAWN, PERNICIARO	I	MANAGING DIRECTOR	NA	Control
LITCHFIELD, DAWN, PERNICIARO	I	MANAGING DIRECTOR	NA	Control
LITCHFIELD, DAWN, PERNICIARO	I	MANAGING DIRECTOR	NA	Control
LITCHFIELD, DAWN, PERNICIARO	I	MANAGING DIRECTOR	NA	Control
LITCHFIELD, DAWN, PERNICIARO	I	MANAGING DIRECTOR	NA	Control
LITCHFIELD, DAWN, PERNICIARO	I	MANAGING PARTNER/PRESIDENT	NA	Control
LITCHFIELD, DAWN, PERNICIARO	I	MANAGING DIRECTOR	NA	Control
LITCHFIELD, DAWN, PERNICIARO	I	MANAGING DIRECTOR	NA	Control
LITCHFIELD, DAWN, PERNICIARO	I	MANAGING PARTNER/PRESIDENT	NA	Control
LITCHFIELD, DAWN, PERNICIARO	I	MANAGING PARTNER/PRESIDENT	NA	Control
NELSON, DENNIS, DAVID	I	CCO	NA	Control
NELSON, DENNIS, DAVID	I	CCO	NA	Control
NELSON, DENNIS, DAVID	I	MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER	NA	Control
NELSON, DENNIS, DAVID	I	CCO	NA	Control
NELSON, DENNIS, DAVID	I	MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER	NA	Control
NELSON, DENNIS, DAVID	I	MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER	NA	Control
NELSON, DENNIS, DAVID	I	MANAGING PARTNER/VP/TREASURER	NA	Control
NELSON, DENNIS, DAVID	I	CCO	NA	Control
NELSON, DENNIS, DAVID	I	MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER	NA	Control
NELSON, DENNIS, DAVID	I	MANAGING PARTNER/VP/TREASURER	NA	Control
NELSON, DENNIS, DAVID	I	MANAGING PARTNER/VP/TREASURER	NA	Control
LITCHFIELD & NELSON, INC.	DE	GENERAL PARTNER	E	Control
MESA FINANCIAL ADVISORS, INC.	DE	MAJORITY SHAREHOLDER	E	Control
MESA FINANCIAL ADVISORS, INC.	DE	MAJORITY SHAREHOLDER	E	Control
MESA FINANCIAL ADVISORS, INC.	DE	MAJORITY SHAREHOLDER	E	Control
MESA FINANCIAL ADVISORS, INC.	DE	MAJORITY SHAREHOLDER	E	Control
MESA FINANCIAL ADVISORS, INC.	DE	MAJORITY SHAREHOLDER	E	Control
MESA FINANCIAL ADVISORS, INC.	DE	MAJORITY SHAREHOLDER	E	Control
MESA FINANCIAL ADVISORS, INC.	DE	MAJORITY SHAREHOLDER	E	Control
MESA FINANCIAL ADVISORS, INC.	DE	MAJORITY SHAREHOLDER	E	Control
LITCHFIELD & NELSON, INC.	DE	GENERAL PARTNER	D	Control
LITCHFIELD & NELSON, INC.	DE	GENERAL PARTNER	D	Control
MCDONAGH FAMILY OFFICE, INC.	DE	GENERAL PARTNER	B
MCDONAGH FAMILY OFFICE, INC.	DE	GENERAL PARTNER	B
NAPLES MANAGEMENT & INVESTMENT COMPANY, INC.	DE	GENERAL PARTNER	B	Control
NAPLES MANAGEMENT & INVESTMENT COMPANY, INC.	DE	GENERAL PARTNER	B	Control

Indirect Owners (Schedule B)

Name	Type	Entity	Ownership	Control
BAKER, L., EDWARD	I	BAKER CAPITAL LLC	E	Control
BAKER, L., EDWARD	I	BAKER CAPITAL LLC	E	Control
BAKER, L., EDWARD	I	BAKER CAPITAL LLC	E	Control
MESA HOLDINGS, INC.	DE	MESA FINANCIAL ADVISORS, INC.	E
MESA HOLDINGS, INC.	DE	MESA FINANCIAL ADVISORS, INC.	E
MESA HOLDINGS, INC.	DE	MESA FINANCIAL ADVISORS, INC.	E
MESA HOLDINGS, LLC	DE	MESA FINANCIAL ADVISORS, INC.	E
LITCHFIELD, DAWN, PERNICIARO	I	LITCHFIELD & NELSON, INC.	D	Control
LITCHFIELD, DAWN, PERNICIARO	I	LITCHFIELD & NELSON, INC.	D	Control
LITCHFIELD, DAWN, PERNICIARO	I	LITCHFIELD & NELSON, INC.	D	Control
NELSON, DENNIS, DAVID	I	LITCHFIELD & NELSON, INC.	D	Control
NELSON, DENNIS, DAVID	I	LITCHFIELD & NELSON, INC.	D	Control
NELSON, DENNIS, DAVID	I	LITCHFIELD & NELSON, INC.	D	Control
BAKER CAPITAL LLC	DE	MESA HOLDINGS, INC.	C
BAKER CAPITAL LLC	DE	MESA HOLDINGS, INC.	C
BAKER CAPITAL LLC	DE	MESA HOLDINGS, INC.	C

Registrations

Federal

Mar 29, 2007 REGISTERED

Notice Filings (2)

FL VT

Address

3033 RIVIERA DRIVE
SUITE 106
NAPLES, FL 34103
USA

Phone: 239-261-4800