ASPEN MANAGEMENT GROUP LTD
CRD #111466 SEC #801-53274 PHOENIX, AZ 602-674-1031
SEC Registered
Total AUM
$30M
Discretionary
$0
Employees
5
Clients
10
Accounts
100
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 5, 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 |
|---|---|---|---|---|
| DUFFIELD, FREDERICK, HODGES | I | MANAGING MEMBER | B | Control |
| DUFFIELD, FREDERICK, HODGES | I | MANAGING MEMBER | B | Control |
| DUFFIELD, FREDERICK, HODGES | I | MANAGING MEMBER | B | Control |
| DUFFIELD, FREDERICK, HODGES | I | MANAGING MEMBER | B | Control |
| GALVIN, STEPHEN, RICHARD | I | MANAGING MEMBER, CHIEF COMPLIANCE OFFICER | B | Control |
| GALVIN, STEPHEN, RICHARD | I | MANAGING MEMBER | B | Control |
| HEKSCH, ROBERT, ANDREW | I | MANAGING MEMBER | B | Control |
| HLAY, JOHN, BROWN | I | MANAGING MEMBER | B | Control |
| HLAY, JOHN, BROWN | I | MANAGING MEMBER, CHIEF COMPLIANCE OFFICER | B | Control |
| HLAY, JOHN, BROWN | I | MANAGING MEMBER, CHIEF COMPLIANCE OFFICER | B | Control |
| HLAY, JOHN, BROWN | I | MANAGING MEMBER | B | Control |
| WERBEL, LARRY, STEVEN | I | MANAGING MEMBER | B | Control |
Registrations
Federal
IA
Mar 5, 2007 REGISTERED
Notice Filings (3)
AZ OH TX
Address
7740 N. 16TH ST.#385
PHOENIX, AZ 85020
USA
Phone: 602-674-1031