ROCATON INVESTMENT ADVISORS, LLC
Legal name: ROCATON INVESTMENT ADVISORS
CRD #120451 SEC #801-61144 NORWALK, CT 203-621-1700
SEC Registered Disclosures
Total AUM
$13B
Discretionary
$13B
Employees
23
Clients
0
Accounts
128
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Connecticut
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 12, 2024
- Branch Offices
- 1
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| Bousquette, William, CHARLES | I | CHIEF OPERATING OFFICER | NA | Control |
| Bousquette, William, CHARLES | I | CHIEF OPERATING OFFICER | NA | Control |
| Bousquette, William, CHARLES | I | CHIEF OPERATING OFFICER | NA | Control |
| COTA, ALBERTO | I | CHIEF OPERATING OFFICER | NA | Control |
| COTA, ALBERTO | I | CHIEF OPERATING OFFICER | NA | Control |
| COTA, ALBERTO | I | CHIEF OPERATING OFFICER | NA | Control |
| DELALLA, ELIZABETH | I | MEMBER | NA | |
| DELALLA, ELIZABETH | I | MEMBER | NA | |
| HAUGEN, CARLA | I | MEMBER | NA | Control |
| LYON, CHRISTOPHER, RANDOLPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LYON, CHRISTOPHER, RANDOLPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LYON, CHRISTOPHER, RANDOLPH | I | PARTNER | NA | Control |
| LYON, CHRISTOPHER, RANDOLPH | I | PARTNER | NA | Control |
| METZGER, ELISA, D | I | CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL, CHIEF OPERATING OFFICER | NA | Control |
| METZGER, ELISA, D | I | COO | NA | Control |
| METZGER, ELISA, D | I | CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL, CHIEF OPERATING OFFICER | NA | Control |
| METZGER, ELISA, D | I | CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL, CHIEF OPERATING OFFICER | NA | Control |
| METZGER, ELISA, D | I | CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL, CHIEF OPERATING OFFICER | NA | Control |
| METZGER, ELISA, D | I | CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL, CHIEF OPERATING OFFICER | NA | Control |
| METZGER, ELISA, D | I | CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL, CHIEF OPERATING OFFICER | NA | Control |
| METZGER, ELISA, D | I | CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL, CHIEF OPERATING OFFICER | NA | Control |
| METZGER, ELISA, D | I | CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL, CHIEF OPERATING OFFICER | NA | Control |
| METZGER, ELISA, D | I | CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL, CHIEF OPERATING OFFICER | NA | Control |
| METZGER, ELISA, D | I | CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL, CHIEF OPERATING OFFICER | NA | Control |
| METZGER, ELISA, D | I | CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL | NA | Control |
| METZGER, ELISA, D | I | CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL | NA | Control |
| METZGER, ELISA, D | I | CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL | NA | Control |
| METZGER, ELISA, DOUGHERTY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| METZGER, ELISA, DOUGHERTY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| METZGER, ELISA, DOUGHERTY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| METZGER, ELISA, DOUGHERTY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| METZGER, ELISA, DOUGHERTY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| METZGER, ELISA, DOUGHERTY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| METZGER, ELISA, DOUGHERTY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| METZGER, ELISA, DOUGHERTY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| METZGER, ELISA, DOUGHERTY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| METZGER, ELISA, DOUGHERTY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| METZGER, ELISA, DOUGHERTY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| METZGER, ELISA, DOUGHERTY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| METZGER, ELISA, DOUGHERTY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| METZGER, ELISA, DOUGHERTY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| METZGER, ELISA, DOUGHERTY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| METZGER, ELISA, DOUGHERTY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| METZGER, ELISA, DOUGHERTY | I | CHIEF COMPLIANCE OFFICER | NA | |
| METZGER, ELISA, DOUGHERTY | I | CHIEF COMPLIANCE OFFICER | NA | |
| METZGER, ELISA, DOUGHERTY | I | CHIEF COMPLIANCE OFFICER | NA | |
| METZGER, ELISA, DOUGHERTY | I | CHIEF COMPLIANCE OFFICER | NA | |
| METZGER, ELISA, DOUGHERTY | I | CHIEF COMPLIANCE OFFICER | NA | |
| METZGER, ELISA, DOUGHERTY | I | CHIEF COMPLIANCE OFFICER | NA | |
| METZGER, ELISA, DOUGHERTY | I | CHIEF COMPLIANCE OFFICER | NA | |
| METZGER, ELISA, DOUGHERTY | I | CHIEF COMPLIANCE OFFICER | NA | |
| METZGER, ELISA, DOUGHERTY | I | CHIEF COMPLIANCE OFFICER | NA | |
| MOORE, JULIE | I | PARTNER | NA | Control |
| MOORE, JULIE | I | PARTNER | NA | Control |
| MOORE, JULIE | I | PARTNER | NA | Control |
| MOORE, JULIE | I | PARTNER | NA | Control |
| MORTON, DAVID, ANTHONY | I | PARTNER | NA | Control |
| MORTON, DAVID, ANTHONY | I | MEMBER | NA | Control |
| MORTON, DAVID, ANTHONY | I | PARTNER | NA | Control |
| MORTON, DAVID, ANTHONY | I | PARTNER | NA | Control |
| MORTON, DAVID, ANTHONY | I | PARTNER | NA | Control |
| MULLER, DANIELLE, MARIE | I | MEMBER | NA | Control |
| NACHMANN, MARC, OTTO | I | CHIEF EXECUTIVE OFFCER | NA | Control |
| NACHMANN, MARC, OTTO | I | CHIEF EXECUTIVE OFFCER | NA | Control |
| NACHMANN, MARC, OTTO | I | CHIEF EXECUTIVE OFFCER | NA | Control |
| NACHMANN, MARC, OTTO | I | CHIEF EXECUTIVE OFFCER | NA | Control |
| NACHMANN, MARC, OTTO | I | CHIEF EXECUTIVE OFFCER | NA | Control |
| NACHMANN, MARC, OTTO | I | CHIEF EXECUTIVE OFFCER | NA | Control |
| NACHMANN, MARC, OTTO | I | CHIEF EXECUTIVE OFFCER | NA | Control |
| PLUTZER, DAVID | I | GENERAL COUNSEL, ASSET MANAGEMENT DIVISION (CHIEF LEGAL OFFCER) | NA | |
| PLUTZER, DAVID, SETH | I | CHIEF LEGAL OFFCER | NA | |
| PLUTZER, DAVID, SETH | I | CHIEF LEGAL OFFCER | NA | |
| PLUTZER, DAVID, SETH | I | CHIEF LEGAL OFFCER | NA | |
| PLUTZER, DAVID, SETH | I | CHIEF LEGAL OFFCER | NA | |
| PLUTZER, DAVID, SETH | I | GENERAL COUNSEL, ASSET MANAGEMENT DIVISION (CHIEF LEGAL OFFCER) | NA | |
| PLUTZER, DAVID, SETH | I | CHIEF LEGAL OFFCER | NA | |
| PLUTZER, DAVID, SETH | I | CHIEF LEGAL OFFCER | NA | |
| PLUTZER, DAVID, SETH | I | CHIEF LEGAL OFFCER | NA | |
| PLUTZER, DAVID, SETH | I | CHIEF LEGAL OFFCER | NA | |
| PLUTZER, DAVID, SETH | I | CHIEF LEGAL OFFCER | NA | |
| PLUTZER, DAVID, SETH | I | CHIEF LEGAL OFFCER | NA | |
| PLUTZER, DAVID, SETH | I | CHIEF LEGAL OFFCER | NA | |
| PLUTZER, DAVID, SETH | I | CHIEF LEGAL OFFCER | NA | |
| PLUTZER, DAVID, SETH | I | CHIEF LEGAL OFFCER | NA | |
| PLUTZER, DAVID, SETH | I | CHIEF LEGAL OFFCER | NA | |
| PLUTZER, DAVID, SETH | I | CHIEF LEGAL OFFCER | NA | |
| PORGES, ELLEN, RANDY | I | GENERAL COUNSEL, CONSUMER INVESTMENT MANAGEMENT DIVISION (CHIEF LEGAL OFFICER) | NA | |
| PORGES, ELLEN, RANDY | I | GENERAL COUNSEL, CONSUMER INVESTMENT MANAGEMENT DIVISION (CHIEF LEGAL OFFICER) | NA | |
| PORGES, ELLEN, RANDY | I | GENERAL COUNSEL, INVESTMENT MANAGEMENT DIVISION (CHIEF LEGAL OFFICER) | NA | |
| PORGES, ELLEN, RANDY | I | GENERAL COUNSEL, CONSUMER INVESTMENT MANAGEMENT DIVISION (CHIEF LEGAL OFFICER) | NA | |
| PORGES, ELLEN, RANDY | I | GENERAL COUNSEL, CONSUMER INVESTMENT MANAGEMENT DIVISION (CHIEF LEGAL OFFICER) | NA | |
| PORGES, ELLEN, RANDY | I | GENERAL COUNSEL, CONSUMER INVESTMENT MANAGEMENT DIVISION (CHIEF LEGAL OFFICER) | NA | |
| PORGES, ELLEN, RANDY | I | GENERAL COUNSEL, CONSUMER INVESTMENT MANAGEMENT DIVISION (CHIEF LEGAL OFFICER) | NA | |
| PORGES, ELLEN, RANDY | I | GENERAL COUNSEL, CONSUMER INVESTMENT MANAGEMENT DIVISION (CHIEF LEGAL OFFICER) | NA | |
| STEIN, LAURENCE | I | CHIEF OPERATING OFFICER | NA | |
| STEIN, LAURENCE | I | CHIEF OPERATING OFFICER | NA | |
| STEIN, LAURENCE | I | CHIEF OPERATING OFFICER | NA | |
| STEIN, LAURENCE | I | CHIEF OPERATING OFFICER | NA | |
| WHEAT, ADAM | I | MEMBER | NA | Control |
| GSAM HOLDINGS LLC | DE | GENERAL PARTNER | E | Control |
| GSAM HOLDINGS LLC | DE | GENERAL PARTNER | E | Control |
| GSAM HOLDINGS LLC | DE | GENERAL PARTNER | E | Control |
| GSAM HOLDINGS LLC | DE | GENERAL PARTNER | E | Control |
| GSAM HOLDINGS LLC | DE | GENERAL PARTNER | E | Control |
| GSAM HOLDINGS LLC | DE | GENERAL PARTNER | E | Control |
| GSAM HOLDINGS LLC | DE | GENERAL PARTNER | E | Control |
| GSAM HOLDINGS LLC | DE | GENERAL PARTNER | E | Control |
| GSAM HOLDINGS LLC | DE | GENERAL PARTNER | E | Control |
| GSAM HOLDINGS LLC | DE | GENERAL PARTNER | E | Control |
| GSAM HOLDINGS LLC | DE | GENERAL PARTNER | E | Control |
| GSAM HOLDINGS LLC | DE | GENERAL PARTNER | E | Control |
| GSAM HOLDINGS LLC | DE | GENERAL PARTNER | E | Control |
| GSAM HOLDINGS LLC | DE | GENERAL PARTNER | E | Control |
| GSAM HOLDINGS LLC | DE | GENERAL PARTNER | E | Control |
| GSAM HOLDINGS LLC | DE | GENERAL PARTNER | E | Control |
| GSAM HOLDINGS LLC | DE | GENERAL PARTNER | E | Control |
| GSAM HOLDINGS LLC | DE | GENERAL PARTNER | E | Control |
| GSAM HOLDINGS LLC | DE | GENERAL PARTNER | E | Control |
| GSAM HOLDINGS LLC | DE | GENERAL PARTNER | E | Control |
| GSAM HOLDINGS LLC | DE | GENERAL PARTNER | E | Control |
| GSAM HOLDINGS LLC | DE | GENERAL PARTNER | E | Control |
| GSAM HOLDINGS LLC | DE | GENERAL PARTNER | E | Control |
| GSAM HOLDINGS LLC | DE | GENERAL PARTNER | E | Control |
| GSAM HOLDINGS LLC | DE | GENERAL PARTNER | E | Control |
| BUEHL, ANNE, CAROLINE | I | MEMBER | B | Control |
| BUEHL, ANNE, CAROLINE | I | MEMBER | B | Control |
| BUEHL, ANNE, CAROLINE | I | MEMBER | B | Control |
| BUEHL, ANNE, CAROLINE | I | MEMBER | B | Control |
| CESARE, CHRISTOPHER, J. | I | MEMBER | B | Control |
| CESARE, CHRISTOPHER, J. | I | MEMBER | B | Control |
| CESARE, CHRISTOPHER, J. | I | MEMBER | B | Control |
| CESARE, CHRISTOPHER, J. | I | MEMBER | B | Control |
| FENNINGDORF, ROGER, L. | I | MEMBER | B | Control |
| FENNINGDORF, ROGER, L. | I | MEMBER | B | Control |
| FENNINGDORF, ROGER, L. | I | MEMBER | B | Control |
| FENNINGDORF, ROGER, L. | I | MEMBER | B | Control |
| NANKOF, JOSEPH, SCOTT | I | MEMBER | B | Control |
| NANKOF, JOSEPH, SCOTT | I | MEMBER | B | Control |
| NANKOF, JOSEPH, SCOTT | I | MEMBER | B | Control |
| NANKOF, JOSEPH, SCOTT | I | MEMBER | B | Control |
| PELLISH, ROBIN, SHERRY | I | MEMBER | B | Control |
| PELLISH, ROBIN, SHERRY | I | MEMBER | B | Control |
| PELLISH, ROBIN, SHERRY | I | CEO AND MEMBER | B | Control |
| PELLISH, ROBIN, SHERRY | I | CEO AND MEMBER | B | Control |
| ZANDI, MERIAM | I | MEMBER | B | Control |
| ZANDI, MERIAM | I | MEMBER | B | Control |
| ZANDI, MERIAM | I | MEMBER | B | Control |
| ZANDI, MERIAM | I | MEMBER | B | Control |
| BUEHL, ANNE, CAROLINE | I | PARTNER | A | Control |
| BUEHL, ANNE, CAROLINE | I | MEMBER | A | Control |
| BUEHL, ANNE, CAROLINE | I | MEMBER | A | Control |
| BUEHL, ANNE, CAROLINE | I | PARTNER | A | Control |
| BUEHL, ANNE, CAROLINE | I | MEMBER | A | Control |
| BUEHL, ANNE, CAROLINE | I | MANAGING DIRECTOR | A | Control |
| BUEHL, ANNE, CAROLINE | I | MEMBER | A | Control |
| BUEHL, ANNE, CAROLINE | I | PARTNER | A | Control |
| BUEHL, ANNE, CAROLINE | I | PARTNER | A | Control |
| BUEHL, ANNE, CAROLINE | I | MEMBER | A | Control |
| BUEHL, ANNE, CAROLINE | I | MEMBER | A | Control |
| BUEHL, ANNE, CAROLINE | I | MEMBER | A | Control |
| BUEHL, ANNE, CAROLINE | I | MEMBER | A | Control |
| BUEHL, ANNE, CAROLINE | I | MEMBER | A | Control |
| BUEHL, ANNE, CAROLINE | I | MEMBER | A | Control |
| BUEHL, ANNE, CAROLINE | I | MEMBER | A | Control |
| BUEHL, ANNE, CAROLINE | I | MEMBER | A | Control |
| BUEHL, ANNE, CAROLINE | I | MEMBER | A | Control |
| BUEHL, ANNE, CAROLINE | I | MEMBER | A | Control |
| BUEHL, ANNE, CAROLINE | I | MEMBER | A | Control |
| BUEHL, ANNE, CAROLINE | I | MEMBER | A | Control |
| CESARE, CHRISTOPHER, J. | I | PARTNER | A | Control |
| CESARE, CHRISTOPHER, J. | I | MEMBER | A | Control |
| CESARE, CHRISTOPHER, J. | I | MEMBER | A | Control |
| CESARE, CHRISTOPHER, J. | I | PARTNER | A | Control |
| CESARE, CHRISTOPHER, J. | I | MEMBER | A | Control |
| CESARE, CHRISTOPHER, J. | I | MANAGING DIRECTOR | A | Control |
| CESARE, CHRISTOPHER, J. | I | MEMBER | A | Control |
| CESARE, CHRISTOPHER, J. | I | PARTNER | A | Control |
| CESARE, CHRISTOPHER, J. | I | PARTNER | A | Control |
| CESARE, CHRISTOPHER, J. | I | MEMBER | A | Control |
| CESARE, CHRISTOPHER, J. | I | MEMBER | A | Control |
| CESARE, CHRISTOPHER, J. | I | MEMBER | A | Control |
| CESARE, CHRISTOPHER, J. | I | MEMBER | A | Control |
| CESARE, CHRISTOPHER, J. | I | MEMBER | A | Control |
| CESARE, CHRISTOPHER, J. | I | MEMBER | A | Control |
| CESARE, CHRISTOPHER, J. | I | MEMBER | A | Control |
| CESARE, CHRISTOPHER, J. | I | MEMBER | A | Control |
| CESARE, CHRISTOPHER, J. | I | MEMBER | A | Control |
| CESARE, CHRISTOPHER, J. | I | MEMBER | A | Control |
| CESARE, CHRISTOPHER, J. | I | MEMBER | A | Control |
| CESARE, CHRISTOPHER, J. | I | MEMBER | A | Control |
| DELALLA, ELIZABETH | I | MEMBER | A | |
| DELALLA, ELIZABETH | I | MEMBER | A | |
| DELALLA, ELIZABETH | I | MEMBER | A | |
| DELALLA, ELIZABETH | I | MEMBER | A | |
| DELALLA, ELIZABETH | I | MEMBER | A | |
| DELALLA, ELIZABETH | I | MEMBER | A | |
| DELALLA, ELIZABETH | I | MEMBER | A | |
| DELALLA, ELIZABETH | I | MEMBER | A | |
| DELALLA, ELIZABETH | I | MEMBER | A | |
| DELALLA, ELIZABETH | I | MEMBER | A | |
| DELALLA, ELIZABETH | I | MEMBER | A | |
| DELALLA, ELIZABETH | I | MEMBER | A | |
| DELALLA, ELIZABETH | I | MEMBER | A | |
| DELALLA, ELIZABETH | I | MEMBER | A | |
| DELALLA, ELIZABETH | I | MEMBER | A | |
| DELALLA, ELIZABETH | I | MEMBER | A | |
| DELALLA, ELIZABETH | I | MEMBER | A | |
| DELALLA, ELIZABETH | I | MEMBER | A | |
| FENNINGDORF, ROGER, L. | I | PARTNER | A | Control |
| FENNINGDORF, ROGER, L. | I | MEMBER | A | Control |
| FENNINGDORF, ROGER, L. | I | MEMBER | A | Control |
| FENNINGDORF, ROGER, L. | I | PARTNER | A | Control |
| FENNINGDORF, ROGER, L. | I | MEMBER | A | Control |
| FENNINGDORF, ROGER, L. | I | MANAGING DIRECTOR | A | Control |
| FENNINGDORF, ROGER, L. | I | MEMBER | A | Control |
| FENNINGDORF, ROGER, L. | I | PARTNER | A | Control |
| FENNINGDORF, ROGER, L. | I | PARTNER | A | Control |
| FENNINGDORF, ROGER, L. | I | MEMBER | A | Control |
| FENNINGDORF, ROGER, L. | I | MEMBER | A | Control |
| FENNINGDORF, ROGER, L. | I | MEMBER | A | Control |
| FENNINGDORF, ROGER, L. | I | MEMBER | A | Control |
| FENNINGDORF, ROGER, L. | I | MEMBER | A | Control |
| FENNINGDORF, ROGER, L. | I | MEMBER | A | Control |
| FENNINGDORF, ROGER, L. | I | MEMBER | A | Control |
| FENNINGDORF, ROGER, L. | I | MEMBER | A | Control |
| FENNINGDORF, ROGER, L. | I | MEMBER | A | Control |
| FENNINGDORF, ROGER, L. | I | MEMBER | A | Control |
| FENNINGDORF, ROGER, L. | I | MEMBER | A | Control |
| FENNINGDORF, ROGER, L. | I | MEMBER | A | Control |
| HAUGEN, CARLA | I | MEMBER | A | Control |
| HAUGEN, CARLA | I | MEMBER | A | Control |
| HAUGEN, CARLA | I | MEMBER | A | Control |
| HAUGEN, CARLA | I | MEMBER | A | Control |
| HAUGEN, CARLA | I | MEMBER | A | Control |
| HAUGEN, CARLA | I | MEMBER | A | |
| HAUGEN, CARLA | I | MEMBER | A | |
| HAUGEN, CARLA | I | MEMBER | A | |
| HAUGEN, CARLA | I | MEMBER | A | Control |
| HAUGEN, CARLA | I | MEMBER | A | |
| HAUGEN, CARLA | I | MEMBER | A | Control |
| HAUGEN, CARLA | I | MEMBER | A | |
| HAUGEN, CARLA | I | MEMBER | A | |
| HAUGEN, CARLA | I | MEMBER | A | |
| KATZ, DAVID, JAY | I | PARTNER | A | Control |
| KATZ, DAVID, JAY | I | MEMBER | A | Control |
| KATZ, DAVID, JAY | I | PARTNER | A | Control |
| KATZ, DAVID, JAY | I | MANAGING DIRECTOR | A | Control |
| KATZ, DAVID, JAY | I | MEMBER | A | Control |
| KATZ, DAVID, JAY | I | PARTNER | A | Control |
| KATZ, DAVID, JAY | I | PARTNER | A | Control |
| LYON, CHRISTOPHER, RANDOLPH | I | CHIEF COMPLIANCE OFFICER | A | Control |
| LYON, CHRISTOPHER, RANDOLPH | I | CHIEF COMPLIANCE OFFICER | A | Control |
| LYON, CHRISTOPHER, RANDOLPH | I | CHIEF COMPLIANCE OFFICER | A | Control |
| LYON, CHRISTOPHER, RANDOLPH | I | CHIEF COMPLIANCE OFFICER | A | Control |
| LYON, CHRISTOPHER, RANDOLPH | I | CHIEF COMPLIANCE OFFICER | A | Control |
| LYON, CHRISTOPHER, RANDOLPH | I | MEMBER | A | Control |
| LYON, CHRISTOPHER, RANDOLPH | I | CHIEF COMPLIANCE OFFICER AND MEMBER | A | Control |
| LYON, CHRISTOPHER, RANDOLPH | I | MEMBER | A | Control |
| LYON, CHRISTOPHER, RANDOLPH | I | MEMBER | A | Control |
| LYON, CHRISTOPHER, RANDOLPH | I | MEMBER | A | Control |
| LYON, CHRISTOPHER, RANDOLPH | I | MEMBER | A | Control |
| LYON, CHRISTOPHER, RANDOLPH | I | MEMBER | A | Control |
| LYON, CHRISTOPHER, RANDOLPH | I | MEMBER | A | Control |
| LYON, CHRISTOPHER, RANDOLPH | I | MEMBER | A | Control |
| LYON, CHRISTOPHER, RANDOLPH | I | MEMBER | A | Control |
| LYON, CHRISTOPHER, RANDOLPH | I | MEMBER | A | Control |
| LYON, CHRISTOPHER, RANDOLPH | I | MEMBER | A | Control |
| LYON, CHRISTOPHER, RANDOLPH | I | MEMBER | A | Control |
| LYON, CHRISTOPHER, RANDOLPH | I | MEMBER | A | Control |
| MOORE, JULIE | I | MEMBER | A | |
| MOORE, JULIE | I | MEMBER | A | |
| MOORE, JULIE | I | MEMBER | A | |
| MOORE, JULIE | I | MEMBER | A | |
| MOORE, JULIE | I | MEMBER | A | |
| MOORE, JULIE | I | MEMBER | A | |
| MOORE, JULIE | I | MEMBER | A | |
| MOORE, JULIE | I | MEMBER | A | |
| MOORE, JULIE | I | MEMBER | A | |
| MOORE, JULIE | I | MEMBER | A | |
| MOORE, JULIE | I | MEMBER | A | |
| MOORE, JULIE | I | MEMBER | A | |
| MOORE, JULIE | I | MEMBER | A | |
| MOORE, JULIE | I | MEMBER | A | |
| MOORE, JULIE | I | MEMBER | A | |
| MOORE, JULIE | I | MEMBER | A | |
| MOORE, JULIE | I | MEMBER | A | |
| MOORE, JULIE | I | MEMBER | A | |
| MORTON, DAVID, ANTHONY | I | MEMBER | A | |
| MORTON, DAVID, ANTHONY | I | MEMBER | A | Control |
| MORTON, DAVID, ANTHONY | I | MEMBER | A | Control |
| MORTON, DAVID, ANTHONY | I | MEMBER | A | Control |
| MORTON, DAVID, ANTHONY | I | MEMBER | A | Control |
| MORTON, DAVID, ANTHONY | I | MEMBER | A | |
| MORTON, DAVID, ANTHONY | I | MEMBER | A | |
| MORTON, DAVID, ANTHONY | I | MEMBER | A | |
| MORTON, DAVID, ANTHONY | I | MEMBER | A | |
| MORTON, DAVID, ANTHONY | I | MEMBER | A | |
| MORTON, DAVID, ANTHONY | I | MEMBER | A | |
| MORTON, DAVID, ANTHONY | I | MEMBER | A | |
| MORTON, DAVID, ANTHONY | I | MEMBER | A | |
| MORTON, DAVID, ANTHONY | I | MEMBER | A | |
| MORTON, DAVID, ANTHONY | I | MEMBER | A | |
| MORTON, DAVID, ANTHONY | I | MEMBER | A | |
| MORTON, DAVID, ANTHONY | I | MEMBER | A | |
| MORTON, DAVID, ANTHONY | I | MEMBER | A | |
| MORTON, DAVID, ANTHONY | I | MEMBER | A | |
| NANKOF, JOSEPH, SCOTT | I | PARTNER | A | Control |
| NANKOF, JOSEPH, SCOTT | I | MEMBER | A | Control |
| NANKOF, JOSEPH, SCOTT | I | MEMBER | A | Control |
| NANKOF, JOSEPH, SCOTT | I | PARTNER | A | Control |
| NANKOF, JOSEPH, SCOTT | I | MEMBER | A | Control |
| NANKOF, JOSEPH, SCOTT | I | MANAGING DIRECTOR | A | Control |
| NANKOF, JOSEPH, SCOTT | I | MEMBER | A | Control |
| NANKOF, JOSEPH, SCOTT | I | PARTNER | A | Control |
| NANKOF, JOSEPH, SCOTT | I | PARTNER | A | Control |
| NANKOF, JOSEPH, SCOTT | I | MEMBER | A | Control |
| NANKOF, JOSEPH, SCOTT | I | MEMBER | A | Control |
| NANKOF, JOSEPH, SCOTT | I | MEMBER | A | Control |
| NANKOF, JOSEPH, SCOTT | I | MEMBER | A | Control |
| NANKOF, JOSEPH, SCOTT | I | MEMBER | A | Control |
| NANKOF, JOSEPH, SCOTT | I | MEMBER | A | Control |
| NANKOF, JOSEPH, SCOTT | I | MEMBER | A | Control |
| NANKOF, JOSEPH, SCOTT | I | MEMBER | A | Control |
| NANKOF, JOSEPH, SCOTT | I | MEMBER | A | Control |
| NANKOF, JOSEPH, SCOTT | I | MEMBER | A | Control |
| NANKOF, JOSEPH, SCOTT | I | MEMBER | A | Control |
| NANKOF, JOSEPH, SCOTT | I | MEMBER | A | Control |
| PELLISH, ROBIN, SHERRY | I | CHIEF EXECUTIVE OFFICER | A | Control |
| PELLISH, ROBIN, SHERRY | I | MEMBER | A | Control |
| PELLISH, ROBIN, SHERRY | I | MEMBER | A | Control |
| PELLISH, ROBIN, SHERRY | I | PARTNER | A | Control |
| PELLISH, ROBIN, SHERRY | I | MEMBER | A | Control |
| PELLISH, ROBIN, SHERRY | I | MANAGING DIRECTOR | A | Control |
| PELLISH, ROBIN, SHERRY | I | MEMBER | A | Control |
| PELLISH, ROBIN, SHERRY | I | PARTNER | A | Control |
| PELLISH, ROBIN, SHERRY | I | PARTNER | A | Control |
| PELLISH, ROBIN, SHERRY | I | CEO AND MEMBER | A | Control |
| PELLISH, ROBIN, SHERRY | I | CEO AND MEMBER | A | Control |
| PELLISH, ROBIN, SHERRY | I | CEO AND MEMBER | A | Control |
| PELLISH, ROBIN, SHERRY | I | CEO AND MEMBER | A | Control |
| PELLISH, ROBIN, SHERRY | I | CEO AND MEMBER | A | Control |
| PELLISH, ROBIN, SHERRY | I | CEO AND MEMBER | A | Control |
| PELLISH, ROBIN, SHERRY | I | CEO AND MEMBER | A | Control |
| PELLISH, ROBIN, SHERRY | I | CEO AND MEMBER | A | Control |
| PELLISH, ROBIN, SHERRY | I | CEO AND MEMBER | A | Control |
| PELLISH, ROBIN, SHERRY | I | CEO AND MEMBER | A | Control |
| PELLISH, ROBIN, SHERRY | I | CEO AND MEMBER | A | Control |
| PELLISH, ROBIN, SHERRY | I | CEO AND MEMBER | A | Control |
| PELLISH, ROBIN, sherry | I | CEO | A | Control |
| PELLISH, ROBIN, sherry | I | CEO | A | Control |
| PELLISH, ROBIN, sherry | I | CEO | A | Control |
| PELLISH, ROBIN, sherry | I | CEO | A | Control |
| PELLISH, ROBIN, sherry | I | CEO | A | Control |
| PELLISH, ROBIN, sherry | I | CEO | A | Control |
| PELLISH, ROBIN, sherry | I | CEO | A | Control |
| PELLISH, ROBIN, sherry | I | CEO | A | Control |
| PELLISH, ROBIN, sherry | I | CEO | A | Control |
| PELLISH, ROBIN, sherry | I | CEO | A | Control |
| PELLISH, ROBIN, sherry | I | CEO | A | Control |
| PELLISH, ROBIN, sherry | I | CEO | A | Control |
| PELLISH, ROBIN, sherry | I | CEO | A | Control |
| PELLISH, ROBIN, sherry | I | CEO | A | Control |
| PELLISH, ROBIN, sherry | I | CEO | A | Control |
| PELLISH, ROBIN, sherry | I | CEO | A | Control |
| PELLISH, ROBIN, sherry | I | CEO | A | Control |
| PELLISH, ROBIN, sherry | I | CEO | A | Control |
| WHEAT, ADAM | I | MEMBER | A | Control |
| WHEAT, ADAM | I | MEMBER | A | Control |
| WHEAT, ADAM | I | MEMBER | A | Control |
| WHEAT, ADAM | I | MEMBER | A | Control |
| WHEAT, ADAM | I | MEMBER | A | Control |
| WHEAT, ADAM | I | MEMBER | A | Control |
| WHEAT, ADAM | I | MEMBER | A | Control |
| WHEAT, ADAM | I | MEMBER | A | Control |
| WHEAT, ADAM | I | MEMBER | A | Control |
| WHEAT, ADAM | I | MEMBER | A | Control |
| WHEAT, ADAM | I | MEMBER | A | Control |
| WHEAT, ADAM | I | MEMBER | A | Control |
| ZANDI, MERIAM | I | MEMBER | A | Control |
| ZANDI, MERIAM | I | MEMBER | A | Control |
| ZANDI, MERIAM | I | MEMBER | A | Control |
| ZANDI, MERIAM | I | MEMBER | A | Control |
| ZANDI, MERIAM | I | MEMBER | A | Control |
| ZANDI, MERIAM | I | MEMBER | A | Control |
| ZANDI, MERIAM | I | MEMBER | A | Control |
| ZANDI, MERIAM | I | MEMBER | A | Control |
| ZANDI, MERIAM | I | MEMBER | A | Control |
| ZANDI, MERIAM | I | MEMBER | A | Control |
| ZANDI, MERIAM | I | MEMBER | A | Control |
| ZANDI, MERIAM | I | MEMBER | A | Control |
| ZANDI, MERIAM | I | MEMBER | A | Control |
| ZANDI, MERIAM | I | MEMBER | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| THE GOLDMAN SACHS GROUP, INC. | DE | GSAM HOLDINGS LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | GSAM HOLDINGS LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | GSAM HOLDINGS LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | GSAM HOLDINGS LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | GSAM HOLDINGS LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | GSAM HOLDINGS LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | GSAM HOLDINGS LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | GSAM HOLDINGS LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | GSAM HOLDINGS LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | GSAM HOLDINGS LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | GSAM HOLDINGS LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | GSAM HOLDINGS LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | GSAM HOLDINGS LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | GSAM HOLDINGS LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | GSAM HOLDINGS LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | GSAM HOLDINGS LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | GSAM HOLDINGS LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | GSAM HOLDINGS LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | GSAM HOLDINGS LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | GSAM HOLDINGS LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | GSAM HOLDINGS LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | GSAM HOLDINGS LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | GSAM HOLDINGS LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | GSAM HOLDINGS LLC | E | Control |
| THE GOLDMAN SACHS GROUP, INC. | DE | GSAM HOLDINGS LLC | E | Control |
Registrations
Federal
IA
Apr 12, 2024 REGISTERED
Notice Filings (9)
CA CT IL MA MD NH NY TX VA
Address
20 GLOVER AVENUENORWALK, CT 06850
United States
Phone: 203-621-1700