SMI MANAGEMENT & RESEARCH LLC
CRD #131162 SEC #801-71401 DAMARISCOTTA, ME 207-380-5375
SEC Registered
Total AUM
$40M
Discretionary
$38M
Employees
1
Clients
101
Accounts
127
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Maine
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 2, 2012
- 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 |
|---|---|---|---|---|
| ARSENAULT, MACKENZIE, HOLLY | I | PORTFOLIO MANAGER | NA | |
| ANDREWS, MARK, EDWARD | I | CHIEF COMPLIANCE OFFICER, MANAGING MEMBER, CEO, CFO | E | Control |
| ANDREWS, MARK, EDWARD | I | CHIEF COMPLIANCE OFFICER, MANAGING MEMBER, CEO, CFO | E | Control |
| ANDREWS, MARK, EDWARD | I | CHIEF COMPLIANCE OFFICER, MANAGING MEMBER, CEO, CFO | E | Control |
| ANDREWS, MARK, EDWARD | I | CHIEF COMPLIANCE OFFICER, MANAGING MEMBER, CEO, CFO | E | Control |
| ANDREWS, MARK, EDWARD | I | CHIEF COMPLIANCE OFFICER, MANAGING MEMBER, CEO, CFO | E | Control |
Registrations
Federal
IA
Apr 2, 2012 REGISTERED
Notice Filings (1)
ME
Address
15 BELVEDERE RDDAMARISCOTTA, ME 04543
United States
Phone: 207-380-5375