SIMON FINANCIAL GROUP, INC.
Legal name: SIMON CAPITAL MANAGEMENT
CRD #132581 SEC #801-71503 BALA CYNWYD, PA 610-667-2450
SEC Registered
Total AUM
$36M
Discretionary
$33M
Employees
5
Clients
26
Accounts
262
Firm Details
- Organization Type
- Corporation
- State of Formation
- Pennsylvania
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Feb 18, 2014
- 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 |
|---|---|---|---|---|
| RACE, SCOTT, JAY | I | CHIEF COMPLIANCE OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF EXECUTIVE OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF FINANCIAL OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF OPERATIONS OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF LEGAL OFFICER | E | Control |
| RACE, SCOTT, JAY | I | DIRECTOR | E | Control |
| RACE, SCOTT, JAY | I | CHIEF EXECUTIVE OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF COMPLIANCE OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF FINANCIAL OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF OPERATIONS OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF LEGAL OFFICER | E | Control |
| RACE, SCOTT, JAY | I | DIRECTOR | E | Control |
| RACE, SCOTT, JAY | I | CHIEF COMPLIANCE OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF EXECUTIVE OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF FINANCIAL OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF OPERATIONS OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF LEGAL OFFICER | E | Control |
| RACE, SCOTT, JAY | I | DIRECTOR | E | Control |
| RACE, SCOTT, JAY | I | CHIEF COMPLIANCE OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF EXECUTIVE OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF FINANCIAL OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF OPERATIONS OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF LEGAL OFFICER | E | Control |
| RACE, SCOTT, JAY | I | DIRECTOR | E | Control |
| RACE, SCOTT, JAY | I | CHIEF COMPLIANCE OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF COMPLIANCE OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF EXECUTIVE OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF FINANCIAL OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF OPERATIONS OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF LEGAL OFFICER | E | Control |
| RACE, SCOTT, JAY | I | DIRECTOR | E | Control |
| RACE, SCOTT, JAY | I | CHIEF COMPLIANCE OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF EXECUTIVE OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF FINANCIAL OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF OPERATIONS OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF LEGAL OFFICER | E | Control |
| RACE, SCOTT, JAY | I | DIRECTOR | E | Control |
| RACE, SCOTT, JAY | I | CHIEF FINANCIAL OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF COMPLIANCE OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF EXECUTIVE OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF OPERATIONS OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF LEGAL OFFICER | E | Control |
| RACE, SCOTT, JAY | I | DIRECTOR | E | Control |
| RACE, SCOTT, JAY | I | CHIEF COMPLIANCE OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF EXECUTIVE OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF FINANCIAL OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF OPERATIONS OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF LEGAL OFFICER | E | Control |
| RACE, SCOTT, JAY | I | DIRECTOR | E | Control |
| RACE, SCOTT, JAY | I | CHIEF FINANCIAL OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF COMPLIANCE OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF EXECUTIVE OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF OPERATIONS OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF LEGAL OFFICER | E | Control |
| RACE, SCOTT, JAY | I | DIRECTOR | E | Control |
| RACE, SCOTT, JAY | I | CHIEF COMPLIANCE OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF EXECUTIVE OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF FINANCIAL OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF OPERATIONS OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF LEGAL OFFICER | E | Control |
| RACE, SCOTT, JAY | I | DIRECTOR | E | Control |
| RACE, SCOTT, JAY | I | CHIEF COMPLIANCE OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF EXECUTIVE OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF FINANCIAL OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF OPERATIONS OFFICER | E | Control |
| RACE, SCOTT, JAY | I | CHIEF LEGAL OFFICER | E | Control |
| RACE, SCOTT, JAY | I | DIRECTOR | E | Control |
Registrations
Federal
IA
Feb 18, 2014 REGISTERED
Notice Filings (1)
PA
Address
ONE BALA PLAZASTE. 630
BALA CYNWYD, PA 19004
United States
Phone: 610-667-2450