RIA Intelligence

AUSPEX GROUP, L.P.

CRD #133130 SEC #801-63610 GREENWICH, CT 203-863-6000
SEC Registered
Total AUM
$25.6M
Discretionary
$25.6M
Employees
5
Clients
--
Accounts
2

Firm Details

Organization Type
Partnership
State of Formation
--
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
Mar 27, 2007
Branch Offices
--

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
AUSPEX GP, LLCDEGENERAL PARTNERNA Control
AUSPEX GP, LLCDEGENERAL PARTNERNA Control
AUSPEX GP, LLCDEGENERAL PARTNERNA Control
AUSPEX GP, LLCDEGENERAL PARTNERNA Control
CARTER, VIRGINIA, ELLENIPORTFOLIO MANAGERNA Control
CARTER, VIRGINIA, ELLENIPORTFOLIO MANAGERNA Control
CARTER, VIRGINIA, ELLENIPORTFOLIO MANAGERNA Control
CARTER, VIRGINIA, ELLENIPORTFOLIO MANAGERNA Control
WIATE, AILEEN, KIMICOO (AND CCO)NA Control
WIATE, AILEEN, KIMICOO (AND CCO)NA Control
WIATE, AILEEN, KIMICOO AND CHIEF COMPLIANCE OFFICERNA Control
WIATE, AILEEN, KIMICOO AND CHIEF COMPLIANCE OFFICERNA Control
KEEGAN, DENNIS, JOHNICEOC Control
KEEGAN, DENNIS, JOHNICEOC Control
KEEGAN, DENNIS, JOHNICEOC Control
KEEGAN, DENNIS, JOHNICEOC Control

Indirect Owners (Schedule B)

NameTypeEntityOwnershipControl
KEEGAN, DENNIS, JOHNIAUSPEX GP, LLCE Control
KEEGAN, DENNIS, JOHNIAUSPEX GP, LLCE Control
KEEGAN, DENNIS, JOHNIAUSPEX GP, LLCE Control
KEEGAN, DENNIS, JOHNIAUSPEX GP, LLCE Control

Registrations

Federal

IA
Mar 27, 2007 REGISTERED

Notice Filings (1)

CT

Address

15 VALLEY DRIVE
FLOOR 2
GREENWICH, CT 6831
USA
Phone: 203-863-6000