BROXTON CAPITAL ADVISORS
Legal name: BROXTON CAPITAL ADVISORS LLC
CRD #136914 SEC #801-64689 LOS ANGELES, CA 310-208-2191
SEC Registered
Total AUM
$78.8M
Discretionary
$77.4M
Employees
1
Clients
0
Accounts
182
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jul 11, 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 |
|---|---|---|---|---|
| FELDMAN, RUSTIN, JJ | I | SR. ASSOCIATE | NA | |
| FELDMAN, RUSTIN, JJ | I | SR. ASSOCIATE | NA | |
| FELDMAN, RUSTIN, JJ | I | ASSOCIATE | NA | |
| FELDMAN, RUSTIN, JJ | I | ASSOCIATE | NA | |
| FELDMAN, RUSTIN, JJ | I | SR. ASSOCIATE | NA | |
| FELDMAN, RUSTIN, JJ | I | SR. ASSOCIATE | NA | |
| FELDMAN, RUSTIN, JJ | I | SR. ASSOCIATE | NA | |
| FELDMAN, RUSTIN, JJ | I | SR. ASSOCIATE | NA | |
| FELDMAN, RUSTIN, JJ | I | SR. ASSOCIATE | NA | |
| FELDMAN, RUSTIN, JJ | I | SR. ASSOCIATE | NA | |
| COOKE, ROBERT, ALLEN | I | PRINCIPAL/ PORTFOLIO MANAGER | E | Control |
| COOKE, ROBERT, ALLEN | I | PRINCIPAL/ PORTFOLIO MANAGER | E | Control |
| COOKE, ROBERT, ALLEN | I | CHIEF COMPLIANCE OFFICER / PRINCIPAL/ PORTFOLIO MANAGER | E | Control |
| COOKE, ROBERT, ALLEN | I | CHIEF COMPLIANCE OFFICER / PRINCIPAL/ PORTFOLIO MANAGER | E | Control |
| COOKE, ROBERT, ALLEN | I | PRINCIPAL/CHIEF COMPLIANCE OFFICER | E | Control |
| COOKE, ROBERT, ALLEN | I | PRINCIPAL/CHIEF COMPLIANCE OFFICER | E | Control |
| COOKE, ROBERT, ALLEN | I | PRINCIPAL/CHIEF COMPLIANCE OFFICER | E | Control |
| COOKE, ROBERT, ALLEN | I | CHIEF COMPLIANCE OFFICER / PRINCIPAL/ PORTFOLIO MANAGER | E | Control |
| COOKE, ROBERT, ALLEN | I | CHIEF COMPLIANCE OFFICER / PRINCIPAL/ PORTFOLIO MANAGER | E | Control |
| COOKE, ROBERT, ALLEN | I | CHIEF COMPLIANCE OFFICER / MANAGING MEMBER/ PORTFOLIO MANAGER | E | Control |
| COOKE, ROBERT, ALLEN | I | CHIEF COMPLIANCE OFFICER / PRINCIPAL/ PORTFOLIO MANAGER | E | Control |
| COOKE, ROBERT, ALLEN | I | CHIEF COMPLIANCE OFFICER / MANAGING MEMBER/ PORTFOLIO MANAGER | E | Control |
| COOKE, ROBERT, ALLEN | I | CHIEF COMPLIANCE OFFICER / MANAGING MEMBER/ PORTFOLIO MANAGER | E | Control |
| COOKE, ROBERT, ALLEN | I | CHIEF COMPLIANCE OFFICER / MANAGING MEMBER/ PORTFOLIO MANAGER | E | Control |
| COOKE, ROBERT, ALLEN | I | CHIEF COMPLIANCE OFFICER / MANAGING MEMBER/ PORTFOLIO MANAGER | E | Control |
| COOKE, ROBERT, ALLEN | I | PRINCIPAL | C | Control |
| ROOT, TED, CARL | I | PRINCIPAL | C | Control |
| ROOT, TED, CARL | I | PRINCIPAL | C | Control |
| ROOT, TED, CARL | I | PRINCIPAL | C | Control |
| ROOT, TED, CARL | I | PRINCIPAL | C | Control |
| STEAD, BRIAN, WALTER | I | PRINCIPAL, MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | C | Control |
| STEAD, BRIAN, WALTER | I | PRINCIPAL, MANAGING DIRECTOR, CCO | C | Control |
| STEAD, BYRON, WALTER | I | CHIEF COMPLIANCE OFFICER | C | Control |
Registrations
Federal
IA
Jul 11, 2012 REGISTERED
Notice Filings (5)
AZ CA OK TN TX
Address
1063 GAYLEY AVENUE2ND FLOOR
LOS ANGELES, CA 90024
United States
Phone: 310-208-2191