VON KOHORN RESEARCH & ADVISORY, INC.
CRD #139516 SEC #801-66462 WESTPORT, CT 203-454-3200
SEC Registered Private Funds Disclosures
Total AUM
$31M
Discretionary
$31M
Employees
1
Clients
0
Accounts
8
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- Connecticut
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- May 9, 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 |
|---|---|---|---|---|
| ROCKLEY, PAMELA, LOUISE | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROCKLEY, PAMELA, LOUISE | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROCKLEY, PAMELA, LOUISE | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROCKLEY, PAMELA, LOUISE | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROCKLEY, PAMELA, LOUISE | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROCKLEY, PAMELA, LOUISE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ROCKLEY, PAMELA, LOUISE | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROCKLEY, PAMELA, LOUISE | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROCKLEY, PAMELA, LOUISE | I | CHIEF COMPLIANCE OFFICER | NA | |
| VONKOHORN, DANIEL, ADAM | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| VONKOHORN, KENNETH | I | DIRCTR SHRHLDR PRES | E | Control |
| VONKOHORN, KENNETH | I | DIRCTR SHRHLDR PRES CCO | E | Control |
| VONKOHORN, KENNETH | I | DIRECTOR/SHAREHOLDER/PRESIDENT | E | Control |
| VONKOHORN, KENNETH | I | DIRECTOR/SHAREHOLDER/PRESIDENT | E | Control |
| VONKOHORN, KENNETH | I | DIRECTOR/SHAREHOLDER/PRESIDENT | E | Control |
| VONKOHORN, KENNETH | I | DIRECTOR/SHAREHOLDER/PRESIDENT | E | Control |
| VONKOHORN, KENNETH | I | DIRECTOR/SHAREHOLDER/PRESIDENT | E | Control |
| VONKOHORN, KENNETH | I | DIRECTOR/SHAREHOLDER/PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| VONKOHORN, KENNETH | I | DIRECTOR/SHAREHOLDER/PRESIDENT | E | Control |
| VONKOHORN, KENNETH | I | DIRECTOR/SHAREHOLDER/PRESIDENT | E | Control |
| VONKOHORN, KENNETH | I | DIRECTOR/SHAREHOLDER/PRESIDENT | E | Control |
| VONKOHORN, KENNETH | I | DIRECTOR/SHAREHOLDER/PRESIDENT | E | Control |
Registrations
Federal
IA
May 9, 2012 REGISTERED
Notice Filings (1)
CT
Address
225 MAIN STREETSUITE 104
WESTPORT, CT 06880
United States
Phone: 203-454-3200