RIA Intelligence

SPM PRIME, L.L.C.

CRD #140301 SEC #801-66596 STAMFORD, CT 203-351-2870
SEC Registered
Total AUM
$21.6M
Discretionary
$21.6M
Employees
--
Clients
--
Accounts
1

Firm Details

Organization Type
Limited Liability Company
State of Formation
--
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
Mar 31, 2009
Branch Offices
--

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
BROWER, KENNETH, WILLIAMISENIOR VICE PRESIDENTNA
BROWNSTEIN, DONALD, IANICHIEF EXECUTIVE OFFICERNA Control
BROWNSTEIN, DONALD, IANICHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICERNA Control
BROWNSTEIN, DONALD, IANICHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICERNA Control
CONTINO, JOHN, VINCENTIMANAGING DIRECTORNA
CRON, KENNETHIPRESIDENTNA Control
CRON, KENNETHIPRESIDENTNA Control
KONG, JEFFREYIMANAGING DIRECTORNA Control
KONG, JEFFREYISENIOR MANAGING DIRECTORNA Control
KONG, JEFFREYISENIOR MANAGING DIRECTORNA Control
LIU, YONGIMANAGING DIRECTORNA Control
LIU, YONGISENIOR MANAGING DIRECTORNA Control
LIU, YONGISENIOR MANAGING DIRECTORNA Control
MCGRAW, WARD, JAMESICHIEF FINANCIAL OFFICERNA Control
MCGRAW, WARD, JAMESICHIEF FINANCIAL OFFICERNA Control
ROBERTS, TIMOTHY, JOHN YVESIMANAGING DIRECTORNA
RUSSELL, CHRISTOPHER, GERARDICHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICERNA Control
RUSSELL, CHRISTOPHER, GERARDICHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICERNA Control
RUSSELL, CHRISTOPHER, GERARDICHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICERNA Control
SCANLON, JENELLE, RENEEICOMPLIANCE OFFICER/VICE PRESIDENTNA
SCANLON, JENELLE, RENEEICOMPLIANCE OFFICER/VICE PRESIDENTNA
SCANLON, JENELLE, RENEEICOMPLIANCE OFFICER/VICE PRESIDENTNA
STRUCTURED PORTFOLIO MANAGEMENT, L.L.CDEOWNER/MEMBER/MANAGERE Control
STRUCTURED PORTFOLIO MANAGEMENT, L.L.CDEOWNER/MEMBER/MANAGERE Control
STRUCTURED PORTFOLIO MANAGEMENT, L.L.CDEOWNER/MEMBER/MANAGERE Control
MOK, WILLIAM, LEONGIMANAGING DIRECTORA Control
MOK, WILLIAM, LEONGISENIOR MANAGING DIRECTORA Control
MOK, WILLIAM, LEONGISENIOR MANAGING DIRECTORA Control

Indirect Owners (Schedule B)

NameTypeEntityOwnershipControl
BOWMAN PARTNERS GPFEBOWMAN PARTNERS LPF Control
LOVELL MINNICK EQUITY ADVISORS LLCDELOVELL MINNICK EQUITY PARTNERS LPF Control
LOVELL MINNICK HOLDINGS LLCDELOVELL MINNICK PARTNERS LLCF Control
LOVELL MINNICK PARTNERS LLCDELOVELL MINNICK EQUITY ADVISORS LLCF Control
AEGON N.V.FEAEGON USA INC.E Control
AEGON USA INC.DEPF LIFE INSURANCE COMANYE Control
FRANK RUSSELL COMPANYDEFRANK RUSSELL INVESTMENTS (CAYMAN) LTD.E Control
FRANK RUSSELL INVESTMENTS (CAYMAN) LTD.FEBOWMAN PARTNERS GP CO.E Control
BROWNSTEIN, DONALD, IANIUPPER SHAD ASSOCIATES, L.L.C.D Control
BROWNSTEIN, DONALD, IANIUPPER SHAD ASSOCIATES, L.L.C.D Control
LOVELL, JEFFREY, DALEILOVELL MINNICK HOLDINGS LLCD Control
UPPER SHAD ASSOCIATES LLCDESTRUCTURED PORTFOLIO MANAGMENT LLCD Control
ATLANTIC ASSET MANAGEMENT LLCDESTRUCTURED PORTFOLIO MANAGEMENT LLCC Control
BOWMAN PARTNERS LPFELOVELL MINNICK EQUITY PARTNERS LPC Control
LOVELL MINNICK EQUITY PARTNERS LPDEATLANTIC ASSET MANAGEMENT LLCC Control
MINNICK, JAMES, EDWARDILOVELL MINNICK HOLDINGS LLCC Control
NEWCOM, JENNINGS, JAYILOVELL MINNICK HOLDINGS LLCC Control
PATHEON GLOBAL SECONDARY FUND II LIMITEDFEBOWMAN PARTNERS LPC Control
PF LIFE INSURANCE COMPANYDELOVELL MINNICK EQUITY PARTNERS LPC Control
SELLERS, RONALD, WARRENIATLANTIC ASSET MANAGEMENT LLCC Control
STRUCTURED PARTNERS L.L.C.DESTRUCTURED PORTFOLIO MANAGEMENT, L.L.C.C Control
STRUCTURED PARTNERS L.L.C.DESTRUCTURED PORTFOLIO MANAGEMENT, L.L.C.C Control
UPPER SHAD ASSOCIATES LLCDESTRUCTURED PORTFOLIO MANAGMENT LLCC Control
UPPER SHAD ASSOCIATES LLCDESTRUCTURED PORTFOLIO MANAGMENT LLCC Control

Registrations

Federal

IA
Mar 31, 2009 REGISTERED

Notice Filings (1)

CT

Address

2187 ATLANTIC STREET, 4TH FL
CLEARWATER HOUSE
STAMFORD, CT 6902
United States
Phone: 203-351-2870