OCEAN TOMO ASSET MANAGEMENT, LLC
Legal name: OCEAN TOMO ASSET MANAGEMENT
CRD #140784 SEC #801-66808 CHICAGO, IL 312-327-4400
SEC Registered
Total AUM
$41M
Discretionary
$1M
Employees
10
Clients
0
Accounts
2
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 30, 2007
- 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 |
|---|---|---|---|---|
| CARDOZA, KEITH, MATTHEW | I | PRESIDENT | NA | Control |
| GARDNER, JASON, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| MILLIEN, RAYMOND | I | SECRETARY | NA | |
| OCEAN TOMO CAPITAL, LLC | DE | MEMBER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| OCEAN TOMO, LLC | DE | OCEAN TOMO CAPITAL, LLC | E | Control |
| MALACKOWSKI, JAMES, EDWARD | I | OCEAN TOMO, LLC | D | Control |
Registrations
Federal
IA
Mar 30, 2007 REGISTERED
Notice Filings (1)
IL
Address
200 WEST MADISON ST.37TH FLOOR
CHICAGO, IL 60606-3414
USA
Phone: 312-327-4400