BALTER CAPITAL MANAGEMENT, LLC
CRD #141686 SEC #801-67146 BOSTON, MA 617-478-6333
SEC Registered
Total AUM
$75.5M
Discretionary
$26.3M
Employees
5
Clients
--
Accounts
7
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 22, 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 |
|---|---|---|---|---|
| BALTER, BRADLEY, ROSS | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| BALTER, BRADLEY, ROSS | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| BALTER, BRADLEY, ROSS | I | PORTFOLIO MANAGER | NA | Control |
| CHIANG, VICTOR, WEN YUAN | I | CHIEF TRADING OFFICER | NA | Control |
| HAMEL, JOHN, DANIELE | I | MANAGER | NA | Control |
| KRAVETZ, JILL, RACHAEL | I | MANAGER | NA | Control |
| MAYVILLE, STEPHANIE, O'MEARA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TJAN, ANTHONY, K | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| BALTER CAPITAL MANAGEMENT, LLC | DE | MEMBER | E | Control |
| BALTER CAPITAL MANAGEMENT, LLC | DE | MEMBER | E | Control |
| THE CUE BALL GROUP, LLC | DE | MEMBER | E | Control |
| BALTER, BRADLEY, ROSS | I | CHIEF EXECUTIVE OFFICER | D | Control |
| BALTER, BRADLEY, ROSS | I | CHIEF EXECUTIVE OFFICER | D | Control |
| BALTER, BRADLEY, ROSS | I | CHIEF EXECUTIVE OFFICER | D | Control |
| CHIANG, VICTOR, WEN YUAN | I | CHIEF COMPLIANCE OFFICER | B | Control |
| CHIANG, VICTOR, WEN YUAN | I | CHIEF COMPLIANCE OFFICER | B | Control |
| CHIANG, VICTOR, WEN YUAN | I | CHIEF COMPLIANCE OFFICER | B | Control |
| CHIANG, VICTOR, WEN YUAN | I | CHIEF COMPLIANCE OFFICER | B | Control |
| CHIANG, VICTOR, WEN YUAN | I | CHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER | B | Control |
| WARNER, JAY, CLARK | I | CHIEF FINANCIAL OFFICER | B | Control |
| WARNER, JAY, CLARK | I | CHIEF FINANCIAL OFFICER | B | Control |
| WARNER, JAY, CLARK | I | CHIEF FINANCIAL OFFICER | B | Control |
| WARNER, JAY, CLARK | I | CHIEF FINANCIAL OFFICER | B | Control |
| WARNER, JAY, CLARK | I | CHIEF FINANCIAL OFFICER | B | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| HAMEL, JOHN, DANIELE | I | THE CUE BALL GROUP, LLC | F | Control |
| TJAN, ANTHONY, K | I | THE CUE BALL GROUP, LLC | F | Control |
| BALTER, BRADLEY, ROSS | I | BALTER CAPITAL MANAGEMENT, LLC | D | Control |
| CHIANG, VICTOR, WEN YUAN | I | BALTER CAPITAL MANAGEMENT, LLC | C | Control |
| WARNER, JAY, CLARK | I | BALTER CAPITAL MANAGEMENT, LLC | C | Control |
Registrations
Federal
IA
Mar 22, 2007 REGISTERED
Notice Filings (1)
MA
Address
15 BROAD STREET7TH FLOOR
BOSTON, MA 2109
USA
Phone: 617-478-6333