CROSSWIND INVESTMENTS, LLC

CRD #150656 SEC #801-70350 BOSTON, MA 617-861-8012

SEC Registered

Total AUM

$86M

Discretionary

$86M

Employees

Clients

Accounts

Firm Details

Organization Type: Limited Liability Company
State of Formation: Delaware
Fiscal Year End: DECEMBER
Registration Date: --
Latest Filing: Jan 6, 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
BALLARD, DAVID, ARTHUR	I	INVESTOR	NA
BALLARD, DAVID, ARTHUR	I	INVESTOR	NA
BALLARD, DAVID, ARTHUR	I	INVESTOR	NA
BALLARD, DAVID, ARTHUR	I	INVESTOR	NA
BALLARD, DAVID, ARTHUR	I	INVESTOR	NA
BALLARD, DAVID, ARTHUR	I	INVESTOR	NA
BALLARD, DAVID, ARTHUR	I	INVESTOR	NA
BOOTHBY, RICHARD	I	INVESTOR	NA
BOOTHBY, RICHARD	I	INVESTOR	NA
BOOTHBY, RICHARD	I	INVESTOR	NA
BOOTHBY, RICHARD	I	INVESTOR	NA
BOOTHBY, RICHARD	I	INVESTOR	NA
GASKIN, BARBARA, COOMBS	I	CHIEF OPERATING OFFICER	NA	Control
GASKIN, BARBARA, COOMBS	I	CHIEF OPERATING OFFICER	NA	Control
GASKIN, BARBARA, COOMBS	I	CHIEF OPERATING OFFICER	NA	Control
GASKIN, BARBARA, COOMBS	I	CHIEF OPERATING OFFICER	NA	Control
GASKIN, BARBARA, COOMBS	I	CHIEF OPERATING OFFICER	NA	Control
GASKIN, BARBARA, COOMBS	I	CHIEF OPERATING OFFICER	NA	Control
GASPERONI, TIMOTHY, L	I	ANALYST	NA
GASPERONI, TIMOTHY, L	I	ANALYST	NA
GASPERONI, TIMOTHY, L	I	ANALYST	NA
GASPERONI, TIMOTHY, L	I	ANALYST	NA
GASPERONI, TIMOTHY, L	I	ANALYST	NA
GASPERONI, TIMOTHY, L	I	ANALYST	NA
HURD, RICHARD, MELANCTHON	I	INVESTOR	NA
HURD, RICHARD, MELANCTHON	I	INVESTOR	NA
HURD, RICHARD, MELANCTHON	I	INVESTOR	NA
HURD, RICHARD, MELANCTHON	I	INVESTOR	NA
HURD, RICHARD, MELANCTHON	I	INVESTOR	NA
HURD, RICHARD, MELANCTHON	I	INVESTOR	NA
HURD, RICHARD, MELANCTHON	I	INVESTOR	NA
LACROIX, CHRISTOPHER, JOSEPH	I	INVESTOR	NA
LACROIX, CHRISTOPHER, JOSEPH	I	INVESTOR	NA
LEBOVITZ, PETER, MICHAEL	I	INVESTOR	NA
LEBOVITZ, PETER, MICHAEL	I	INVESTOR	NA
LEBOVITZ, PETER, MICHAEL	I	INVESTOR	NA
LEBOVITZ, PETER, MICHAEL	I	INVESTOR	NA
LEBOVITZ, PETER, MICHAEL	I	INVESTOR	NA
LEBOVITZ, PETER, MICHAEL	I	INVESTOR	NA
LEBOVITZ, PETER, MICHAEL	I	INVESTOR	NA
LINDHOLM, JANET, LOUISE	I	INVESTOR	NA
LINDHOLM, JANET, LOUISE	I	INVESTOR	NA
LINDHOLM, JANET, LOUISE	I	INVESTOR	NA
LINDHOLM, JANET, LOUISE	I	INVESTOR	NA
LINDHOLM, JANET, LOUISE	I	INVESTOR	NA
LINDHOLM, JANET, LOUISE	I	INVESTOR	NA
LINDHOLM, JANET, LOUISE	I	INVESTOR	NA
LUTSCHAUNIG, ARTHUR, JAMES	I	INVESTOR	NA
LUTSCHAUNIG, ARTHUR, JAMES	I	INVESTOR	NA
LUTSCHAUNIG, ARTHUR, JAMES	I	INVESTOR	NA
LUTSCHAUNIG, ARTHUR, JAMES	I	INVESTOR	NA
LUTSCHAUNIG, ARTHUR, JAMES	I	INVESTOR	NA
LUTSCHAUNIG, ARTHUR, JAMES	I	INVESTOR	NA
LUTSCHAUNIG, ARTHUR, JAMES	I	INVESTOR	NA
MIKES, LISA, JOAN	I	CHIEF COMPLIANCE OFFICER	NA	Control
MIKES, LISA, JOAN	I	CHIEF COMPLIANCE OFFICER	NA	Control
MIKES, LISA, JOAN	I	CHIEF COMPLIANCE OFFICER	NA	Control
MIKES, LISA, JOAN	I	CHIEF COMPLIANCE OFFICER	NA	Control
NEFF, JOHN, STANLEY	I	INVESTOR	NA
NEFF, JOHN, STANLEY	I	INVESTOR	NA
NEFF, JOHN, STANLEY	I	INVESTOR	NA
NEFF, JOHN, STANLEY	I	INVESTOR	NA
NEFF, JOHN, STANLEY	I	INVESTOR	NA
NEFF, JOHN, STANLEY	I	INVESTOR	NA
NEFF, JOHN, STANLEY	I	INVESTOR	NA
RASO, MICHAEL, JOHN	I	HEAD OF MARKETING	NA	Control
RASO, MICHAEL, JOHN	I	HEAD OF MARKETING	NA	Control
RASO, MICHAEL, JOHN	I	HEAD OF MARKETING	NA	Control
RASO, MICHAEL, JOHN	I	HEAD OF MARKETING	NA	Control
TEICHGRAEBER, GRETCHEN	I	INVESTOR	NA
TEICHGRAEBER, GRETCHEN	I	INVESTOR	NA
TEICHGRAEBER, GRETCHEN	I	INVESTOR	NA
TEICHGRAEBER, GRETCHEN	I	INVESTOR	NA
TEICHGRAEBER, GRETCHEN	I	INVESTOR	NA
TEICHGRAEBER, GRETCHEN	I	INVESTOR	NA
MACCOLL, MALCOLM	I	CEO	D	Control
MACCOLL, MALCOLM	I	CEO	D	Control
MACCOLL, MALCOLM	I	CEO	D	Control
MACCOLL, MALCOLM	I	CEO	D	Control
MACCOLL, MALCOLM	I	CEO	C	Control
MACCOLL, MALCOLM	I	CHIEF COMPLIANCE OFFICER	C	Control
MACCOLL, MALCOLM	I	CEO	C	Control
MACCOLL, MALCOLM	I	CHIEF COMPLIANCE OFFICER	C	Control
MACCOLL, MALCOLM	I	CEO	C	Control
MACCOLL, MALCOLM	I	CHIEF COMPLIANCE OFFICER	C	Control
MACCOLL, MALCOLM	I	CEO	C	Control
MACCOLL, MALCOLM	I	CHIEF COMPLIANCE OFFICER	C	Control
MACCOLL, MALCOLM	I	CHIEF COMPLIANCE OFFICER	C	Control
MACCOLL, MALCOLM	I	CEO	C	Control
MACCOLL, MALCOLM	I	CHIEF COMPLIANCE OFFICER	C	Control
MACCOLL, MALCOLM	I	CEO	C	Control
MACCOLL, MALCOLM	I	CEO	C	Control
MACCOLL, MALCOLM	I	CHIEF COMPLIANCE OFFICER	C	Control
COWEN AND COMPANY	DE	INVESTOR	B
COWEN AND COMPANY	DE	INVESTOR	B
COWEN AND COMPANY	DE	INVESTOR	B
COWEN AND COMPANY	DE	INVESTOR	B
COWEN AND COMPANY	DE	INVESTOR	B
COWEN AND COMPANY	DE	INVESTOR	B
COWEN AND COMPANY	DE	INVESTOR	B
COWEN GROUP INC	DE	N/A	B
COWEN GROUP INC	DE	N/A	B
COWEN GROUP INC	DE	N/A	B
MOREY, ANDREW, FINCH	I	HEAD OF SMALL CAP GROWTH	B
MOREY, ANDREW, FINCH	I	HEAD OF SMALL CAP GROWTH	B
RASO, MICHAEL, JOHN	I	HEAD OF MARKETING	B	Control
RASO, MICHAEL, JOHN	I	MARKETING	B	Control
DRAKE, PETER, FRANK	I	INVESTOR	A
DRAKE, PETER, FRANK	I	INVESTOR	A
DRAKE, PETER, FRANK	I	INVESTOR	A
DRAKE, PETER, FRANK	I	INVESTOR	A
DRAKE, PETER, FRANK	I	INVESTOR	A
DRAKE, PETER, FRANK	I	INVESTOR	A
DRAKE, PETER, FRANK	I	INVESTOR	A
LACROIX, CHRISTOPHER, JOSEPH	I	INVESTOR	A
LACROIX, CHRISTOPHER, JOSEPH	I	INVESTOR	A
LACROIX, CHRISTOPHER, JOSEPH	I	INVESTOR	A
LACROIX, CHRISTOPHER, JOSEPH	I	INVESTOR	A
LACROIX, CHRISTOPHER, JOSEPH	I	INVESTOR	A
MOREY, ANDREW, FINCH	I	HEAD OF SMALL CAP GROWTH	A
MOREY, ANDREW, FINCH	I	HEAD OF SMALL CAP GROWTH	A
MOREY, ANDREW, FINCH	I	HEAD OF SMALL CAP GROWTH	A
MOREY, ANDREW, FINCH	I	HEAD OF SMALL CAP GROWTH	A
RASO, MICHAEL, JOHN	I	MARKETING	A	Control
RASO, MICHAEL, JOHN	I	MARKETING	A	Control
RASO, MICHAEL, JOHN	I	INVESTOR	A

Indirect Owners (Schedule B)

Name	Type	Entity	Ownership	Control
COWEN GROUP INC.	DE	CROSSWIND INVESTMENTS	F

Registrations

Federal

Jan 6, 2012 REGISTERED

Notice Filings (1)

Address

TWO INTERNATIONAL PLACE
27TH FLOOR
BOSTON, MA 02110
United States

Phone: 617-861-8012