POLIWOGG ADVISERS, LLC
CRD #169887 SEC #801-79203 NEW YORK, NY 212-370-0535
SEC Registered
Total AUM
$0
Discretionary
$0
Employees
3
Clients
--
Accounts
0
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Feb 6, 2014
- 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 |
|---|---|---|---|---|
| FELDMAN, JEFFREY, LEE | I | CHAIRMAN | NA | Control |
| JAFFIN, DAVID, WEBSTER | I | CFO, TREASURER, SECRETARY, CHIEF COMPLIANCE OFFICER | NA | Control |
| SIMON, GREGORY, CHARLES | I | PRESIDENT, CEO | NA | Control |
| WERTHEIMER, SAMUEL, PAUL | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| POLIWOGG SERVICES, LLC | DE | SOLE MEMBER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| POLIWOGG HOLDINGS, INC. | DE | POLIWOGG SERVICES, LLC | E | Control |
Registrations
Federal
IA
Feb 6, 2014 REGISTERED
Address
733 THIRD AVENUE15TH FLOOR
NEW YORK, NY 10017
United States
Phone: 212-370-0535