SPOUTING ROCK RETIREMENT SOLUTIONS, LLC
CRD #172353 SEC #801-80175 BRYN MAWR, PA 610-788-2128
SEC Registered
Total AUM
--
Discretionary
--
Employees
4
Clients
--
Accounts
--
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 31, 2022
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| 1112 HOLDINGS, LLC | DE | INVESTOR | NA | |
| 1112 HOLDINGS, LLC | DE | INVESTOR | NA | |
| 1112 HOLDINGS, LLC | DE | INVESTOR | NA | |
| 1112 HOLDINGS, LLC | DE | INVESTOR | NA | |
| 1112 HOLDINGS, LLC | DE | INVESTOR | NA | |
| 1112 HOLDINGS, LLC | DE | INVESTOR | NA | |
| DALY, ANDREW, MCLEAN | I | CHIEF OPERATING OFFICER | NA | Control |
| DALY, ANDREW, MCLEAN | I | CCO AND COO | NA | Control |
| DALY, ANDREW, MCLEAN | I | CCO AND COO | NA | Control |
| Hullings, Michael, Alfred | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Hullings, Michael, Alfred | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Hullings, Michael, Alfred | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Hullings, Michael, Alfred | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PAGE, BLAKELY, CHAPMAN | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| PAGE, BLAKELY, CHAPMAN | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| PAGE, BLAKELY, CHAPMAN | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| PAGE, BLAKELY, CHAPMAN | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| PAGE, BLAKELY, CHAPMAN | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| PAGE, BLAKELY, CHAPMAN | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| PAGE, BLAKELY, CHAPMAN | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| PAGE, BLAKELY, CHAPMAN | I | CHAIRMAN | NA | Control |
| PAGE, BLAKELY, CHAPMAN | I | PRESIDENT | NA | Control |
| PAGE, BLAKELY, CHAPMAN | I | PRESIDENT | NA | Control |
| PAGE, BLAKELY, CHAPMAN | I | PRESIDENT | NA | Control |
| PAGE, BLAKELY, CHAPMAN | I | PRESIDENT | NA | Control |
| PAGE, BLAKELY, CHAPMAN | I | PRESIDENT | NA | Control |
| RAY, DAVID | I | INVESTOR | NA | |
| RAY, DAVID | I | INVESTOR | NA | |
| RAY, DAVID | I | INVESTOR | NA | |
| RAY, DAVID | I | INVESTOR | NA | |
| RAY, DAVID | I | INVESTOR | NA | |
| RAY, DAVID | I | INVESTOR | NA | |
| SMITH, ANDREW, ALASDAIR | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, ANDREW, ALASDAIR | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, ANDREW, ALASDAIR | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, ANDREW, ALASDAIR | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, ANDREW, ALASDAIR | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, ANDREW, ALASDAIR | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| TUNG, TAI-CHIN, (NONE) | I | CHIEF INVESTMENT OFFICER | NA | |
| TUNG, TAI-CHIN, (NONE) | I | CHIEF INVESTMENT OFFICER | NA | |
| SPOUTING ROCK FINANCIAL PARTNERS, LLC | DE | DIRECT OWNER | E | Control |
| SPOUTING ROCK FINANCIAL PARTNERS, LLC | DE | DIRECT OWNER | E | Control |
| SPOUTING ROCK FINANCIAL PARTNERS, LLC | DE | DIRECT OWNER | E | Control |
| SPOUTING ROCK FINANCIAL PARTNERS, LLC | DE | DIRECT OWNER | E | Control |
| SPOUTING ROCK FINANCIAL PARTNERS, LLC | DE | DIRECT OWNER | E | Control |
| SPOUTING ROCK FINANCIAL PARTNERS, LLC | DE | DIRECT OWNER | E | Control |
| SPOUTING ROCK FINANCIAL PARTNERS, LLC | DE | DIRECT OWNER | E | Control |
| SPOUTING ROCK FINANCIAL PARTNERS, LLC | DE | DIRECT OWNER | E | Control |
| SPOUTING ROCK FINANCIAL PARTNERS, LLC | DE | DIRECT OWNER | E | Control |
| SPOUTING ROCK FINANCIAL PARTNERS, LLC | DE | DIRECT OWNER | E | Control |
| SPOUTING ROCK FINANCIAL PARTNERS, LLC | DE | DIRECT OWNER | E | Control |
| SPOUTING ROCK FINANCIAL PARTNERS, LLC | DE | DIRECT OWNER | E | Control |
| SPOUTING ROCK FINANCIAL PARTNERS, LLC | DE | DIRECT OWNER | E | Control |
| SPOUTING ROCK FINANCIAL PARTNERS, LLC | DE | DIRECT OWNER | E | Control |
| SPOUTING ROCK FINANCIAL PARTNERS, LLC | DE | DIRECT OWNER | E | Control |
| HICKEY, ERICH, MICHAEL | I | PRESIDENT & CEO | A | Control |
| HICKEY, ERICH, MICHAEL | I | PRESIDENT & CEO | A | Control |
| PAGE, BLAKELY, CHAPMAN | I | TRUSTEE | A | Control |
| PAGE, BLAKELY, CHAPMAN | I | TRUSTEE | A | Control |
| QUINN, THOMAS, JOHN | I | VICE PRESIDENT & CIO | A | Control |
| QUINN, THOMAS, JOHN | I | VICE PRESIDENT & CIO | A | Control |
| SILBERGELD, TODD, FREDRIC | I | SECRETARY, CCO AND GENERAL COUNSEL | A | Control |
| SILBERGELD, TODD, FREDRIC | I | SECRETARY, CCO AND GENERAL COUNSEL | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| PAGE, BLAKELY, CHAPMAN | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | D | Control |
| PAGE, BLAKELY, CHAPMAN | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | D | Control |
| PAGE, BLAKELY, CHAPMAN | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | D | Control |
| PAGE, BLAKELY, CHAPMAN | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | D | Control |
| PAGE, BLAKELY, CHAPMAN | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | D | Control |
| PAGE, BLAKELY, CHAPMAN | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | D | Control |
| PAGE, BLAKELY, CHAPMAN | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | D | Control |
| PAGE, BLAKELY, CHAPMAN | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | D | Control |
| PAGE, BLAKELY, CHAPMAN | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | D | Control |
| PAGE, BLAKELY, CHAPMAN | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | D | Control |
| PAGE, BLAKELY, CHAPMAN | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | D | Control |
| PAGE, BLAKELY, CHAPMAN | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | D | Control |
| PAGE, BLAKELY, CHAPMAN | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | D | Control |
| PAGE, BLAKELY, CHAPMAN | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | D | Control |
| PAGE, BLAKELY, CHAPMAN | I | SPOUTING ROCK FINANCIAL PARTNERS, LLC | D | Control |
| FORD, DAVID, BARKER | I | 1112 HOLDINGS, LLC | C | Control |
| FORD, DAVID, BARKER | I | 1112 HOLDINGS, LLC | C | Control |
| FORD, DAVID, BARKER | I | 1112 HOLDINGS, LLC | C | Control |
| FORD, DAVID, BARKER | I | 1112 HOLDINGS, LLC | C | Control |
| FORD, DAVID, BARKER | I | 1112 HOLDINGS, LLC | C | Control |
| FORD, DAVID, BARKER | I | 1112 HOLDINGS, LLC | C | Control |
Registrations
Federal
IA
Mar 31, 2022 REGISTERED
Notice Filings (1)
PA
Address
925 W. LANCASTER AVESUITE 250
BRYN MAWR, PA 19010
United States
Phone: 610-788-2128