ARBOR RESEARCH & TRADING, INC.
Legal name: HART CAPITAL MANAGEMENT
CRD #21313 SEC #801-60206 BARRINGTON, IL 847-304-0450
SEC Registered Broker-Dealer
Total AUM
$31M
Discretionary
$31M
Employees
5
Clients
0
Accounts
5
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 29, 2002
- 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 |
|---|---|---|---|---|
| HANDLER, FRED DAVID JR | I | PRESIDENT & DIRECTOR | NA | Control |
| HANDLER, FRED DAVID JR | I | PRESIDENT & DIRECTOR | NA | Control |
| HANDLER, FRED DAVID JR | I | PRESIDENT & DIRECTOR | NA | Control |
| HANDLER, FRED DAVID JR | I | PRESIDENT & DIRECTOR | NA | Control |
| HANDLER, FRED DAVID JR | I | PRESIDENT & DIRECTOR | NA | Control |
| HELLER, CHRISTOPHER HENRY | I | CHEIF COMPLIANCE OFFICER | NA | |
| HELLER, CHRISTOPHER HENRY | I | CHEIF COMPLIANCE OFFICER | NA | |
| HELLER, CHRISTOPHER HENRY | I | CHEIF COMPLIANCE OFFICER | NA | |
| HELLER, CHRISTOPHER HENRY | I | CHEIF COMPLIANCE OFFICER | NA | |
| HELLER, CHRISTOPHER HENRY | I | CHEIF COMPLIANCE OFFICER | NA | |
| HELLER, CHRISTOPHER HENRY | I | CHEIF COMPLIANCE OFFICER | NA | |
| LUSTIG, DANIEL JAY | I | EXECUTIVE VICE PRESIDENT | NA | |
| LUSTIG, DANIEL JAY | I | EXECUTIVE VICE PRESIDENT | NA | |
| LUSTIG, DANIEL JAY | I | EXECUTIVE VICE PRESIDENT | NA | |
| LUSTIG, DANIEL JAY | I | EXECUTIVE VICE PRESIDENT | NA | |
| LUSTIG, DANIEL JAY | I | EXECUTIVE VICE PRESIDENT | NA | |
| STEVENS, JAMES RUSSELL | I | CHIEF EXECUTIVE OFFICER & DIRECTOR | NA | Control |
| STEVENS, JAMES RUSSELL | I | CHIEF EXECUTIVE OFFICER & DIRECTOR | NA | Control |
| STEVENS, JAMES RUSSELL | I | CHIEF EXECUTIVE OFFICER & DIRECTOR | NA | Control |
| STEVENS, JAMES RUSSELL | I | CHIEF EXECUTIVE OFFICER & DIRECTOR | NA | Control |
| STEVENS, JAMES RUSSELL | I | CHIEF EXECUTIVE OFFICER & DIRECTOR | NA | Control |
| ARBOR RESEARCH HOLDINGS, INC. | DE | OWNER | E | Control |
| ARBOR RESEARCH HOLDINGS, INC. | DE | OWNER | E | Control |
| ARBOR RESEARCH HOLDINGS, INC. | DE | OWNER | E | Control |
| ARBOR RESEARCH HOLDINGS, INC. | DE | OWNER | E | Control |
| ARBOR RESEARCH HOLDINGS, INC. | DE | OWNER | E | Control |
| STEVENS, JAMES RUSSELL | I | PRESIDENT & DIRECTOR | C | Control |
| CHAMBERS, RICHARD LEON | I | SENIOR VICE PRESIDENT | B | |
| HANDLER, FRED DAVID JR | I | EXECUTIVE VP & SECRETARY & DIRECTOR | B | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| HANDLER, FRED DAVID JR | I | ARBOR RESEARCH HOLDINGS, INC | C | Control |
| HANDLER, FRED DAVID JR | I | ARBOR RESEARCH HOLDINGS, INC | C | Control |
| HANDLER, FRED DAVID JR | I | ARBOR RESEARCH HOLDINGS, INC | C | Control |
| HANDLER, FRED DAVID JR | I | ARBOR RESEARCH HOLDINGS, INC | C | Control |
| HANDLER, FRED DAVID JR | I | ARBOR RESEARCH HOLDINGS, INC | C | Control |
| STEVENS, JAMES RUSSELL | I | ARBOR RESEARCH HOLDINGS, INC. | C | Control |
| STEVENS, JAMES RUSSELL | I | ARBOR RESEARCH HOLDINGS, INC. | C | Control |
| STEVENS, JAMES RUSSELL | I | ARBOR RESEARCH HOLDINGS, INC. | C | Control |
| STEVENS, JAMES RUSSELL | I | ARBOR RESEARCH HOLDINGS, INC. | C | Control |
| STEVENS, JAMES RUSSELL | I | ARBOR RESEARCH HOLDINGS, INC. | C | Control |
Registrations
Federal
IA
Apr 29, 2002 REGISTERED
Notice Filings (1)
IL
Address
1000 HART ROADSUITE 210
BARRINGTON, IL 60010
USA
Phone: 847-304-0450