DUPASQUIER & CO., INC.
Legal name: DU PASQUIER ASSET MANAGEMENT
CRD #24750 SEC #801-61795 NEW YORK, NY 212-624-1001
SEC Registered Broker-Dealer Disclosures
Total AUM
$42.5M
Discretionary
$41.4M
Employees
6
Clients
0
Accounts
459
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 29, 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 |
|---|---|---|---|---|
| MORAN, DOROTHY MARIE | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | Control |
| MORAN, DOROTHY MARIE | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | Control |
| MORAN, DOROTHY MARIE | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | Control |
| MORAN, DOROTHY MARIE | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | Control |
| MORAN, DOROTHY MARIE | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | Control |
| MORAN, DOROTHY MARIE | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | Control |
| MORAN, DOROTHY MARIE | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | Control |
| MORAN, DOROTHY MARIE | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | Control |
| MORAN, DOROTHY MARIE | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | Control |
| MORAN, DOROTHY MARIE | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | Control |
| MORAN, CHRISTOPHER JOHN | I | VP | E | Control |
| MORAN, CHRISTOPHER JOHN | I | VP | E | Control |
| MORAN, CHRISTOPHER JOHN | I | VP | E | Control |
| MORAN, CHRISTOPHER JOHN | I | VP | E | Control |
| MORAN, CHRISTOPHER JOHN | I | VP | E | Control |
| MORAN, CHRISTOPHER JOHN | I | VP AND FINOP | E | Control |
| MORAN, CHRISTOPHER JOHN | I | VP AND FINOP | E | Control |
| MORAN, CHRISTOPHER JOHN | I | VP AND FINOP | E | Control |
| MORAN, CHRISTOPHER JOHN | I | VP | E | Control |
| MORAN, CHRISTOPHER JOHN | I | VP AND FINOP | E | Control |
Registrations
Federal
IA
Mar 29, 2012 REGISTERED
Notice Filings (3)
NJ NY WA
Address
ONE BATTERY PARK PLAZANEW YORK, NY 10004
United States
Phone: 212-624-1001