AMPERSAND INVESTMENT MANAGEMENT, LLC
Legal name: AMPERSAND INVESTMENT MANAGEMENT
CRD #305357 SEC #801-117309 BRISTOL, PA 609-454-5200
SEC Registered
Total AUM
$22.4M
Discretionary
$22.4M
Employees
5
Clients
--
Accounts
2
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jul 18, 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 |
|---|---|---|---|---|
| CAMPANA, PETER, MARK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHERUVU, MALLIKA | I | DIRECTOR | NA | Control |
| CHERUVU, MALLIKA | I | DIRECTOR | NA | Control |
| ENCK, ROBERT, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ENCK, ROBERT, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ENCK, ROBERT, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JOSLIN, JOSEPH, ALEXANDER | I | DIRECTOR | NA | Control |
| JOSLIN, JOSEPH, ALEXANDER | I | DIRECTOR | NA | Control |
| VICTOR, SCOTT, BRIAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Victor, Randolph, Scott | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Victor, Randolph, Scott | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Victor, Randolph, Scott | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Victor, Randolph, Scott | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Victor, Randolph, Scott | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Victor, Randolph, Scott | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Victor, Randolph, Scott | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| Victor, Randolph, Scott | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| AMPERSAND FINANCIAL SOLUTIONS, INC. | DE | SOLE OWNER | E | Control |
| AMPERSAND FINANCIAL SOLUTIONS, INC. | DE | SOLE OWNER | E | Control |
| AMPERSAND OPPORTUNITY MANAGEMENT, INC. | DE | OWNER | E | Control |
| AMPERSAND OPPORTUNITY MANAGEMENT, INC. | DE | OWNER | E | Control |
| AMPERSAND OPPORTUNITY MANAGEMENT, INC. | DE | OWNER | E | Control |
| AMPERSAND OPPORTUNITY MANAGEMENT, INC. | DE | OWNER | E | Control |
| AMPERSAND OPPORTUNITY MANAGEMENT, INC. | DE | OWNER | E | Control |
| AMPERSAND OPPORTUNITY MANAGEMENT, INC. | DE | OWNER | E | Control |
| AMPERSAND OPPORTUNITY MANAGEMENT, INC. | DE | OWNER | E | Control |
| AMPERSAND OPPORTUNITY MANAGEMENT, INC. | DE | OWNER | E | Control |
| AMPERSAND OPPORTUNITY MANAGEMENT, INC. | DE | OWNER | E | Control |
| AMPERSAND OPPORTUNITY MANAGEMENT, INC. | DE | OWNER | E | Control |
| AMPERSAND OPPORTUNITY MANAGEMENT, INC. | DE | OWNER | E | Control |
| DRAVID, AJAY, RAGHUNATH | I | OWNER | A | Control |
| DRAVID, AJAY, RAGHUNATH | I | OWNER | A | |
| DRAVID, AJAY, RAGHUNATH | I | OWNER | A | Control |
| DRAVID, AJAY, RAGHUNATH | I | OWNER | A | Control |
| DRAVID, AJAY, RAGHUNATH | I | OWNER | A | Control |
| DRAVID, AJAY, RAGHUNATH | I | OWNER | A | Control |
| DRAVID, AJAY, RAGHUNATH | I | CHIEF EXECUTIVE OFFICER; CHIEF INVESTMENT OFFICER | A | Control |
| DRAVID, AJAY, RAGHUNATH | I | CHIEF EXECUTIVE OFFICER; CHIEF INVESTMENT OFFICER | A | Control |
| DRAVID, AJAY, RAGHUNATH | I | CHIEF EXECUTIVE OFFICER; CHIEF INVESTMENT OFFICER | A | Control |
| DRAVID, AJAY, RAGHUNATH | I | CHIEF EXECUTIVE OFFICER; CHIEF INVESTMENT OFFICER | A | Control |
| DRAVID, AJAY, RAGHUNATH | I | CHIEF EXECUTIVE OFFICER; CHIEF INVESTMENT OFFICER | A | Control |
| RANKIN, RUFUS, GRADY | I | DEPUTY CHIEF INVESTMENT OFFICER | A | Control |
| RANKIN, RUFUS, GRADY | I | DEPUTY CHIEF INVESTMENT OFFICER | A | Control |
| RANKIN, RUFUS, GRADY | I | DEPUTY CHIEF INVESTMENT OFFICER | A | Control |
| RANKIN, RUFUS, GRADY | I | MEMBER | A |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| PALLAT, JOHN, EDWARD | I | AMPERSAND FINANCIAL SOLUTIONS, INC. | E | Control |
| PALLAT, JOHN, EDWARD | I | AMPERSAND FINANCIAL SOLUTIONS, INC. | E | Control |
| PALLAT, JOHN, EDWARD | I | AMPERSAND OPPORTUNITY MANAGEMENT, INC. | C | Control |
| PALLAT, JOHN, EDWARD | I | AMPERSAND OPPORTUNITY MANAGEMENT, INC. | C | Control |
| PALLAT, JOHN, EDWARD | I | AMPERSAND OPPORTUNITY MANAGEMENT, INC. | C | Control |
| PALLAT, JOHN, EDWARD | I | AMPERSAND OPPORTUNITY MANAGEMENT, INC. | C | Control |
| PALLAT, JOHN, EDWARD | I | AMPERSAND OPPORTUNITY MANAGEMENT, INC. | C | Control |
| PALLAT, JOHN, EDWARD | I | AMPERSAND OPPORTUNITY MANAGEMENT, INC. | C | Control |
| PALLAT, JOHN, EDWARD | I | AMPERSAND OPPORTUNITY MANAGEMENT, INC. | C | Control |
| PALLAT, JOHN, EDWARD | I | AMPERSAND OPPORTUNITY MANAGEMENT, INC. | C | Control |
| PALLAT, JOHN, EDWARD | I | AMPERSAND OPPORTUNITY MANAGEMENT, INC. | C | Control |
| PALLAT, JOHN, EDWARD | I | AMPERSAND OPPORTUNITY MANAGEMENT, INC. | C | Control |
| PALLAT, JOHN, EDWARD | I | AMPERSAND OPPORTUNITY MANAGEMENT, INC. | C | Control |
Registrations
Federal
IA
Jul 18, 2022 REGISTERED
Notice Filings (2)
NJ PA
Address
10 CANAL STREETSUITE 336
BRISTOL, PA 19007
United States
Phone: 609-454-5200