BROAD COVE CAPITAL
CRD #305393 SEC #801-117328 CUMBERLAND FORESIDE, ME 207-781-7800
SEC Registered
Total AUM
$185.1M
Discretionary
$153.3M
Employees
4
Clients
0
Accounts
373
Firm Details
- Organization Type
- Corporation
- State of Formation
- Maine
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Oct 27, 2021
- 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 |
|---|---|---|---|---|
| GUARINO, PETER, ROSERIO | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DUFFY, JOHN, DENIS | I | PRESIDENT | E | Control |
| DUFFY, JOHN, DENIS | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | E | Control |
| DUFFY, JOHN, DENIS | I | PRESIDENT | E | Control |
| DUFFY, JOHN, DENIS | I | PRESIDENT | E | Control |
| DUFFY, JOHN, DENIS | I | PRESIDENT | E | Control |
| DUFFY, JOHN, DENIS | I | PRESIDENT | E | Control |
| DUFFY, JOHN, DENIS | I | PRESIDENT | E | Control |
| DUFFY, JOHN, DENIS | I | PRESIDENT | E | Control |
| DUFFY, JOHN, DENIS | I | PRESIDENT | E | Control |
| DUFFY, JOHN, DENIS | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | E | Control |
| DUFFY, JOHN, DENIS | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | E | Control |
| DUFFY, JOHN, DENIS | I | PRESIDENT | E | Control |
| DUFFY, JOHN, DENIS | I | DIRECTOR, PRESIDENT | E | Control |
| DAIGNEAULT, MATTHEW, EDWARD DAHLGREN | I | SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER | C | Control |
| DAIGNEAULT, MATTHEW, EDWARD DAHLGREN | I | CHIEF OPERATING OFFICER | C | Control |
| DAIGNEAULT, MATTHEW, EDWARD DAHLGREN | I | CHIEF OPERATING OFFICER | C | Control |
| DAIGNEAULT, MATTHEW, EDWARD DAHLGREN | I | SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER | C | Control |
| DAIGNEAULT, MATTHEW, EDWARD DAHLGREN | I | SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER | C | Control |
| DAIGNEAULT, MATTHEW, EDWARD DAHLGREN | I | SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER | C | Control |
| DAIGNEAULT, MATTHEW, EDWARD DAHLGREN | I | SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER | C | Control |
| DAIGNEAULT, MATTHEW, EDWARD DAHLGREN | I | SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER | C | Control |
| DAIGNEAULT, MATTHEW, EDWARD DAHLGREN | I | SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER | C | Control |
| DAIGNEAULT, MATTHEW, EDWARD DAHLGREN | I | EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER | C | Control |
| DAIGNEAULT, MATTHEW, EDWARD DAHLGREN | I | EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER | C | Control |
| DAIGNEAULT, MATTHEW, EDWARD DAHLGREN | I | SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER | C | Control |
| DAIGNEAULT, MATTHEW, EDWARD DAHLGREN | I | SOLE DIRECTOR, ACTING PRESIDENT, CHIEF COMPLIANCE OFFICER | C | Control |
| DAIGNEAULT, MATTHEW, EDWARD DAHLGREN | I | SOLE DIRECTOR, ACTING PRESIDENT, CHIEF COMPLIANCE OFFICER | C | Control |
| DAIGNEAULT, MATTHEW, EDWARD DAHLGREN | I | SOLE DIRECTOR, ACTING PRESIDENT, CHIEF COMPLIANCE OFFICER | C | Control |
| DAIGNEAULT, MATTHEW, EDWARD DAHLGREN | I | DIRECTOR, CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER | C | Control |
Registrations
Federal
IA
Oct 27, 2021 REGISTERED
Notice Filings (4)
FL MA ME NH
Address
62 U.S. ROUTE 1CUMBERLAND FORESIDE, ME 04110-1338
United States
Phone: 207-781-7800