COZAD ASSET MANAGEMENT INC of CHAMPAIGN, IL is an SEC-registered investment adviser (CRD 104764). Regulatory assets under management: $2.6B.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
Showing 25 of 31 people.
| Name | Role | Location |
|---|---|---|
| Brett Anderson | CO-CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, DIRECTOR; DIRECTOR | Tucson, AZ |
| B. Joseph White | DIRECTOR | Chicago, IL |
| Ronald Lane Kiddoo | CHAIRMAN OF THE BOARD, VICE PRESIDENT, CHIEF INVESTMENT OFFICER/DIRECTOR; DIRECTOR | — |
| Gregory Dale Cozad | CHAIRMAN OF THE BOARD, DIRECTOR; PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | — |
| Stuart Thomas Meacham | DIRECTOR; VICE PRES.CHIEF OPERATIONS OFFICER, DIRECTOR | — |
| Mary Frances Mcgrath | DIRECTOR; EXEC. VICE PRESIDENT, DIRECTOR | — |
| Stephen Craig Kiddoo | CHIEF COMPLIANCE OFFICER | CHAMPAIGN, IL |
| Anne Joelle Storsved | DIRECTOR OF TAX DEPARTMENT & DIRECTOR; EXECUTIVE VICE PRESIDENT, DIRECTOR OF TAX DEPARTMENT, & DIRECTOR | — |
| Cynthia C Norris | SHAREHOLDER | — |
| Johnston Allen Norris | SHAREHOLDER | — |
| Braden Lee Anderson | CHIEF FINANCIAL OFFICER, SECRETARY & TREASURER; CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER, SECRETARY & TREASURER | — |
| Dae-Woung Kang | CO-CHIEF EXECUTIVE OFFICER, PRESIDENT, DIRECTOR; DIRECTOR | — |
| Kaitlin Anne Buerkett | DIRECTOR; EXECUTIVE VICE PRESIDENT, DIRECTOR | — |
| WHITE WILLIAM JOSEPH | DIRECTOR | — |
| MEACHAM STUART THOMAS | VICE PRES.CHIEF OPERATIONS OFFICER, DIRECTOR; VICE PRES., SEC-TREASURER,CHIEF OPERATIONS OFFICER, CHIEF FINANCIAL OFFICER, DIRECTOR; VICE PRES., SEC-TREASURER,CHIEF OPERATIONS OFFICER, DIRECTOR | — |
| MCGRATH MARY FRANCES | DIRECTOR; EXEC. VICE PRESIDENT, DIRECTOR | — |
| KIDDOO RONALD LANE | CHAIRMAN OF THE BOARD, CHIEF INVESTMENT OFFICER/DIRECTOR; CHAIRMAN OF THE BOARD, VICE PRESIDENT, CHIEF INVESTMENT OFFICER/DIRECTOR | — |
| COZAD GREGORY DALE | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | — |
| SHAPLAND GEORGE T | SHAREHOLDER | — |
| SMITH LEE FRANCIS | ASS'T. SECRETARY, DIRECTOR OF TRADING; CHIEF COMPLIANCE OFFICER,ASS'T. SECRETARY; CHIEF COMPLIANCE OFFICER,VICE PRESIDENT, ASS'T. SECRETARY, DIRECTOR OF TRADING (+1 more) | — |
| CASPER DONALD RALPH | EXEC. VICE PRESIDENT; VICE PRESIDENT | — |
| VERMETTE JAMES EDWARD | EXEC. VICE PRESIDENT | — |
| ANDERSON DON LEE | CHIEF FINANCIAL OFFICER, SECRETARY & TREASURER | — |
| KIDDOO STEPHEN CRAIG | CHIEF COMPLIANCE OFFICER | — |
| STORSVED ANNE JOELLE | DIRECTOR OF TAX DEPARTMENT; DIRECTOR OF TAX DEPARTMENT & DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-04-17 | regulatory | THE SEC'S ORDER FINDS THAT FROM JANUARY 1, 2014 THROUGH OCTOBER 31, 2018, COZAD PURCHASED, RECOMMENDED OR HELD FOR ADVISORY CLIENTS MUTUAL FUND SHARE CLASSES THAT CHARGED 12B-1 FEES INSTEAD OF LOWER-COST SHARE CLASSES OF THE SAME FUNDS THAT WERE AVAILABLE TO THOSE CLIENTS, AND DID NOT ADEQUATELY DIS… | Final | $10K |
| — | regulatory | — | — | — |