# KARPUS MANAGEMENT INC

KARPUS MANAGEMENT INC of PITTSFORD, NY is an SEC-registered investment adviser.

## Registration

- CRD: 110275
- Type: SEC-registered investment adviser
- SEC file number: 801-29607
- Location: 183 SULLY'S TRAIL, PITTSFORD, NY, 14534
- Phone: 585-586-4680
- Latest filing: 2026-07-07
- Regulatory AUM: $4.0B
- Discretionary AUM: $4.0B
- Clients: 38
- Accounts: 2,279

## Business model

- Compensation: % of AUM
- Clients served: High net worth, Pooled vehicles

## Officers, owners & control persons (31)

_Showing 25 of 31 people._

| Name | Role | Location |
| --- | --- | --- |
| George William Karpus | SHAREHOLDER | — |
| Carlos Manuel Yuste | DIRECTOR | — |
| Kathleen Finnerty Crane | CHIEF FINANCIAL OFFICER & TREASURER/SECRETARY OF THE BOARD | — |
| Daniel Lee Lippincott | CHIEF INVESTMENT OFFICER & PRESIDENT | — |
| Jodi Lee Hedberg | CHIEF COMPLIANCE OFFICER | — |
| Thomas Wayne Griffith | DIRECTOR | — |
| GRIFFITH THOMAS WAYNE | DIRECTOR | — |
| YUSTE CARLOS MANUEL | DIRECTOR | — |
| KARPUS SOPHIE PHYLLIS | DIRECTOR | — |
| KARPUS GEORGE | PRESIDENT; PRESIDENT, CEO | — |
| VANDEGRIFF JOANN | EXECUTIVE VICE PRESIDENT; FORMER PARTNER; PARTNER EMIRITUS (+1 more) | — |
| CONSLER DANA | SENIOR VICE PRESIDENT; VICE PRESIDENT | — |
| CRANE KATHLEEN FINNERTY | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER / CHIEF COMPLIANCE OFFICER; CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER (+2 more) | — |
| THORNTON SHARON L | DIRECTOR OF INVESTMENT PERSONNEL; SENIOR ANALYST/PORT. MGR.; SENIOR DIRECTOR OF INVESTMENTS | — |
| DUFFY THOMAS MICHAEL | CLIENT SUPPORT MANAGER; CLIENT SUPPORT MGR., OFFICE SUPPORT MGR.; SENIOR VICE PRESIDENT & DIRECTOR OF OPERATIONS (+1 more) | — |
| BARTLETT CODY B | INVESTMENT STRATEGIST AND SENIOR FIXED INCOME ANALYST; MANAGING DIRECTOR OF INVESTMENTS/INVESTMENT STRATEGIST | — |
| NASCA SCOTT | CORPORATE VICE PRESIDENT | — |
| KARPUS GEORGE W | CHIEF INVESTMENT STRATEGIST / CHAIRMAN OF THE BOARD | — |
| POPHAM KARIN MELISSA | ACCTING/HR ASST | — |
| KARPUS GEORGE WILLIAM | CHIEF INVESTMENT STRATEGIST / CHAIRMAN OF THE BOARD; NON-EXECUTIVE DIRECTOR | — |
| CONSLER DANA ROBERT | EXECUTIVE VICE PRESIDENT; SENIOR VICE PRESIDENT | — |
| LIPPINCOTT DANIEL LEE | CHIEF INVESTMENT OFFICER & DIRECTOR; CHIEF INVESTMENT OFFICER & PRESIDENT; SENIOR TAX-SENSITIVE MANAGER / DIRECTOR OF INVESTMENT PERSONNEL (+1 more) | — |
| LOMANDO SHARON LIND | SENIOR DIRECTOR OF INVESTMENTS | — |
| LIPPINCOTT DANIEL L | SENIOR TAX-SENSITIVE MANAGER / MUNICIPAL ANALYST | — |
| LOMANDO SHARON L | SENIOR DIRECTOR OF INVESTMENTS | — |


## Disclosures (1)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2023-06-28 | regulatory | THE OFFICE OF FINANCIAL REGULATION ALLEGED MR. COTT VIOLATED SECTION 517.12(4), FLORIDA STATUTES, BY RENDERING INVESTMENT ADVICE FROM A LOCATION WITHIN FLORIDA BETWEEN JULY 2014 AND SEPTEMBER 2015 WITHOUT BEING PROPERLY REGISTERED BY THE OFFICE AS AN ASSOCIATED PERSON OF A FEDERAL COVERED ADVISER. | Final | $11K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/110275/brochure
- Similar advisers: https://search.stillhousedata.com/firm/110275/similar
- Related entities: https://search.stillhousedata.com/firm/110275/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/110275

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.