KARPUS MANAGEMENT INC of PITTSFORD, NY is an SEC-registered investment adviser (CRD 110275). Regulatory assets under management: $4.0B.
Compensation: % of AUM.
Clients served: High net worth, Pooled vehicles.
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 | — |
| 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 |