MADDEN FUNDS MANAGEMENT LTD. of OAK PARK, IL is an SEC-registered investment adviser (CRD 110309). Regulatory assets under management: $217.9M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Pooled vehicles, Corporations.
| Name | Role | Location |
|---|---|---|
| Michael Joseph Madden | CHIEF COMPLIANCE OFFICER | — |
| Daniel Joseph Madden | VICE PRESIDENT | — |
| MADDEN JOSEPH | CHIEF COMPLIANCE OFFICER; PRESIDENT; VICE PRESIDENT | — |
| MADDEN MICHAEL | CHIEF COMPLIANCE OFFICER | — |
| MADDEN DAN JAMES | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-07-26 | regulatory | MADDEN FUNDS MANAGEMENT FAILED TO FILE WITH THE SEC ITS FORM CRS BY JUNE 30, 2020, AND WAS FURTHER REQUIRED TO DELIVER ITS FORM CRS TO EXISTING RETAIL INVESTOR CLIENTS BY JULY 30, 2020. THE FIRM FAILED TO FILE AND DELIVER FORM CRS BY THESE DEADLINES, NOT BECOMING COMPLIANT UNTIL JUNE 2021. AS A RESU… | Final | $25K |