HARDMAN JOHNSTON GLOBAL ADVISORS LLC of STAMFORD, CT is an SEC-registered investment adviser (CRD 112500). Regulatory assets under management: $8.8B.
Compensation: % of AUM, Performance.
Clients served: High net worth, Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| Cassandra A Hardman | CHIEF INVESTMENT OFFICER, CEO, DIRECTOR; SHAREHOLDER | Stamford, CT |
| Julie Ann O'Connor | CHIEF OPERATING OFFICER | — |
| Jeffrey Stuart Meyer | PRESIDENT, DIRECTOR | — |
| Bruce Adam Albert | GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | — |
| JOHNSTON RICHARD | CHAIRMAN OF THE BOARD & CO-CHIEF INVESTMENT OFFICER; CHIEF EXECUTIVE OFFICER; CHIEF INVESTMENT OFFICER, U.S. STRATEGIES (+2 more) | — |
| GIANNOTTI JOAN MARIE | CCO & VP; CHIEF COMPLIANCE OFFICER & VP; V.P. & CHIEF COMPLIANCE OFFICER | — |
| HARDMAN CASSANDRA | MANAGING DIRECTOR; SENIOR V.P., MANAGING DIRECTOR | — |
| FISSELL WILLIAM H | MANAGING DIRECTOR | — |
| MEYER JEFFREY STUART | PRESIDENT; PRESIDENT AND CHIEF COMPLIANCE OFFICER; PRESIDENT, DIRECTOR | — |
| CUMMISKEY PETER | MANAGING DIRECTOR; MANAGING DIRECTOR/VICE PRESIDENT; V.P., MANAGING DIRECTOR | — |
| KEATING KATHLEEN ELIZABETH | CHIEF COMPLIANCE OFFICER | — |
| WOO HENRY | MANAGING DIRECTOR | — |
| O'CONNOR JULIE ANN | CHIEF OPERATING OFFICER; VICE PRESIDENT; V.P. & CHIEF OPERATING OFFICER | — |
| KAYALA NIMY | SENIOR ADMIN. & TRADER | — |
| PONTONE JAMES GERARD | MANAGING DIRECTOR | — |
| HARDMAN CASSANDRA A | CEO & CHIEF INVESTMENT OFFICER, INTERNATIONAL & GLOBAL STRATEGIES; CHIEF INVESTMENT OFFICER, CEO, DIRECTOR; CHIEF INVESTMENT OFFICER, INTERNATIONAL & GLOBAL STRATEGIES (+4 more) | — |
| CUMMISKEY PETER J | V.P., MANAGING DIRECTOR | — |
| GIANNOTTI JOAN M | V.P. & CHIEF COMPLIANCE OFFICER | — |
| ALBERT BRUCE ADAM | CHIEF COMPLIANCE OFFICER; GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2010-07-01 | regulatory | IN 2002, JOHNSTON CAPITAL PARTNERS FUND I, LP ("JCPI") SOLD LIMITED PARTNERSHIP INTERESTS TO A RESIDENT OF NEW HAMPSHIRE. JCPI HAD A GOOD FAITH BELIEF THAT THE APPROPRIATE BLUE SKY FILINGS WERE MADE. UNFORTUNATELY, IN THIS CASE, THE NECESSARY FILINGS WERE NOT MADE. IN 2010, JCPI REALIZED THAT IT WAS… | Final | $5K |