ARLINGTON CAPITAL MANAGEMENT, INC. of ARLINGTON HEIGHTS, IL is an SEC-registered investment adviser (CRD 114801). Regulatory assets under management: $235.9M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Other.
| Name | Role | Location |
|---|---|---|
| Joseph Frank Lopresti | PRESIDENT, OWNER | — |
| John Thomas Hollahan | CHIEF COMPLIANCE OFFICER AND MANAGING PARTNER; CHIEF COMPLIANCE OFFICER AND SR. PORTFOLIO MANAGER | — |
| YAROSZ ROBERT DANIEL | VICE PRESIDENT | — |
| LOPRESTI JOSEPH FRANK | PRESIDENT; PRESIDENT, OWNER; PRESIDENT, OWNER, CHIEF COMPLIANCE OFFICER | — |
| BABJAK RICHARD STEVEN | SECRETARY/TREASURER | — |
| HOLLAHAN JOHN THOMAS | CHIEF COMPLIANCE OFFICER AND SR. PORTFOLIO MANAGER; DESIGNATED PRINCIPAL AND SR. PORTFOLIO MANAGER | — |
| Botnari Ivan NA | IT MANAGER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-04-16 | regulatory | THE SEC DETERMINED THAT FROM AT LEAST 2012 TO 2015 ARLINGTON CAPITAL MANAGEMENT ("ACM") IMPROPERLY ADVERTISED BACK-TESTED PERFORMANCE RESULTS OF ITS MODEL PORTFOLIOS WITHOUT PROPERLY DISCLOSING THE FACT THAT THE MODELS WERE BACK-TESTED OR THAT CHANGES TO THE MODEL HAD BEEN APPLIED RETROACTIVELY. THE… | Final | $200K |