WELLESLEY ASSET MANAGEMENT, INC. of PORTSMOUTH, NH is an SEC-registered investment adviser (CRD 116176). Regulatory assets under management: $2.0B.
Compensation: % of AUM, Performance.
Clients served: High net worth, Pooled vehicles, Investment cos.
Showing 25 of 30 people.
| Name | Role | Location |
|---|---|---|
| Greg Miller | FOUNDER; FOUNDER, TRUSTEE OF THE GREG MILLER TRUST | Franklin, TN |
| Darlene Marie Murphy | OWNER / SHAREHOLDER; OWNER/SHAREHOLDER | — |
| Michael David Miller | CEO; CHIEF EXECUTIVE OFFICER / CO-TRUSTEE OF THE MICHAEL MILLER IRREVOCABLE TRUST OF 2025; PRESIDENT AND CEO | — |
| Maureen Patricia Hernberg | TRUSTEE OF THE DARLENE M. MURPHY TRUST - 2011 | — |
| Samuel Sloan Johnson | TRUSTEE OF THE MICHAEL DAVID MILLER TRUST - 2011 | — |
| Stephen Domenic Martino | CHIEF FINANCIAL OFFICER | — |
| Regis C Miller | TRUSTEE OF THE GREG MILLER TRUST | — |
| Zorn William | TRUSTEE OF THE MICHAEL MILLER IRREVOCABLE TRUST OF 2020 | — |
| Dawn Marie Baillie | CHIEF COMPLIANCE OFFICER; PRESIDENT | — |
| Steven Gilbert Rawlings | CCO AND GENERAL COUNSEL; CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | — |
| MILLER KATHLEEN ANN | OWNER / SHAREHOLDER | — |
| MILLER DAVID | PRESIDENT AND CEO; PRESIDENT AND CIO; SENIOR VICE PRESIDENT (+3 more) | — |
| MILLER GREG | CEO; CHAIRMAN AND CEO; CHAIRMAN , CEO, TRUSTEE OF THE GREG MILLER TRUST (+2 more) | — |
| MURPHY DARLENE MARIE | DIRECTOR; INACTIVE; MANAGING DIRECTOR (+5 more) | — |
| SAMUELS PAUL BURKE | CFO; CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER AND COO (+2 more) | — |
| RILEY KEVIN PATRICK | VICE PRESIDENT | — |
| MARTINO STEPHEN DOMENIC | CFO; CHIEF FINANCIAL OFFICER | — |
| MILLER WILLIAM C | TRUSTEE OF THE GREG MILLER TRUST | — |
| SCHMIDT ROBERT B | CHIEF COMPLIANCE OFFICER | — |
| BAILLIE DAWN MARIE | CHIEF COMPLIANCE OFFICER | — |
| GROSSETTI PAMELA ANN | CHIEF COMPLIANCE OFFICER | — |
| HERNBERG MAUREEN PATRICIA | TRUSTEE OF THE DARLENE M. MURPHY TRUST - 2011 | — |
| JOHNSON SAMUEL SLOAN | TRUSTEE OF THE MICHAEL DAVID MILLER TRUST - 2011 | — |
| MITCHELL C DANIEL | CCO; CCO/GENERAL COUNSEL; CHIEF OPERATING OFFICER | — |
| William Zorn | TRUSTEE OF THE MICHAEL MILLER IRREVOCABLE TRUST OF 2020 | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-03-16 | regulatory | ON SEPTEMBER 25, 2023, WAM AND THE U.S. SECURITIES AND EXCHANGE COMMISSION ("SEC") AGREED TO A SETTLEMENT IN WHICH THE SEC ALLEGED THAT WAM VIOLATED SECTIONS 206(2) AND 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940, AS AMENDED, AND RULES 206(4)-1 AND 206(4)-7 THEREUNDER. ACCORDING TO THE SEC'S ORDER… | Final | $1.0M |