CARMEL CAPITAL MANAGEMENT L.L.C. of CARMEL, CA is an SEC-registered investment adviser (CRD 120675). Regulatory assets under management: $392.0M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Charities, Other.
| Name | Role | Location |
|---|---|---|
| West David Whittaker | PRINCIPAL AND CHIEF COMPLIANCE OFFICER | — |
| WHITTAKER WEST DAVID | MANAGING MEMBER; MANAGING MEMBER / CHIEF COMPLIANCE OFFICER; PRINCIPAL AND CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-07-26 | regulatory | THE SEC ALLEGED THAT THE ADVISORY FIRM FAILED TO TIMELY FILE, DELIVER AND POST ITS FORM CRS TO THE FIRM'S WEBSITE. | Final | $25K |