SAXONY CAPITAL MANAGEMENT, LLC of SAINT LOUIS, MO is an SEC-registered investment adviser (CRD 122692). Regulatory assets under management: $367.9M.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Charities.
| Name | Role | Location |
|---|---|---|
| Mark Stephen Thompson | CHIEF COMPLIANCE OFFICER | — |
| Kurt Robert Palos | SENIOR VICE PRESIDENT; VICE PRESIDENT | — |
| Ryan Christopher Klump | CHIEF OPERATING OFFICER; PRESIDENT | — |
| Christopher Zane Dye | COMPLIANCE ASSOCIATE | — |
| Lynn Rae Griffard | SENIOR VICE PRESIDENT | — |
| Charles Andrew Dairaghi | MEMBER; SENIOR VICE PRESIDENT | — |
| Richard Aaron Willson | SENIOR VICE PRESIDENT | — |
| Richard Edward Griffard | MEMBER; PRESIDENT | — |
| Brian Lesley Clark | MEMBER; SENIOR VICE PRESIDENT | — |
| CLARK MEGHANN L | ACTIVE | — |
| ELDER MICHAEL | ACTIVE; MEMBER | — |
| GRIFFARD RICHARD EDWARD | ACTIVE; MEMBER; PRESIDENT | — |
| DAIRAGHI CHARLES ANDREW | ACTIVE; CHIEF FINANCIAL OFFICER; HUMAN RESOURCES (+1 more) | — |
| SCAFIDI RICHARD STEPHEN | ACTIVE; MEMBER | — |
| SCHEIDT JAMES HENRY | ACTIVE; MEMBER | — |
| THOMPSON MARK STEPHEN | CHIEF COMPLIANCE OFFICER | — |
| CLARK BRIAN LESLEY | ACTIVE; MEMBER; SENIOR VICE PRESIDENT (+1 more) | — |
| HEDERMAN JOHN COOPER | COMPLIANCE OFFICER | — |
| PALOS KURT ROBERT | VICE PRESIDENT | — |
| KLUMP RYAN CHRISTOPHER | CHIEF OPERATING OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-09-30 | regulatory | IA RELEASE 5385, SEPTEMBER 30, 2019: THE SECURITIES AND EXCHANGE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE INSTITUTED AGAINST SAXONY CAPITAL MANAGEMENT, LLC ("RESPONDENT"). ON THE BASIS OF THIS ORDER AND RESPONDENT'S OFF… | Final | — |