EQUITAS CAPITAL ADVISORS,LLC of NEW ORLEANS, LA is an SEC-registered investment adviser (CRD 124471). Regulatory assets under management: $214.2M.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Investment cos, Other.
| Name | Role | Location |
|---|---|---|
| David Samuel Thomas | CHIEF EXECUTIVE OFFICER | — |
| Derek Louis Fossier | CHIEF COMPLIANCE OFFICER | — |
| GISCLAIR STEPHEN DERBY | CHIEF OPERATING OFFICER | — |
| THOMAS DAVID SAMUEL | CHIEF EXECUTIVE OFFICER | — |
| CHRISTINA SUSAN | CHIEF COMPLIANCE OFFICER | — |
| BODENHEIMER HENRY JAY | EXECUTIVE DIRECTOR | — |
| PETTIT ROBERT LEE | EXECUTIVE DIRECTOR | — |
| FOSSIER DEREK LOUIS | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-05-22 | regulatory | SCC OF VA ALLEGED THAT A REMOTE WORKER LOGGING IN FROM HOME CONSTITUTED A PLACE OF BUSINESS WITHIN VA, WHICH WOULD RESULT IN A FAILURE TO NOTICE FILE WITH THE STATE AGENCY. | Final | $4K |
| 2013-10-23 | regulatory | THE SEC ALLEGED THAT EQUITAS CAPITAL, LLC OVERBILLED CERTAIN CLIENTS, MADE FALSE/MISLEADING DISCLOSURES TO CLIENTS REGARDING HISTORICAL PERFORMANCE, COMPENSATION, CONFLICTS OF INTEREST, AND PRIOR EXAM DEFICIENCIES, FAILED TO CONDUCT ADEQUATE ANNUAL COMPLIANCE REVIEWS AND TO MAINTAIN ADEQUATE POLICIE… | Final | $100K |
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| EQUITAS EVERGREEN FUND, L.P. | Hedge Fund | Delaware | 26 | $45.0M | $1.0M |