PALISADE INVESTMENTS, LLC of ZEPHYR COVE, NV is an SEC-registered investment adviser (CRD 124776). Regulatory assets under management: $652.7M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions.
| Name | Role | Location |
|---|---|---|
| Robin Desota | CHIEF COMPLIANCE OFFICER; MANAGING MEMBER | — |
| DESOTA ROBIN | CHIEF COMPLIANCE OFFICER; MANAGING MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2011-10-07 | regulatory | INCOMPLETE EVIDENCE OF ALL REQUIRED BOOKS & RECORDS, INCOMPLETE EVIDENCE OF THE ANNUAL OFFER OF FORM ADV, MISFILING ANNUAL UPDATING AMENDMENTS FOR ADV | Final | $5K |
| 2011-10-07 | regulatory | INCOMPLETE EVIDENCE OF ALL REQUIRED BOOKS & RECORDS,INCOMPLETE EVIDENCE OF THE ANNUAL OFFER OF FORM ADV, MISFILING ANNUAL UPDATING AMENDMENTS FOR ADV | Final | $5K |
| City | State | Employees | Phone |
|---|---|---|---|
| RENO | NV | 3 | 8668654558 |
| LAS VEGAS | NV | 1 | 7024761565 |
| — | — | 1 | 425-489-7868 |
| DENVER | CO | 1 | 303-694-4015 |