PRIVATE CAPITAL ADVISORS, INC. of DARIEN, CT is an SEC-registered investment adviser (CRD 125771). Regulatory assets under management: $1.3B.
Compensation: % of AUM, Fixed, Performance.
Clients served: High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| Matthew Chase Andrews | PRESIDENT & SECRETARY | — |
| Ann Margaret Torregrossa | VICE PRESIDENT OF OPERATIONS | New York, NY |
| Suzanne Champion Andrews | SHAREHOLDER | — |
| Ashley Chase Andrews | SHAREHOLDER | — |
| Robert Louis Andrews | MANAGING DIRECTOR | — |
| Ellen Marie Scambia | CHIEF COMPLIANCE OFFICER | — |
| Vincent Stephen Andrews | MANAGING DIRECTOR | — |
| ANDREWS ROBERT LOUIS | MANAGING DIRECTOR; VP, SECRETARY, DIRECTOR; VP, SECRETARY, DIRECTOR & CHIEF COMPLIANCE OFFICER | — |
| ANDREWS VINCENT STEPHEN | PRESIDENT, DIRECTOR | — |
| ANDREWS SUZANNE CHAMPION | SHAREHOLDER | — |
| ANDREWS ASHLEY CHASE | PRESIDENT & SECRETARY; SHAREHOLDER | — |
| TORREGROSSA ANN MARGARET | VICE PRESIDENT OF OPERATIONS; VICE PRESIDENT OF OPERATIONS & CHIEF COMPLIANCE OFFICER | — |
| SCAMBIA ELLEN MARIE | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-02-20 | regulatory | VIOLATION OF RULE FINRA RULE 4110(B)(1) AND FINRA RULE 2010, PERMITTING A MEMBER FIRM TO CONDUCT A SECURITIES BUSINESS AT A TIME THAT THE FIRM IS FAILING TO MAINTAIN ITS MINIMUM NET CAPITAL. VIOLATION OF FINRA RULE 4511(A) AND FINRA RULE 2010, FILING INACCURATE FOCUS REPORTS ON A MEMBER FIRM'S BEHAL… | Final | $5K |