PUBLIC EQUITY PARTNERS, LLC of FRAMINGHAM, MA is an SEC-registered investment adviser (CRD 126765). Regulatory assets under management: $187.0M.
Compensation: % of AUM, Fixed, Performance.
Clients served: High net worth, Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| Michael Jonathan Faulkner | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER; OWNER | — |
| Joseph Stephen Andrews | OWNER | — |
| Terence Patrick Mahoney | CHIEF COMPLIANCE OFFICER | — |
| Thomas Cassara | CHIEF EXECUTIVE OFFICER | — |
| CASSIDY DANIEL PHILIP | MANAGING DIRECTOR | — |
| O'DONNELL JOANNE RAE | CCO; CHIEF COMPLIANCE OFFICER | — |
| FINN JOSEPH EDWARD | CEO; CO-MANAGING DIRECTOR | — |
| MAHONEY KEVIN PATRICK | CHIEF COMPLIANCE OFFICER; US HEAD OF LEGAL AND COMPLIANCE, CHIEF COMPLIANCE OFFICER | — |
| LORING WILLIAM CALEB | CHIEF COMPLIANCE OFFICER | — |
| SENOSKI MICHAEL JOHN | TREASURER | — |
| MCGLOTHLIN RYAN DARDEN | CO-MANAGING DIRECTOR; MANAGING DIRECTOR; MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | — |
| FAULKNER MICHAEL JONATHAN | OWNER | — |
| Cassara Thomas | CHIEF EXECUTIVE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-02-25 | regulatory | UPON REVIEWING THE FIRM'S Q1 2020 CTA FORM PR, THE NFA NOTED THAT THE FIRM HAD ENGAGED IN SWAP TRANSACTIONS BEFORE BECOMING AN APPROVED SWAP FIRM. THIS WAS REMEDIATED AND THE FIRM BECAME A SWAP FIRM ON SEPTEMBER 25, 2020. THERE WAS NO SANCTION FOR THE FIRM AND THE NFA DID NOT SEEK A RESPONSE FROM TH… | Final | — |