NEWMAN LADD CAPITAL ADVISORS, LLC. of CAMILLUS, NY is an SEC-registered investment adviser (CRD 129860). Regulatory assets under management: $108.1M.
Compensation: % of AUM.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Andrew T Moen | MANAGING DIRECTOR AND SECRETARY | — |
| Jack Austin Irwin | CHIEF COMPLIANCE OFFICER | — |
| MCCARTHY TIMOTHY FRANCIS | SECRETARY/TREASURER; VICE PRESIDENT & SECRETARY | — |
| MILLS ROBERT PAUL | CHIEF COMPLIANCE OFFICER | — |
| MOEN ANDREW T | CHIEF COMPLIANCE OFFICER; PRESIDENT & SECRETARY; VICE PRESIDENT | — |
| PARKIN DANIEL ALFRED | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-03-30 | regulatory | NEWMAN LAND CAPITAL ADVISORS LLC FAILED TO COMPLY AND WILLFULLY VIOLATED SECTION 204 OF THE ADVISORS ACT AND RULES 204-4 AND 204-5 THEREUNDER BY FAILING TO PROVIDE CLIENTS WITH THE FORM CRS. | Final | $25K |