MACROCLIMATE LLC is an SEC-registered investment adviser (CRD 130655). Regulatory assets under management: $210.1M.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: Individuals, High net worth, Corporations, Other.
| Name | Role | Location |
|---|---|---|
| Mark Richard Kriss | MEMBER | — |
| Peter Holton Kriss | CHIEF COMPLIANCE OFFICER/MANAGING MEMBER | — |
| KRISS MARK RICHARD | MANAGING MEMBER; MANAGING MEMBER & CHIEF COMPLIANCE OFFICER; MEMBER (+1 more) | — |
| Kriss Peter Holton | CHIEF COMPLIANCE OFFICER/MANAGING MEMBER; CHIEF COMPLIANCE OFFICER & MEMBER; MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-05-08 | regulatory | AFTER NOVEMBER 4, 2022, THE COMPLIANCE DEADLINE FOR THE AMENDED MARKETING RULE, THE FIRM ADVERTISED HYPOTHETICAL PERFORMANCE ON ITS PUBLIC WEBSITE WITHOUT ADOPTING AND IMPLEMENTING POLICIES AND PROCEDURES. AS A RESULT, THE FIRM VIOLATED SECTION 206(4) OF THE ADVISERS ACT AND RULE 206(4)-1(D) THEREUN… | Final | $100K |