TWO POINT CAPITAL MANAGEMENT, INC. of PITTSFORD, NY is an SEC-registered investment adviser (CRD 131816). Regulatory assets under management: $310.5M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| John Bryan Mcgowan | CEO | — |
| Paul William Spindler | CHIEF COMPLIANCE OFFICER | — |
| MCGOWAN JOHN | PRESIDENT, CCO | — |
| MCGOWAN JOHN BRYAN | CEO; CEO, CCO; PRESIDENT, CCO | — |
| TESTA ANTHONY DOMINICK | EXECUTIVE VICE PRESIDENT; PARTNER | — |
| SPINDLER PAUL WILLIAM | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-12-05 | regulatory | INADEQUATE POLICIES AND PROCEDURES MANUAL, LATE FILING OF FORM CRS | Final | $75K |
| — | regulatory | — | — | — |