AVENTURA CAPITAL MANAGEMENT, LLC of BOCA RATON, FL is an SEC-registered investment adviser (CRD 142478). Regulatory assets under management: $48.4M.
Compensation: % of AUM, Commissions.
Clients served: High net worth, Pooled vehicles, Charities.
| Name | Role | Location |
|---|---|---|
| Daniel Thomas Cauceglia | MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER/ CHIEF COMPLIANCE OFFICER; MEMBER | — |
| KONITS DAVID MATTHEW | C0-MANAGING DIRECTOR/COO; CHIEF COMPLIANCE OFFICER; MANAGING DIRECTOR, CEO/CFO | — |
| CAUCEGLIA DANIEL THOMAS | CO-MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER/ CHIEF COMPLIANCE OFFICER; DIRECTOR/CHIEF INVESTMENT OFFICER; MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER/ CHIEF COMPLIANCE OFFICER (+1 more) | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-09-06 | regulatory | AT VARIOUS TIMES FROM DECEMBER 2015 TO JUNE 2022, AVENTURA SECURITIES RECEIVED COMPENSATION INCLUDING: (1) FEES AVENTURA SECURITIES RECEIVED WHEN AVENTURA CAPITAL PURCHASED, RECOMMENDED, OR HELD FOR AVENTURA CAPITAL'S ADVISORY CLIENTS MUTUAL FUND SHARE CLASSES THAT PAID FEES PURSUANT TO RULE 12B-1 U… | Final | $225K |