BETA CAPITAL MANAGEMENT LLC of MIAMI, FL is an SEC-registered investment adviser (CRD 154894). Regulatory assets under management: $506.6M.
Compensation: % of AUM, Hourly, Fixed, Performance, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Investment cos, Other.
| Name | Role | Location |
|---|---|---|
| Noelia Povedano | CHIEF EXECUTIVE OFFICER, DIRECTOR | — |
| Maryori Del Socorro Escudero | CHIEF OPERATIONS OFFICER | — |
| Idelma De La Caridad Hervis | CHIEF COMPLIANCE OFFICER | — |
| GARCIA MAHNAZ NMN | DIRECTOR | — |
| HEALY MARIA ESPERANZA | DIRECTOR; SHAREHOLDER | — |
| CASTILLO MARIA DOLORES | MANAGING MEMBER; SHAREHOLDER | — |
| HERVIS IDELMA DE LA CARIDAD | CHIEF COMPLIANCE OFFICER | — |
| ROS ARMENGOL GENIS | CEO / MANAGING DIRECTOR OF GP; CEO / MANAGING MEMBER OF CREDIT ANDORRA U.S. GP, LLC; MANAGING MEMBER OF CREDIT ANDORRA U.S. GP, LLC | — |
| VERAS MIGUELINA | CHIEF COMPLIANCE OFFICER | — |
| POVEDANO NOELIA | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER, DIRECTOR | — |
| LEYVA GUSTAVO MARTIN | CHIEF COMPLIANCE OFFICER | — |
| BRITO ROBERT M | CHIEF COMPLIANCE OFFICER | — |
| ESCUDERO MARYORI DEL SOCORRO | CHIEF OPERATIONS OFFICER | — |
| Santiago Samantha Crystal | CHIEF COMPLIANCE OFFICER | — |
| Sanchez Jesus G | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-05-20 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRYOFFINDINGS THAT IT FAILED TO ACCURATELY CALCULATE ITS REQUIRED CUSTOMER RESERVE REQUIREMENT ANDTOMAINTAIN A SUFFICIENT BALANCE IN ITS RESERVE ACCOUNT. THE FINDINGS STATED THAT THE FIRMERRONEOUSLYDESIGNATED… | Final | $115K |