CANNELL CAPITAL LLC of ALTA, WY is an SEC-registered investment adviser (CRD 158371). Regulatory assets under management: $372.8M.
Compensation: % of AUM, Performance.
Clients served: High net worth, Investment cos.
| Name | Role | Location |
|---|---|---|
| James Carlo Cannell | MANAGING MEMBER OF CANNELL CAPITAL LLC / PRESIDENT OF PAMAPANITO CORPORATION DBA CANNELL CAPITAL CORPORATION | Alta, WY |
| Stephen Charles Wagstaff | CHIEF COMPLIANCE OFFICER; CHIEF FINANCIAL OFFICER OF CANNELL CAPITAL LLC / CHIEF FINANCIAL OFFICER OF PAMPANITO CORPORATION DBA CANNELL CAPITAL CORPORAT | Alta, WY |
| CANNELL JAMES CARLO | CHIEF COMPLIANCE OFFICER; MANAGING MEMBER; MANAGING MEMBER, CHIEF COMPLIANCE OFFICER (+2 more) | — |
| WAGSTAFF STEPHEN CHARLES | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER OF CANNELL CAPITAL LLC / CHIEF COMPLIANCE OFFICER OF PAMPANITO CORPORATION; CHIEF COMPLIANCE OFFICER OF CANNELL CAPITAL LLC / CHIEF COMPLIANCE OFFICER OF PAMPANITO CORPORATION DBA CANNELL CAPITAL CORPORAT (+1 more) | — |
| Rousseau-McAllister Nichole L | CHIEF COMPLIANCE OFFICER OF CANNELL CAPITAL LLC / CHIEF COMPLIANCE OFFICER OF PAMPANITO CORPORATION DBA CANNELL CAPITAL CORPORAT | — |
| WOOD CHRISTOPHER WETHERILL | PORTFOLIO MANAGER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-02-04 | regulatory | FROM 2014 TO OCTOBER 2019, CANNELL CAPITAL LLC FAILED TO FOLLOW ITS WRITTEN POLICIES AND PROCEDURES BY NOT MAINTAINING A LIST OF SECURITIES THAT MEMBERS, OFFICERS, AND EMPLOYEES AND THEIR FAMILY HOUSEHOLD MEMBERS WERE PROHIBITED FROM TRADING AFTER THE FIRM CAME INTO POSSESSION OF POTENTIAL MATERIAL… | Final | $150K |
Hedge Fund: 2 · Venture Capital Fund: 1
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| TONGA PARTNERS, L.P. | Hedge Fund | Delaware | 19 | $199.1M | $1.0M |
| TRISTAN OFFSHORE FUND, LTD. | Hedge Fund | Cayman Islands | 2 | $43.4M | $1.0M |
| CANNELL VENTURE PARTNERS I, L.P. | Venture Capital Fund | Delaware | 22 | $2.2M | $100K |
| City | State | Employees | Phone |
|---|---|---|---|
| SAUSALITO | CA | 3 | 4158358300 |
| SAUSALITO | CA | 3 | 4158358300 |