CORECAP ADVISORS, LLC of SOUTHFIELD, MI is an SEC-registered investment adviser (CRD 158819). Regulatory assets under management: $4.0B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Charities.
| Name | Role | Location |
|---|---|---|
| Dennis Brown | MAJORITY OWNER OF BROWN HOLDCO, INC. | New York, NY |
| Brown T Michael | DIRECTOR; MAJORITY OWNER OF M & O CAPITAL, LLC; SHAREHOLDER (+3 more) | Calgary, A0 |
| David Wayne Muncie | CHIEF FINANCIAL OFFICER & DIRECTOR | — |
| Dennis Michael Brown | DIRECTOR | — |
| Jason Raymond Steeno | PRESIDENT | — |
| Craig David Rumler | CHIEF COMPLIANCE OFFICER & CHIEF OPERATING OFFICER | — |
| CAVANAUGH MARY LOUISE | DIRECTOR | — |
| BROWN CHARLES DENNIS | MAJORITY OWNER OF BROWN HOLDCO, INC. | — |
| VILLARREAL JUDITH ANDREA | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER & DIRECTOR; GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER & DIRECTOR | — |
| HAKALA JEFFREY ANTHONY | CHIEF INVESTMENT OFFICER | — |
| OTTO ALBERT JOHN | CHAIRMAN; CHAIRMAN AND SHAREHOLDER; DIRECTOR (+2 more) | — |
| HOFER KATHLEEN ANN | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER & CHIEF OPERATING OFFICER | — |
| RUMLER CRAIG DAVID | CHIEF COMPLIANCE OFFICER & CHIEF OPERATING OFFICER | — |
| RENTENBACH PAUL ROBERT | CHIEF COMPLIANCE OFFICER | — |
| PETT RAYMOND MAX | PRESIDENT; PRESIDENT & CHIEF COMPLIANCE OFFICER; PRESIDENT & DIRECTOR | — |
| IRWIN CARRIE LYNN | OPERATIONS DIRECTOR; OPERATIONS MANAGER | — |
| MUNCIE DAVID WAYNE | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER & DIRECTOR | — |
| STEENO JASON RAYMOND | PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-12-18 | regulatory | FIRM WAS ALLEGED TO HAVE VIOLATIONS RELATING TO THE REGISTRATION OF ASSOCIATED PERSONS IN CATEGORIES TO THEIR FUNCTIONS AND RESPONSIBILITIES RELATING TO INVESTMENT BANKING; THE REGISTRATION AND INSPECTION OF BRANCH OFFICES; AND NET CAPITAL AND RECORDKEEPING. | Final | $25K |
| 2017-12-18 | regulatory | RR OF AFFILIATED BD PLED GUILTY AND NO CONTEST TO MULTIPLE COUNTS OF EMBEZZLEMENT FROM HIS CLIENTS IN EXCESS OF $2000000. BD AND ITS CEO WERE FOUND BY STATE TO HAVE INADEQUATELY SUPERVISED HIM LEADING TO FAILURE TO TIMELY DISCOVER HIS ACTIONS. | Final | $20K |
| — | criminal | CHARGE WAS PLEADED OUT TO A MISDEMEANOR. | — | — |
| — | regulatory | FIRM WAS ALLEGED TO HAVE FAILED TO FOLLOW ITS PROCEDURES RELATING TO THE REVIEW OF MUNICIPAL BOND TRADES AND THEREFORE MISSED THE FAILURE OF ITS CLEARING FIRM TO HAVE REPORTED CERTAIN TRADES. | Final | $10K |