P.A.W. CAPITAL PARTNERS, LP of GREENWICH, CT is an SEC-registered investment adviser (CRD 161094). Regulatory assets under management: $166.8M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: High net worth, Investment cos.
| Name | Role | Location |
|---|---|---|
| Arnold Lennox Barnes | CHIEF COMPLIANCE OFFICER | — |
| Peter Allen Wright | LIMITED PARTNER; CHIEF EXECUTIVE OFFICER; SOLE SHAREHOLDER | — |
| MAGUIRE CAROL VERONICA | CHIEF COMPLIANCE OFFICER | — |
| WRIGHT PETER ALLEN | CHIEF EXECUTIVE OFFICER; LIMITED PARTNER; CHIEF EXECUTIVE OFFICER; SOLE SHAREHOLDER | — |
| BARNES ARNOLD LENNOX | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2014-09-10 | regulatory | IT WAS ALLEGED THAT THE ADVISER VIOLATED AND CAUSED VIOLATIONS OF SECTIONS 13(D) AND 16(A) OF THE EXCHANGE ACT OF 1934 AND RULES 13D-1, 13D-2 AND 16A-3 PROMULGATED THEREUNDER. | Final | $68K |
| 2005-04-28 | regulatory | PRIOR TO JOINING P.A.W. AND IN CONJUNCTION WITH HIS PRIOR EMPLOYMENT, GERALD T. MALONE, AN ADVISORY AFFILIATE OF THE ADVISER, IN APRIL 2005, SETTLED, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, AN SEC ADMINISTRATIVE PROCEEDING IN WHICH THE SEC ALLEGED THAT MR. MALONE, A FORMER OFFICER OF ALLIANCE… | Final | $150K |