GAGNON ADVISORS, LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 161697). Regulatory assets under management: $187.3M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance, Commissions.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Neil Joseph Gagnon | CHIEF EXECUTIVE OFFICER; OWNER | — |
| Brian Joseph Gagnon | MEMBER | — |
| Maureen Oneill Drew | MEMBER | — |
| Lisa Catherine Ferrante | CHIEF COMPLIANCE OFFICER | — |
| Marianne D'Alessandro | CHIEF FINANCIAL OFFICER | — |
| Willis Gitt Taylor | MEMBER | — |
| Alison O'Brien Tranchida | OPERATIONS MANAGER | — |
| Dwight Eisenhower Lee | MEMBER | — |
| Jonathan Williams Robohm | MEMBER | — |
| LEE DWIGHT EISENHOWER | MEMBER | — |
| GAGNON NEIL JOSEPH | CHIEF EXECUTIVE OFFICER; MEMBER; OWNER (+1 more) | — |
| DREW MAUREEN ONEILL | MEMBER; RESEARCH ANALYST | — |
| ROBOHM JONATHAN WILLIAMS | MEMBER | — |
| FERRANTE LISA CATHERINE | CHIEF COMPLIANCE OFFICER | — |
| ATKINSON BENJAMIN CHEEVER | MANAGING MEMBER | — |
| DUMONT SUSAN ELIZABETH | CHIEF COMPLIANCE OFFICER; CHIEF FINANCIAL OFFICER | — |
| TAYLOR WILLIS GITT | MEMBER; RESEARCH ANALYST | — |
| D'ALESSANDRO MARIANNE | CHIEF FINANCIAL OFFICER | — |
| TRANCHIDA ALISON O'BRIEN | OPERATIONS MANAGER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2014-07-25 | regulatory | ON SEPTEMBER 10, 2014 NEIL GAGNON CONSENTED TO THE ENTRY OF AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS ("ORDER") BY THE U.S. SECURITIES AND EXCHANGE COMMISSION (THE "SEC"). IN THE ORDER, THE SEC FOUND THAT MR. GAGNON FAILED TO TIMELY FILE BENEFICIAL OWNERSHIP REPORTS REQUIR… | Final | $75K |