HEP MANAGEMENT CORPORATION of NEW YORK, NY is an SEC-registered investment adviser (CRD 161855). Regulatory assets under management: $426.6M.
Compensation: % of AUM, Performance.
Clients served: Investment cos, Other.
| Name | Role | Location |
|---|---|---|
| David Patrick Tamburri | DIRECTOR; DIRECTOR / PRESIDENT | Weston, CT |
| Richard Houghton Stowe | PRESIDENT / SECRETARY / DIRECTOR | — |
| Ezra Borinsky Mehlman | DIRECTOR; DIRECTOR / SECRETARY | — |
| Lynn Marie Weld | CHIEF FINANCIAL OFFICER | — |
| Scott Alan Whyte | CHIEF COMPLIANCE OFFICER, PARTNER | — |
| CAIN DANIEL MATTHEW | MANAGER | — |
| TAMBURRI DAVID PATRICK | DIRECTOR; TREASURER | — |
| STOWE RICHARD HOUGHTON | PRESIDENT / SECRETARY; PRESIDENT / SECRETARY / DIRECTOR | — |
| SCHULZ ROBERT BRANDEN | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER / TREASURER / DIRECTOR; TREASURER / DIRECTOR | — |
| TEDESCO PETER B | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER / DIRECTOR | — |
| MEHLMAN EZRA BORINSKY | DIRECTOR; MANAGING PARTNER | — |
| Weld Lynn Marie | CHIEF FINANCIAL OFFICER | — |
| Whyte Scott Alan | CHIEF COMPLIANCE OFFICER, PARTNER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-01-29 | regulatory | HEP MANAGEMENT CORPORATION WAS FOUND TO HAVE VIOLATED ADVISERS ACT RULE 204(B)-1 FOR FAILING TO FILE OR UPDATE FORM PF REPORTING THAT PROVIDES THE SEC WITH INFORMATION ABOUT THE PRIVATE FUNDS THAT HEP MANAGEMENT CORPORATION MANAGES. | Final | $75K |