ARISTIDES CAPITAL LLC of LOUISVILLE, KY is an SEC-registered investment adviser (CRD 162368). Regulatory assets under management: $541.4M.
Compensation: % of AUM, Performance.
Clients served: High net worth, Investment cos.
| Name | Role | Location |
|---|---|---|
| Brown T Michael | MANAGING MEMBER | Calgary, A0 |
| Claire Margaret Brown | MANAGING MEMBER | — |
| Daniel Charles Nall | CHIEF COMPLIANCE OFFICER, PRINCIPAL; PRINCIPAL & PORTFOLIO MANAGER | — |
| NALL DANIEL | CHIEF COMPLIANCE OFFICER/PM | — |
| NALL DANIEL CHARLES | CHIEF COMPLIANCE OFFICER/PM | — |
| Kathryn Wetterer Davis | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-03-04 | regulatory | ARISTIDES CAPITAL ENTERED INTO AN AGREED ORDER ON APRIL 22, 2026 WITH THE KENTUCKY DEPARTMENT OF FINANCIAL INSTITUTIONS ("KDFI"). KDFI DETERMINED THAT DUE TO A CLERICAL ERROR BY ARISTIDES' THIRD-PARTY COMPLIANCE CONSULTANT, THE FIRM FAILED TO NOTICE FILE AS A COVERED ADVISOR WITH KDFI (BY FAILING TO… | Final | $2K |