DISRUPTIVE TECHNOLOGY ADVISERS LLC of DALLAS, TX is an SEC-registered investment adviser (CRD 164828). Regulatory assets under management: $7.7B.
Compensation: % of AUM, Fixed, Performance.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Alexander Jackson Davis | CHIEF EXECUTIVE OFFICER; MANAGER | — |
| Phillip Charles Caputo | CHIEF FINANCIAL OFFICER | — |
| Miles Joshua Edwards | CHIEF COMPLIANCE OFFICER | — |
| BEANEY DANIEL BUCKLEY | MANAGING DIRECTOR AND CCO | — |
| EDWARDS MYLES JOSHUA | CHIEF COMPLIANCE OFFICER | — |
| RICKEL KENNETH DAVID | COO; MANAGING MEMBER | — |
| DAVIS ALEXANDER JACKSON | CEO; CHIEF EXECUTIVE OFFICER; MANAGER (+1 more) | — |
| FRIEDMAN GARY CHARLES | CHIEF FINANCIAL OFFICER | — |
| Mates Christopher I | CHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER | — |
| Caputo Phillip Charles | CHIEF COMPLIANCE OFFICER; CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER & CHIEF COMPLIANCE OFFICER | — |
| FRIEDMAN BRUCE | CHIEF FINANCIAL OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-09-05 | regulatory | ON SEPTEMBER 5, 2023, DISRUPTIVE WAS THE SUBJECT OF AN ORDER FROM THE U.S. SECURITIES AND EXCHANGE COMMISSION. FOR PURPOSES OF THE ORDER, DISRUPTIVE WITHOUT ADMITTING OR DENYING THE FINDINGS WAS FOUND TO HAVE VIOLATED SECTION 206(4) OF THE ADVISERS ACT AND SECTION 204(A) OF THE INVESTMENT ADVISERS A… | Final | $225K |
| 2017-12-14 | civil | PLAINTIFFS ALLEGE PALANTIR AND DISRUPTIVE TECHNOLOGY ADVISERS LLC (COLLECTIVELY, THE "DEFENDANTS") TORTIOUSLY INTERFERED WITH A SECONDARY STOCK TRANSACTION IN WHICH PLAINTIFFS HOPED TO SELL PALANTIR SHARES TO A PROSPECTIVE BUYER. PLAINTIFFS ALSO ALLEGE THAT DEFENDANTS CONSPIRED TO DIVERT THE PROSPEC… | Pending | — |