GARRISON POINT CAPITAL, LLC of SAN FRANCISCO, CA is an SEC-registered investment adviser (CRD 165590). Regulatory assets under management: $315.5M.
Compensation: % of AUM, Performance.
Clients served: High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| SMITH TAFT JAMES | CHIEF EXECUTIVE OFFICER; MANAGING MEMBER; OWNER (+1 more) | CHICAGO, IL |
| Andy Li | CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER | San Diego, CA |
| Garrett James Smith | CHIEF EXECUTIVE OFFICER; OWNER | — |
| Brian Heng-Hok Loo | CHIEF INVESTMENT OFFICER; MANAGING MEMBER | — |
| Jonathan Quoc-Anh Tran | MANAGING DIRECTOR; TRUSTEE | — |
| LOO BRIAN HENGHOK | PORTFOLIO MANAGER | — |
| ROOT LEON ARTHUR | CFO | — |
| MEISSNER JULIE THERESE | CCO; CCO/COO | — |
| MINER TOM S | PRINCIPAL | — |
| TRAN JONATHAN QUOC-ANH | ANALYST; MANAGING DIRECTOR; MANAGING MEMBER (+1 more) | — |
| LI ANDY | CFO; CHIEF FINANCIAL OFFICER | — |
| MINER TOM Spencer | CO TRUSTEE; MANAGING MEMBER; OWNER (+1 more) | — |
| MINER JULIA SANDQUIST | CO TRUSTEE | — |
| LOO BRIAN HENG-HOK | CHIEF INVESTMENT OFFICER; MANAGING MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-06-03 | regulatory | WITHOUT ADMITTING OR DENYING ANY WRONGDOING, THE FIRM CONSENTED TO THE ENTRY OF AN SEC ORDER THAT, WITH RESPECT TO ALPHACENTRIC INCOME OPPORTUNITIES FUND ("FUND"), THE FIRM FAILED TO DISCLOSE THE VALUATION OF CERTAIN "ODD-LOT" BONDS, FAILED TO HAVE SUFFICIENT POLICIES AND PROCEDURES RE THE DISCLOSUR… | Final | $3.5M |