RESOURCE CAPITAL INVESTMENT CORPORATION of CARLSBAD, CA is an SEC-registered investment adviser (CRD 166722). Regulatory assets under management: $3.7B.
Compensation: % of AUM, Performance.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Howard Jeffrey | DIRECTOR | San Antonio, TX |
| Thomas Wayne Ulrich | PRESIDENT, SECRETARY, CHIEF COMPLIANCE OFFICER AND DIRECTOR | — |
| Robert Virgil Villaflor | DIRECTOR | — |
| Varinder Kaur Bhathal | TREASURER AND DIRECTOR | — |
| ULRICH THOMAS WAYNE | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL; CHIEF COMPLIANCE OFFICER AND IN-HOUSE COUNSEL; PRESIDENT, SECRETARY, CHIEF COMPLIANCE OFFICER AND DIRECTOR (+2 more) | — |
| RULE ARTHUR RICHARDS | PRESIDENT AND DIRECTOR | — |
| CARTER GRETCHEN MARIE | CHIEF FINANCIAL OFFICER; TREASURER | — |
| VILLAFLOR ROBERT VIRGIL | DIRECTOR | — |
| CIAMPAGLIA JOHN ANTHONY | DIRECTOR | — |
| GROSSKOPF PETER FRITZ | DIRECTOR | — |
| ROSTOWSKY STEVEN PAUL | DIRECTOR | — |
| Hibbert Kevin | DIRECTOR | — |
| BHATHAL VARINDER KAUR | TREASURER; TREASURER AND DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| — | civil | AN ADVISORY AFFILIATE IN CANADA, SPROTT ASSET MANAGEMENT LP ACQUIRED THE FLATIRON GROUP OF COMPANIES ("FLATIRON") ON OR ABOUT AUGUST 1, 2012. IN THE MONTHS FOLLOWING THE ACQUISITION, ONE OF THE FLATIRON HEDGE FUNDS, FLATIRON MARKET NEUTRAL LP ("FMNLP"), SUFFERED SIGNIFICANT DROP IN ITS VALUE. THE DE… | Final | — |