ECOR1 CAPITAL, LLC of SAN FRANCISCO, CA is an SEC-registered investment adviser (CRD 167121). Regulatory assets under management: $3.4B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Oleg Nmn Nodelman | MANAGER; TRUSTEE | — |
| Sarah Christine Marriott | MEMBER, CCO, COO | — |
| Scott Eric Perlen | CFO | — |
| NODELMAN TRUSTEE OLEG | MANAGER; MANAGER, CCO | — |
| MARRIOTT TRUSTEE SARAH | MEMBER; MEMBER, CCO; MEMBER, CCO, COO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-10-02 | regulatory | NON-COMPLIANCE WITH PUBLICLY-TRADED EQUITY SECURITY RULES IN FRANCE PROVIDED IN ARTICLE 12 OF REGULATION (EU) NO. 596/2014 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL OF APRIL 16, 2014 ON MARKET ABUSE, AS AMENDED. NON-COMPLIANCE WITH PUBLICLY-TRADED EQUITY SECURITY BENEFICIAL OWNERSHIP REPORTING R… | On Appeal | $11.2M |