ELM PARTNERS MANAGEMENT LLC of PHILADELPHIA, PA is an SEC-registered investment adviser (CRD 167225). Regulatory assets under management: $3.0B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Investment cos.
| Name | Role | Location |
|---|---|---|
| Jerry Arch Bell | CHIEF REVENUE OFFICER | — |
| Victor John Haghani | CHIEF INVESTMENT OFFICER | — |
| Celeste Lee Haghani | GRANTOR; MEMBER | — |
| James Woodson White | CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | — |
| Andrea Jane Paul | TRUSTEE | — |
| WHITE LAURIE WOODSON | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | — |
| HAGHANI VICTOR JOHN | CHIEF INVESTMENT OFFICER; CHIEF INVESTMENT OFFICER AND CHIEF COMPLIANCE OFFICER; MANAGING MEMBER (+3 more) | — |
| HAGHANI CELESTE LEEMA | MEMBER | — |
| HAGHANI CELESTE LEE | MEMBER | — |
| McBride Samantha Joanne | PORTFOLIO MANAGER & CHIEF COMPLIANCE OFFICER | — |
| BELL JERRY ARCH | CHIEF REVENUE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-09-11 | regulatory | FAILURE TO COMPLY WITH AMENDMENTS TO ADVISERS ACT RULE 206(4)-1 THAT THE COMMISSION ADOPTED IN DECEMBER 2020 (THE "AMENDED MARKETING RULE"). | Final | $175K |
| 2018-03-13 | regulatory | FAILURE TO FILE FORM PF (REGULATORY ASSETS UNDER MANAGEMENT AND RISK EXPOSURE REPORTING) | Final | $75K |