ROW ASSET MANAGEMENT, LLC of NEWPORT BEACH, CA is an SEC-registered investment adviser (CRD 168336). Regulatory assets under management: $2.5B.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| Kumar Saurabh | CHIEF OPERATING OFFICER | Mountain View, CA |
| Ryan Milone Ogrady | CEO AND MANAGING MEMBER; LIMITED PARTNER OF ROW HOLDINGS, LP; MANAGING MEMBER OF ROW HOLDINGS GP, LLC | — |
| Jeffrey Joseph Weiser | MANAGING MEMBER OF ROW HOLDINGS GP, LLC; PRESIDENT AND CO-FOUNDER | — |
| Laurie Ann Pisano | CHIEF COMPLIANCE OFFICER | — |
| Monica Ann Napoli | CHIEF FINANCIAL OFFICER | — |
| Saurabh Kumar | CHIEF OPERATING OFFICER | — |
| OGRADY RYAN MILONE | CEO AND MANAGING MEMBER; CEO, CCO AND MANAGING MEMBER; LIMITED PARTNER OF ROW HOLDINGS, LP (+1 more) | — |
| WEISER JEFFREY JOSEPH | MANAGING MEMBER OF ROW HOLDINGS GP, LLC; PRESIDENT AND CO-FOUNDER | — |
| OGRADY TIMOTHY JOSEPH | MANAGING DIRECTOR | — |
| PISANO LAURIE ANN | CHIEF COMPLIANCE OFFICER | — |
| SIMOTAS PHILIP EMANUEL | CHIEF OPERATING OFFICER | — |
| PAULAY MONICA ANN | CHIEF FINANCIAL OFFICER | — |
| NAPOLI MONICA ANN | CHIEF FINANCIAL OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-02-24 | regulatory | RULE 562. POSITION LIMIT VIOLATIONS A PANEL OF THE NYMEX BUSINESS CONDUCT COMMITTEE ("BCC") FOUND THAT AT THE CLOSE OF BUSINESS ON FEBRUARY 21, 2017, AS A RESULT OF THE DELTA ON ROW ASSET MANAGEMENT, LLC'S (THE "ADVISER") MARCH 2017 NATURAL GAS ("MAR17 NG") OPTIONS, THE ADVISER HELD A FUTURES EQUIVA… | Final | $35K |