COTA CAPITAL MANAGEMENT, LLC of SAN FRANCISCO, CA is an SEC-registered investment adviser (CRD 226750). Regulatory assets under management: $1.2B.
Compensation: % of AUM, Performance.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Babak Poushanchi | MEMBER; MEMBER AND MANAGER | San Francisco, CA |
| Babak Nmn Yazdani | MEMBER AND MANAGER | — |
| Peter E Williams | MEMBER AND CHIEF OPERATING OFFICER | — |
| Faie Reiko Dorin | CHIEF COMPLIANCE OFFICER | — |
| YEE VIRGINIA | CHIEF OPERATING OFFICER | — |
| WILLIAMS SARA E | CHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER; MEMBER AND CHIEF COMPLIANCE OFFICER (+1 more) | — |
| MCCOLL MARCELLA | CHIEF FINANCIAL OFFICER | — |
| YAZDANI BABAK NMN | MANAGER OF COTA CAPITAL GP, LLC; MANAGER OF COTA CAPITAL MANAGEMENT, LLC; MEMBER AND MANAGER (+2 more) | — |
| POUSHANCHI BABAK | MANAGER OF COTA CAPITAL GP, LLC; MANAGER OF COTA CAPITAL MANAGEMENT, LLC; MEMBER AND MANAGER (+2 more) | — |
| AZOUT ALBERT | MEMBER | — |
| Dorin Faie Reiko | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2014-09-24 | regulatory | THE SEC ALLEGED THAT MR. YAZDANI FAILED TO MAKE CERTAIN REIMBURSEMENTS TO SABA SOFTWARE, INC. THAT THE SEC ALLEGES WERE REQUIRED UNDER SECTION 304 OF THE SARBANES-OXLEY ACT OF 2002. | Final | — |
| 2014-09-24 | regulatory | THE SEC ALLEGED THAT MR. WILLIAMS FAILED TO MAKE CERTAIN REIMBURSEMENTS TO SABA SOFTWARE, INC. THAT THE SEC ALLEGES WERE REQUIRED UNDER SECTION 304 OF THE SARBANES-OXLEY ACT OF 2002. | Final | — |