ICMA-RC SERVICES, LLC of WASHINGTON, DC is an SEC-registered investment adviser (CRD 23189). This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| Richard Patrick Whitty | TREASURER/FINOP | — |
| Cliff Lawrence Richards | CHIEF COMPLIANCE OFFICER | — |
| Peter Davidson Ganey | MANAGER | — |
| Shannon Daniel Hogendorn | CHIEF OPERATIONS OFFICER; PRESIDENT & PRINCIPAL MANAGER | — |
| Druery Thorn Holloway | ACTING CHIEF COMPLIANCE OFFICER | — |
| Gary Holmes | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-11-03 | regulatory | THE STATE SECURITIES DIVISION ALLEGES THE FIRM DID NOT COMPLY WITH PROVISIONS OF THE NEVADA SECURITIES LAW RELATING TO THE LICENSING OF BRANCH OFFICES WITH RESPECT TO TWO PRIVATE RESIDENCES. | Final | $50K |