ALAMO CAPITAL of WALNUT CREEK, CA is an SEC-registered investment adviser (CRD 26193). Regulatory assets under management: $103.6M.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Pooled vehicles, Charities.
| Name | Role | Location |
|---|---|---|
| Nancy Ann Ruehle Mullally | CEO; CFO | — |
| William John Mullally | PRESIDENT | — |
| Allison Victoria Kent-Aster | CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2011-08-25 | regulatory | THE FIRM FAILED TO REPORT 147 TRACE ELIGIBLE TRANSACTIONS DURING 1Q09 AS BROKER INFORMED FIRM THE TRANSACTIONS WERE STEP-OUTS, AND THUS NOT REQUIRED TO BE REPORTED. | Final | $8K |