GREENBACKER CAPITAL MANAGEMENT LLC of PORTLAND, ME is an SEC-registered investment adviser (CRD 277101). Regulatory assets under management: $3.1B.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| Mehta Vijay | CHIEF INVESTMENT OFFICER | Stamford, CT |
| Claude Vuillieme | CHIEF COMPLIANCE OFFICER; GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | — |
| Carl Christopher Weatherley-White | CHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER; INTERIM CHIEF FINANCIAL OFFICER | — |
| Daniel Joseph De Boer | CHIEF INVESTMENT OFFICER | — |
| David Harris Sher | CHIEF EXECUTIVE OFFICER | — |
| Charles Warwick Stiles Wheeler | PRESIDENT AND CHIEF INVESTMENT OFFICER | — |
| SMITH DAVID LYNN | CHIEF FINANCIAL OFFICER | — |
| BRENNAN PATRICK | MEMBER | — |
| WHEELER CHARLES WARWICK STILES | CHIEF INVESTMENT OFFICER; PRESIDENT; PRESIDENT AND CHIEF INVESTMENT OFFICER | — |
| BUTT RICHARD CRAIG | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER | — |
| HULL JULIANNE | CHIEF COMPLIANCE OFFICER | — |
| SHER DAVID HARRIS | CHIEF EXECUTIVE OFFICER | — |
| GAJJAR ANAND NAVIN | MEMBER | — |
| COCHRANE ELIZABETH WENTWORTH | SECRETARY | — |
| MASH SPENCER | CHIEF FINANCIAL OFFICER | — |
| Vuillieme Claude | GENERAL COUNSEL; GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-08-02 | regulatory | THE STATE OF OREGON, DEPARTMENT OF CONSUMER AND BUSINESS SERVICES, DIVISION OF FINANCIAL REGULATION ALLEGES THAT GREENBACKER RENEWABLE ENERGY COMPANY LLC ("GREC"), AN ADVISORY AFFILIATE AND OWNER OF THE ADVISER, VIOLATED OREGON SECURITIES LAWS BY DISTRIBUTING SHARES PURSUANT TO A DISTRIBUTION REINVE… | Final | $20K |
| 2020-12-15 | regulatory | THE HAWAII SEB ALLEGES THAT GREC, AN ADVISORY AFFILIATE OF THE ADVISOR, VIOLATED HAWAII REVISED STATUTES ("HRS") CHAPTER 485A BY FILING A NOTICE FILING WITH THE HAWAII SEB LATER THAN FIFTEEN (15) DAYS AFTER THE FIRST SALE IN HAWAII. | Final | $3K |
| 2020-09-29 | regulatory | THE NH BUREAU ALLEGES THAT GREC, AN ADVISORY AFFILIATE OF THE ADVISOR, VIOLATED NEW HAMPSHIRE RSA 421-B:3-302 BY FILING A NOTICE FILING WITH THE NH BUREAU LATER THAN FIFTEEN (15) DAYS AFTER THE FIRST SALE IN NEW HAMPSHIRE. | Final | $3K |
| 2019-09-17 | regulatory | THE STATE OF OREGON, DEPARTMENT OF CONSUMER AND BUSINESS SERVICES, DIVISION OF FINANCIAL REGULATION ALLEGES THAT GREENBACKER RENEWABLE ENERGY COMPANY LLC ("GREC"), AN ADVISORY AFFILIATE OF THE ADVISER, VIOLATED OREGON SECURITIES LAWS BY DISTRIBUTING SHARES PURSUANT TO A DISTRIBUTION REINVESTMENT PLA… | Final | $5K |