RIDGEVIEW ASSET MANAGEMENT PARTNERS, LLC of STAMFORD, CT is an SEC-registered investment adviser (CRD 283786). Regulatory assets under management: $387.9M.
Compensation: % of AUM, Performance.
Clients served: High net worth, Charities, Investment cos.
| Name | Role | Location |
|---|---|---|
| Michael William Robinson | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | Salt Lake City, UT |
| John Winslow Watkins | EXECUTIVE CHAIRMAN | — |
| Ann Theresa Semmer | CHIEF OPERATING OFFICER | — |
| ROBINSON GERALD WILLIAM | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | — |
| SEMMER ANN THERESA | CHIEF OPERATING OFFICER | — |
| ROBINSON JAMES W | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | — |
| WATKINS JOHN WINSLOW | EXECUTIVE CHAIRMAN | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-09-09 | regulatory | ON SEPTEMBER 9, 2022, RIDGEVIEW ENTERED INTO AN ORDER BY CONSENT WITH THE SEC WHERE THE SEC ALLEGED RIDGEVIEW FAILED IN 2019 TO TIMELY DISTRIBUTE THE FISCAL YEAR 2018 ANNUAL AUDITED FINANCIAL STATEMENTS FOR THE PARTIAL FIRST YEAR OF OPERATION TO INVESTORS IN CERTAIN PRIVATE FUNDS THAT IT ADVISED. IN… | Final | $70K |