BELLE HAVEN INVESTMENTS, L.P. of RYE BROOK, NY is an SEC-registered investment adviser (CRD 29278). Regulatory assets under management: $24.5B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth, Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| Laura Jean Chapman | CHIEF EXECUTIVE OFFICER/ CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER | — |
| Joseph Matthew Dalton | FOUNDER/CHAIRMAN/PRESIDENT; LIMITED PARTNER,CEO; SHAREHOLDER - PRESIDENT | — |
| Melissa Ann Chaffee | CHIEF COMPLIANCE OFFICER | — |
| Michael Dominick Menna | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER/FINOP | — |
| STEFFEN MARK WALTER | LIMITED PARTNER; LIMITED PARTNER,CHIEF COMPLIANCE OFFICER; LIMITED PARTNER, EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER (+1 more) | — |
| DALTON JOSEPH MATTHEW | LIMITED PARTNER; LIMITED PARTNER,CEO; SHAREHOLDER - PRESDIENT (+1 more) | — |
| CAVANAGH KEVIN JOSEPH | EXECUTIVE VICE PRESIDENT-CHIEF COMPLIANCE OFFICER | — |
| MCALLISTER DUANE ALAN | LIMITED PARTNER | — |
| BELL RICHARD JAMES | LIMITED PARTNER; PRESIDENT; SHAREHOLDER | — |
| SCHUM STEPHEN J | CHIEF FINANCIAL OFFICER; FINOP AND CHIEF FINANCIAL OFFICER; SENIOR BUSINESS ADVISOR, PARTNER | — |
| CHAPMAN LAURA JEAN | CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | — |
| CHAFFEE MELISSA ANN | CHIEF COMPLIANCE OFFICER | — |
| MENNA MICHAEL DOMINICK | CHIEF FINANCIAL OFFICER/FINOP; FINOP | — |
| Matthew Sherman Thomas | CO-CHIEF INVESTMENT OFFICER | — |
| Mark Christiana | CO-CHIEF INVESTMENT OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2015-06-30 | regulatory | FINRA ALLEGED VARIOUS VIOLATIONS OF FINRA AND SEC RULES RELATING TO 2013 TRADE REPORTING TO THE TRADE REPORTING AND COMPLIANCE ENGINE ("TRACE") AND THE MUNICIPAL SECURITIES RULEMAKING BOARD'S ("MSRB") REAL-TIME TRANSACTION REPORTING SYSTEM ("RTRS") RULES. | Final | $23K |
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| BELLE HAVEN AGGRESSIVE MUNI, L.P. | Other Private Fund | Connecticut | 10 | $18.4M | $1.0M |