TROWBRIDGE CAPITAL PARTNERS LLC. is an SEC-registered investment adviser (CRD 297764). Regulatory assets under management: $25.8M.
Compensation: % of AUM.
Clients served: High net worth, Other.
| Name | Role | Location |
|---|---|---|
| Susan Elaine Mitchell | CHIEF COMPLIANCE OFFICER | — |
| Brett David Golden | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER; PASSIVE MEMBER | — |
| Louis Paul Lukac | MANAGING MEMBER & CHIEF INVESTMENT OFFICER; MEMBER & CHIEF INVESTMENT OFFICER | — |
| Stanley Dickson | MEMBER; PASSIVE MEMBER | — |
| GOLDEN BRETT DAVID | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | — |
| LUKAC LOUIS PAUL | MEMBER & CHIEF INVESTMENT OFFICER | — |
| DICKSON STANLEY | MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-08-24 | regulatory | ON AUGUST 24,2023 TROWBRIDGE OFFERED, AND THE SEC AGREED TO ACCEPT, A SETTLEMENT REGARDING ALLEGED VIOLATIONS OF SECTION 206(4) OF THE ADVISERS ACT AND RULE 206(4)-1(D) THEREUNDER. THE SEC ALLEGED THAT TROWBRIDGE ADVERTISED HYPOTHETICAL PERFORMANCE ON ITS PUBLIC WEBSITE WITHOUT ADOPTING AND IMPLEMEN… | Final | $60K |
| City | State | Employees | Phone |
|---|---|---|---|
| INDIANAPOLIS | IN | 1 | 480-650-5590 |
| INDIANAPOLIS | IN | 1 | 480-650-5590 |