MONTCHANIN ASSET MANAGEMENT, LLC of MONTCHANIN, DE is an SEC-registered investment adviser (CRD 304367). Regulatory assets under management: $120.8M.
Compensation: % of AUM.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| Douglas Carpenter Mccoy | CHIEF COMPLIANCE OFFICER/MANAGING PARTNER; MANAGING DIRECTOR | — |
| William Kirkus Dugdale | CHIEF INVESTMENT OFFICER/MANAGING PARTNER | — |
| MCCOY DOUGLAS CARPENTER | CHIEF COMPLIANCE OFFICER/MANAGING PARTNER | — |
| DUGDALE WILLIAM KIRKUS | CHIEF INVESTMENT OFFICER/MANAGING PARTNER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2016-02-24 | regulatory | PRIOR REGISTRATION CRD #115365 DELAWARE DEPT. OF JUSTICE, INVESTOR PROTECTION UNIT FOUND THAT MONTCHANIN FAILED TO REGISTER NED BURKE AS AN INVESTOR REPRESENTATIVE IN A TIMELY FASHION CONSTITUTED A VIOLATION OF 6 DEL.C.73-302 AND RULE 701 OF THE DELAWARE SECURITIES ACT. MONTCHANIN CONSENTED TO THE O… | Final | $5K |
| 2014-02-19 | regulatory | PRIOR REGISTRATION UNDER CRD #115365 COMMONWEALTH OF PA DEPT. OF BANKING AND SECURITIES FOUND THAT MONTCHANIN FAILED TO NOTICE FILE IN PA IN VIOLATION OF SECTION 301(F) OF THE PA SECURITIES ACT OF 1972. MONTCHANIN CONSENTED TO THE ORDER, AGREED TO PAY ADMINISTRATIVE, INVESTIGATIVE AND LEGAL COST. | Final | $11K |