RESOLUTE CAPITAL, LLC of GREENVILLE, SC is an SEC-registered investment adviser (CRD 304558). Regulatory assets under management: $300.8M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Corporations.
| Name | Role | Location |
|---|---|---|
| Roseann Higgins | CHIEF COMPLIANCE OFFICER | Cincinnati, OH |
| Matthew John Dixon | MANAGING MEMBER | — |
| DIXON STEVEN JOHN | MANAGING MEMBER | — |
| HIGGINS ROSEANN | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-05-31 | civil | IN MAY 2024, PLAINTIFFS FILED A COMPLAINT AGAINST MATTHEW DIXON, BLACK HARBOR, TRUNORTH, AND SYMETRA ALLEGING 1) NEGLIGENCE BY DEFENDANTS TO EXERCISE REASONABLE CARE, SKILL, DILIGENCE, AND PRUDENCE UNDER THE PLAINTIFF'S FINANCIAL SITUATION AND OBJECTIVES; 2) BREACH OF FIDUCIARY DUTY (DIXON, BLACK HA… | Final | $210K |