DRIFTWOOD ADVISORS, LLC of CORAL GABLES, FL is an SEC-registered investment adviser (CRD 307316). Regulatory assets under management: $568.8M.
Compensation: % of AUM, Performance.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Carlos Jose Rodriguez Smith | CHIEF EXECUTIVE OFFICER; CHIEF OPERATING OFFICER; OWNER | — |
| Jorge Luis Gomez-Moller | CHIEF LEGAL OFFICER & GENERAL COUNSEL | Coral Gables, FL |
| Carlos Jose Rodriguez | CHIEF EXECUTIVE OFFICER; EXECUTIVE CHAIRMAN; OWNER | — |
| Manuel Alejandro Navia | CHIEF COMMERCIAL OFFICER | — |
| Stephen Hodes | CHIEF ACCOUNTING OFFICER | — |
| Glenn Marc Wasserman | CHIEF FINANCIAL OFFICER | — |
| David R Steiner | HEAD OF CREDIT; MANAGING DIRECTOR, CAPITAL MARKETS | — |
| Nathalie Feria Mc Gowan | CHIEF COMPLIANCE OFFICER | — |
| RODRIGUEZ JOSE | CHIEF EXECUTIVE OFFICER; CHIEF OPERATING OFFICER; OWNER | — |
| STEINER MICHAEL R | MANAGING DIRECTOR, CAPITAL MARKETS | — |
| WASSERMAN STEVEN MARC | CHIEF FINANCIAL OFFICER | — |
| GOMEZ-MOLLER JORGE LUIS | CHIEF COMPLIANCE OFFICER; CHIEF LEARNING OFFICER AND CHIEF COMPLIANCE OFFICER; CHIEF LEGAL OFFICER & GENERAL COUNSEL | — |
| NAVIA MANUEL ALEJANDRO | CHIEF COMMERCIAL OFFICER | — |
| SACCO PAUL JOHN | CHIEF INVESTMENT OFFICER | — |
| HODES STEPHEN | CHIEF ACCOUNTING OFFICER | — |
| MC GOWAN NATHALIE FERIA | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-12-20 | regulatory | IN A DECEMBER 20, 2024 CEASE AND DESIST ORDER (THE "ORDER"), THE SEC DESCRIBES DRIFTWOOD ADVISORS, LLC ("DRIFTWOOD ADVISORS") HAVING CUSTODY OF ASSETS OF ITS POOLED INVESTMENT VEHICLE CLIENTS. THE ORDER FINDS THAT DRIFTWOOD ADVISORS FAILED TIMELY TO DISTRIBUTE AUDITED FINANCIAL STATEMENTS PREPARED I… | Final | $115K |