SOURCEROCK GROUP LLC of DENVER, CO is an SEC-registered investment adviser (CRD 307575). Regulatory assets under management: $3.1B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Christian Zann | MEMBER | Denver, CO |
| Andrew Michael Haley | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | Denver, CO |
| Thiru Vengadam Ramakrishnan | MEMBER | — |
| HALEY ANDREW MICHAEL | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | — |
| RAMAKRISHNAN THIRU VENGADAM | MEMBER | — |
| Zann Christian | MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-03-21 | regulatory | SETTLED ORDER PROVIDES THAT ADVISER PURCHASED SECURITIES IN A SINGLE COVERED OFFERING WHEN IT HAD SOLD SHORT SHARES IN THE SAME SECURITIES WITHIN THE RULE 105 RESTRICTED PERIOD. | Final | $250K |