MASTERWORKS ADVISERS, LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 324239). Regulatory assets under management: $8.1M.
Compensation: % of AUM, Fixed.
Clients served: High net worth, Investment cos.
| Name | Role | Location |
|---|---|---|
| Scott Lynn | INVESTMENT ADVISER TO THE TRUST | New York, NY |
| Lynn Scott | INVESTMENT ADVISER TO THE TRUST | Edinburgh, X0 |
| Jennifer Moxon | CHIEF COMPLIANCE OFFICER | Redwood City, CA |
| Nathan Krasnick | PORTFOLIO MANAGER | — |
| Tofique Mohammed Elder | HEAD OF FINANCE | — |
| Candy Denise Light | HEAD OF ADVISORY | — |
| Gabriel Bridges Zinn | HEAD OF ADVISORY | — |
| MOXON JENNIFER | CHIEF COMPLIANCE OFFICER | — |
| GLENDAY NIGEL STUART | CEO / CFO; CHIEF EXECUTIVE OFFICER AND CHIEF FINANCIAL OFFICER | — |
| GOLDSTEIN JOSHUA BEN | CCO / CLO; CHIEF LEGAL OFFICER | — |
| Zinn Gabriel Bridges | HEAD OF ADVISORY | — |
| Meyo Erosa Francisco Jose | HEAD OF FINANCE | — |
| Krasnick Nathan | PORTFOLIO MANAGER | — |
| ELDER TOFIQUE MOHAMMED | HEAD OF FINANCE | — |
| Elder Tofique | HEAD OF FINANCE | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-09-09 | regulatory | CONSENT ORDER FINDS THAT MASTERWORKS MADE SALES OF SECURITIES IN THE STATE OF TENNESSEE WITHOUT SUBMITTING REQUIRED NOTICE FILINGS BETWEEN MAY 2019 AND JANUARY 2022 IN VIOLATION OF THE TENNESSEE NOTICE FILING REQUIREMENTS. MASTERWORKS SELF-REPORTED AND CORRECTED THE LAPSE IN JANUARY OF 2022 AND HAS… | Final | $20K |
| 2023-12-08 | regulatory | ADVISORY AFFILIATE SOLD FEDERALLY COVERED SECURITIES IN THE STATE OF TEXAS DURING A TIME WHEN IT WAS NOT REGISTERED AS AN ISSUER-DEALER IN THE STATE. AS A CONSEQUENCE, THE STATE WOULD NOT ACCEPT NOTICE FILINGS ON REGULATION A OFFERINGS WITHOUT A NAMED ISSUER-DEALER, WHICH CAUSED A NOTICE FILING VIOL… | Final | $150K |
| 2022-01-01 | regulatory | CONSENT ORDER FINDS THAT MASTERWORKS, LLC (1) OFFERED AND SOLD SECURITIES OF ITS ISSUER AFFILIATES IN THE STATE OF MARYLAND WITHOUT FIRST SUBMITTING REQUIRED REGULATION A, TIER II NOTICE FILINGS, IN VIOLATION OF SECTION 11-501 OF THE MARYLAND SECURITIES ACT; AND (2) OFFERED AND SOLD SUCH SECURITIES… | Final | $75K |