CARNEGIE LAKE ADVISORS LLC of PRINCETON, NJ is an SEC-registered investment adviser (CRD 330024). Regulatory assets under management: $403.0M.
Compensation: % of AUM.
Clients served: High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| Ashleigh Cooper Swayze | CHIEF COMPLIANCE OFFICER | — |
| Eckart Alexander Weeck | MANAGING MEMBER & PRESIDENT | — |
| Ellen Sandler Barker | MANAGING MEMBER | — |
| SWAYZE ASHLEIGH COOPER | CHIEF COMPLIANCE OFFICER | — |
| WEECK ECKART ALEXANDER | MANAGING MEMBER, CHIEF COMPLIANCE OFFICER, & PRESIDENT; MANAGING MEMBER & PRESIDENT | — |
| BARKER ELLEN SANDLER | MANAGING MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-04-17 | regulatory | IN 2017, OUR CHIEF COMPLIANCE OFFICER, ASHLEIGH SWAYZE, SIGNED A CONSENT ORDER WITH THE CONNECTICUT DEPARTMENT OF BANKING AND INSURANCE. THE UNDERLYING MATTER INVOLVED A CLIENT OF MS. SWAYZE'S THAT FAILED TO REGISTER AS AN INVESTMENT ADVISER REPRESENTATIVE IN CONNECTICUT. THE STATE FELT THAT MS. SWA… | Final | $10K |