ALAMOS CAPITAL, LLC of TUCSON, AZ is an SEC-registered investment adviser (CRD 332985). Regulatory assets under management: $1.0M.
Compensation: % of AUM, Performance.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Francisco B Almada | MANAGING MEMBER, CCO | — |
| ALMADA FRANCISCO B | MANAGING MEMBER, CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-12-04 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM FAILED TO ESTABLISH MAINTAIN AND ENFORCE A SUPERVISORY SYSTEM INCLUDING WSP'S FOR COMPLIANCE WITH THE SUITABILITY REQUIREMENTS OF FINRA RULE 2111 AND THE CARE OBLIGATION OF RULE… | Final | — |
| 2019-04-29 | regulatory | FAILURE TO FILE TIMELY ANNUAL UPDATING AMENDMENT TO FORM ADV | Final | $2K |
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| ALAMOS CAPITAL L.P. | Hedge Fund | Delaware | 0 | — | — |