ALPHA ONE ASSET MANAGEMENT LLC of PASADENA, CA is an SEC-registered investment adviser (CRD 338725). Regulatory assets under management: $114.7M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Matthew Bromberg | SECRETARY AND GENERAL COUNSEL | London, X0 |
| Francis N Paulino | MANAGING DIRECTOR | — |
| Erin Kathleen Preston | CHIEF COMPLIANCE OFFICER | — |
| Samantha Kirkman | CHIEF FINANCIAL OFFICER | — |
| Kevin Donald White | CHIEF EXECUTIVE OFFICER AND PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-03-13 | civil | VIOLATION OF FIDUCIARY DUTIES UNDER ERISA AND ENGAGING IN PROHIBITED TRANSACTIONS | Final | $209K |
| — | regulatory | — | — | — |
| — | civil | — | — | — |