BROWN DAVID JAMES appears across SEC filings — Form ADV advisers, Form D, Reg A, and crowdfunding offerings. BROWN DAVID JAMES appears on 14 filing roles across Form ADV (14).
| Filed | Source | Entity | Role | Location |
|---|---|---|---|---|
| — | Form ADV | BROWN FINANCIAL MANAGEMENT GROUP, LLC | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | LATHAM, NY |
| — | Form ADV | PRINCIPAL SECURITIES, INC. | VICE PRESIDENT | DES MOINES, IA |
| — | Form ADV | ARCMONT ASSET MANAGEMENT LIMITED | DIRECTOR | LONDON |
| — | Form ADV | ULLICO INVESTMENT ADVISORS, INC. | DIRECTOR | BETHESDA, MD |
| — | Form ADV | KWK MANAGEMENT LLC | PORTFOLIO MANAGER | HOUSTON, TX |
| — | Form ADV | PERGAMENT ADVISORS LLC | CHIEF COMPLIANCE OFFICER | NEW YORK, NY |
| — | Form ADV | PRINCIPAL MANAGEMENT CORP | SENIOR VICE PRESIDENT | DES MOINES, IA |
| — | Form ADV | PRINCIPAL FINANCIAL ADVISORS, INC. | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | DES MOINES, IA |
| — | Form ADV | COPPER BEECH TREE LLC | CHIEF COMPLIANCE OFFICER | BLOOMFIELD HILLS, MI |
| — | Form ADV | BHR CAPITAL LLC | CHIEF COMPLIANCE OFFICER | NEW YORK, NY |
| — | Form ADV | IBERIA ASSET MANAGEMENT, INC. | DIRECTOR | NEW ORLEANS, LA |
| — | Form ADV | PERRY CORP | MANAGING DIRECTOR | NEW YORK, NY |
| — | Form ADV | SANDELMAN PARTNERS, LP | LIMITED PARTNER | NEW YORK, NY |
| — | Form ADV | THOMAS JAMES BROWN | SOLE PROPRIETOR/CHIEF COMPLIANCE OFFICER | LATHAM, NY |