BAXTER RODD M appears across SEC filings — Form ADV advisers, Form D, Reg A, and crowdfunding offerings. BAXTER RODD M appears on 3 filing roles across Form ADV (3).
| Filed | Source | Entity | Role | Location |
|---|---|---|---|---|
| — | Form ADV | ALPHA CAPITAL FAMILY OFFICE, LLC | MEMBER | GREENWOOD VILLAGE, CO |
| — | Form ADV | ADVENT CAPITAL MANAGEMENT, LLC | CHIEF LEGAL/CHIEF COMPLIANCE OFFICER | NEW YORK, NY |
| — | Form ADV | SG COWEN ASSET MANAGEMENT INC | CHIEF LEGAL OFFICER | NEW YORK, NY |