RICK SAMANTHA appears across SEC filings — Form ADV advisers, Form D, Reg A, and crowdfunding offerings. RICK SAMANTHA appears on 9 filing roles across Form ADV (9).
| Filed | Source | Entity | Role | Location |
|---|---|---|---|---|
| — | Form ADV | FIRST SENTIER INVESTORS (US) LLC | CHIEF COMPLIANCE OFFICER AND DIRECTOR | NEW YORK, NY |
| — | Form ADV | FIRST SENTIER INVESTORS (SINGAPORE) | CHIEF COMPLIANCE OFFICER FSIS | SINGAPORE |
| — | Form ADV | NEUBERGER BERMAN BD LLC | DIRECTOR OF COMPLIANCE | NEW YORK, NY |
| — | Form ADV | ASSET ALLIANCE ADVISORS INC. | CHIEF COMPLIANCE OFFICER | NEW YORK, NY |
| — | Form ADV | CREDIT AGRICOLE ASSET MANAGEMENT ALTERNATIVE INVESTMENTS, INC. | CHIEF COMPLIANCE OFFICER | CHICAGO, IL |
| — | Form ADV | CREDIT AGRICOLE STRUCTURED ASSET MANAGEMENT ADVISERS LLC | CHIEF COMPLIANCE OFFICER | NEW YORK, NY |
| — | Form ADV | LYRA CAPITAL LLC | CHIEF COMPLIANCE OFFICER | NEW YORK, NY |
| — | Form ADV | GROUP G CAPITAL PARTNERS, LLC | CHIEF COMPLIANCE OFFICER | NEW YORK, NY |
| — | Form ADV | AMUNDI INVESTMENTS USA, LLC | CHIEF COMPLIANCE OFFICER | NEW YORK, NY |