ROGERS RICHARD JAMES appears across SEC filings — Form ADV advisers, Form D, Reg A, and crowdfunding offerings. ROGERS RICHARD JAMES appears on 9 filing roles across Form ADV (9).
| Filed | Source | Entity | Role | Location |
|---|---|---|---|---|
| — | Form ADV | RBC PRIVATE COUNSEL (USA) INC. | DIRECTOR | TORONTO, ON |
| — | Form ADV | WOLVER HILL ASSET MANAGEMENT ASIA LIMITED | CHIEF EXECUTIVE OFFICER, DIRECTOR & RESPONSIBLE OFFICER | HONG KONG |
| — | Form ADV | ROGERS INVESTMENT ADVISORS K.K. | CHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT ADVISOR, DIRECTOR | TOKYO |
| — | Form ADV | ACME CREDIT PARTNERS LLC | MANAGING PARTNER | NEW YORK, NY |
| — | Form ADV | TOMPKINS WEALTH MANAGEMENT INC. | COO, DIRECTOR | PITTSFORD, NY |
| — | Form ADV | JACKSON FINANCIAL MANAGEMENT | CHIEF INVESTMENT OFFICER | COSTA MESA, CA |
| — | Form ADV | CPFA, LLC | OWNER, CHEIF COMPLIANCE OFFICER | GREENWOOD VILLAGE, CO |
| — | Form ADV | ENSEMBLE FINANCIAL SERVICES, INC. | PRESIDENT AND FINOP OF ENSEMBLE FINANCIAL SERVICES INC. CEO AND DIRECTOR OF AM&M FINANCIAL SERVICES- PARENT COMPANY | PITTSFORD, NY |
| — | Form ADV | BROADSTONE REAL ESTATE, LLC | CHIEF COMPLIANCE OFFICER | ROCHESTER, NY |