ELLIS CATHERINE MARY appears across SEC filings — Form ADV advisers, Form D, Reg A, and crowdfunding offerings. ELLIS CATHERINE MARY appears on 2 filing roles across Form ADV (2).
| Filed | Source | Entity | Role | Location |
|---|---|---|---|---|
| — | Form ADV | IMPERIAL CAPITAL ASSET MANAGEMENT LLC | DIRECTOR OF COMPLIANCE | PALM BEACH GARDENS, FL |
| — | Form ADV | RUFFER LLP | CHIEF COMPLIANCE OFFICER | LONDON |