Back to Results
First PageMeta Content
Financial services / 76th United States Congress / Private equity / Hedge fund / Investment Advisers Act / Collective investment scheme / Management fee / U.S. Securities and Exchange Commission / Financial adviser / Financial economics / Investment / Finance


UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release NoApril 16, 2015 INVESTMENT COMPANY ACT OF 1940
Add to Reading List

Document Date: 2015-04-16 18:03:14

Open Document

File Size: 186,12 KB

Share Result on Facebook

City

San Francisco / Oklahoma City / New Orleans / /

Company

WestEnd Capital Management LLC / Porsche / WestEnd Partners L.P. / /

Country

United States / /

Currency

USD / /

Event

Product Recall / Product Issues / Business Partnership / /

Facility

Enterprise Services Center Accounts Receivable Branch HQ Bldg. / /

IndustryTerm

bank account / advisory and financial planning services / quarterly management / personal bank account / bank accounts / private bank / bank / personal bank accounts / /

Organization

San Francisco Regional Office / Securities and Exchange Commission / /

Person

Erin E. Schneider / SEAN C. COOPER / /

Position

principal underwriter / portfolio manager / cashier / auditor / investment adviser / and also the portfolio manager / chief / portfolio manager of the Fund / investment adviser / municipal securities dealer / chief compliance officer / Compliance Officer / dealer / investment adviser / officer / director / member of an advisory board / investment adviser / broker / dealer / municipal securities dealer / municipal advisor / Regional Director / director / member of an advisory board / investment adviser / manager for the Fund / registered investment adviser / adviser / Brent J. Fields Secretary / managing member / /

Product

fees / purported fees / /

ProvinceOrState

Louisiana / Marin County / California / /

URL

http /

SocialTag